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Stewardship and Oversight Agreement

 

STEWARDSHIP AND OVERSIGHT AGREEMENT
BY AND BETWEEN
FEDERAL HIGHWAY ADMINISTRATION, NEW MEXICO DIVISION
AND
THE STATE OF NEW MEXICO DEPARTMENT OF TRANSPORTATION

April 7, 2015

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Table of Contents

Contents


FEDERAL-AID HIGHWAY PROGRAM

STEWARDSHIP AND OVERSIGHT AGREEMENT

BY AND BETWEEN

FEDERAL HIGHWAY ADMINISTRATION, NEW MEXICO DIVISION

AND THE

STATE OF NEW MEXICO DEPARTMENT OF TRANSPORTATION

Section I: Background and Introduction

The federal-aid Highway Program (FAHP) is a federally-assisted program of State-selected projects. The Federal Highway Administration (FHWA) and the State Departments of Transportation have long worked as partners to deliver the FAHP in accordance with Federal requirements. In enacting 23 U.S.C. 106(c), as amended, Congress recognized the need to give the States more authority to carry out project responsibilities traditionally handled by FHWA. Congress also recognized the importance of a risk-based approach to FHWA oversight of the FAHP, Establishing requirements in 23 U.S.C. 106(g). This Stewardship and Oversight (S&O) Agreement sets forth the agreement between the FHWA and the State of New Mexico Department of Transportation (NMDOT) on the roles and responsibilities of the FHWA and the NMDOT with respect to Title 23 project approvals and related responsibilities, and FAHP oversight activities.

The scope of FHWA responsibilities, and the legal authority for State DOT assumption of FHWA responsibilities, developed over time. The U.S. Secretary of Transportation delegated responsibility to the Administrator of the FHWA for the FAHP under Title 23 of the United States Code, and associated laws. (49 CFR 1.84 and 1.85) The following legislation further outlines FHWA's responsibilities:

The FHWA may not assign or delegate its decision-making authority to a State Department of Transportation unless authorized by law. Section 106 of Title 23, United States Code (Section 106), authorizes the State to assume specific project approvals. For projects that receive funding under Title 23, U.S.C., and are on the National Highway System (NHS) including projects on the Interstate System, the State may assume the responsibilities of the Secretary of the U.S. Department of Transportation under Title 23 for design, plans, specifications, estimates, contract awards, and inspections with respect to the projects unless the Secretary determines that the assumption is not appropriate. (23 U.S.C. 106(c)(1)) For projects under Title 23, U.S.C. that are not on the NHS, the State shall assume the responsibilities for design, plans, specifications, estimates, contract awards, and inspections unless the State determines that such assumption is not appropriate. (23 U.S.C. 106(c)(2))

For all other project activities which do not fall within the specific project approvals listed in Section 106 or are not otherwise authorized by law, the FHWA may authorize a State DOT to perform work needed to reach the FHWA decision point, or to implement FHWA's decision. However such decisions themselves are reserved to FHWA.

The authority given to the State DOT under Section 106(c)(1) and (2) is limited to specific project approvals listed herein. Nothing listed herein is intended to include assumption of FHWA's decision-making authority regarding Title 23, U.S.C. eligibility or Federal-aid participation determinations. The FHWA always must make the final eligibility and participation decisions for the FAHP.

Section 106(c)(3) requires FHWA and the State DOT to enter into an agreement relating to the extent to which the State DOT assumes project responsibilities. This S & O Agreement, includes information on specific project approvals and related responsibilities, and provides the requirements for FHWA oversight of the FAHP (Oversight Program), as required by 23 U.S.C. 106(g).

Section II: Intent and Purpose of S&O Agreement

The intent and purpose of this S&O Agreement is to document the roles and responsibilities of the FHWA's New Mexico Division Office (FHWA or Division) and the NMDOT with respect to project approvals and related responsibilities, and to document the methods of oversight which will be used to efficiently and effectively deliver the FAHP.

The Project Action Responsibility Matrix, Attachment A to this S&O Agreement and as further described in Section VIII of this S&O Agreement, identifies FHWA FAHP project approvals and related responsibilities NMDOT assumes from FHWA on a program-wide basis pursuant to 23 U.S.C. 106(c) and other legal authorities. Upon execution of this agreement, Attachment A shall be controlling and except as specifically noted in Attachment A, no other agreements, attachments, or other documents shall have the effect of delegating or assigning FHWA approvals to NMDOT on a program-wide basis under 23 U.S.C 106 or have the effect of altering Attachment A.

Section III: Assumption of Responsibilities for Federal-Aid projects on the National Highway System

  1. The NMDOT may assume the FHWA's Title 23 responsibilities for design; plans, specifications, and estimates (PS&E); contract awards; and inspections, with respect to Federal-aid projects on the National Highway System (NHS) if both the NMDOT and FHWA determine that assumption of responsibilities is appropriate.

  2. Approvals and related activities for which the NMDOT has assumed responsibilities as shown in Attachment A will apply program wide unless project specific actions for which the Division will carry out the approval or related responsibilities are documented in accordance with the FHWA Project of Division Interest/Project of Corporate Interest Guide (FHWA PoDI/PoCI Guide), located at: http://www.fhwa.dot.gov/federalaid/stewardship

  3. The NMDOT may not assume responsibilities for Interstate projects that are in high risk categories. (23 U.S.C. 106(c)(1))

  4. The NMDOT is to exercise any and all assumptions of the Secretary responsibilities for Federal-aid projects, except those retained by Division, on the NHS in accordance with Federal laws, regulations and policies.

Section IV: Assumption of Responsibilities for Federal-Aid Projects off the National Highway System

  1. The NMDOT shall assume the FHWA's Title 23 responsibilities for design, PS&Es, contract awards, and inspections, with respect to Federal-aid projects off the NHS (non-NHS) unless the NMDOT determines that assumption of responsibilities is not appropriate. (23 U.S.C. 106(c)(2))

  2. Except as provided in 23 U.S.C.109(o), the NMDOT is to exercise the Secretary's approvals and related responsibilities on these projects in accordance with Federal laws.

  3. The NMDOT, in its discretion, may request FHWA carry out one or more non-NHS approvals or related responsibilities listed as "State" in Attachment A on a program-wide basis. For a project specific request, the NMDOT may request FHWA carry out any approval or related responsibility listed in Attachment A off the NHS. Such project-specific requests shall be documented in accordance with Division Projects of Division Interest / Projects of Corporate Interest tool, Attachment D, and PoDI / PoCI Oversight Screening Criteria / Checklist Attachment E.

  4. Pursuant to 23 U.S.C. 109(o), non-NHS projects shall be designed and constructed in accordance with State laws, regulations, directives, safety standards, design standards, and construction standards.

Section V: Assumption of Responsibilities for Tribal / Locally Administrated Projects

The NMDOT may permit Tribal / Local Public Agencies (T/LPAs) to carry out the NMDOT's assumed responsibilities on locally administered projects. The NMDOT is responsible and accountable for T/LPA compliance with all applicable Federal laws and requirements.

Section VI: Permissible Areas of Assumption under 23 U.S.C 106(c)

An assumption of responsibilities under 23 U.S.C. 106(c) may cover only activities in the following areas:

  1. Design, which includes preliminary engineering, engineering, and design-related services directly relating to the construction of a FAHP-funded project, including engineering, design, project development and management, construction project management and inspection, surveying, mapping (including the establishment of temporary and permanent geodetic control in accordance with specifications of the National Oceanic and Atmospheric Administration), and architectural-related services.

  2. PS&E, which represents the actions and approvals required before authorization of construction. The PS&E package includes geometric standards, drawings, specifications, project estimates, certifications relating to completion of right-of-way acquisition and relocation, utility work, and railroad work.

  3. Contract awards, which include procurement of professional and other consultant services and construction-related services to include advertising, evaluating, and awarding contracts.

  4. Inspections, which include general contract administration, material testing and quality assurance, review, and inspections of Federal-aid contracts as well as final inspection/acceptance.

  5. Approvals and related responsibilities affecting real property as provided in 23 CFR 710.201(i) and any successor regulation in 23 CFR Part 710.

Section VII: Federal Approvals and Related Responsibilities that may NOT be assumed by the NMDOT

  1. Any approval or related responsibility not listed in Attachment A cannot be assumed by the State without prior concurrence by FHWA Headquarters. The following is a list of the most frequently-occurring approvals and related responsibilities that may not be assumed by the State DOT:

    • Civil Rights Program approvals;
    • Environmental approvals, except those specifically assumed under other agreements. (23 U.S.C. 326 and 327; programmatic categorical exclusion agreements);
    • Federal air quality conformity determinations required by the Clean Air Act;
    • Approval of current bill and final vouchers;
    • Approval of federally-funded hardship acquisition, protective buying, and 23 U.S.C. 108(d) early acquisition;
    • Project agreements and modifications to project agreements and obligation of funds (including advance construction);
    • Planning and programming pursuant to 23 U.S.C. 134 and 135;
    • Special Experimental Projects (SEP-14 and SEP-15);
    • Use of Interstate airspace for non-highway-related purposes;
    • Any Federal agency approval or determination under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Uniform Act), as amended, and implementing regulations in 49 CFR Part 24;
    • Waivers to Buy America requirements;
    • Approval of Federal participation under 23 CFR 1.9(b);
    • Provide pre-approval for preventive maintenance project (until FHWA concurs with NMDOT procedures);
    • Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations, or other contributions applied to a project;
    • Functional replacement of property;
    • Approval of a time extension for preliminary engineering projects beyond the 10-year limit, in the event that actual construction or acquisition of right-of-way for a highway project has not commenced;
    • Approval of a time extension beyond the 20-year limit for right of way projects, in the event that actual construction of a road on the right-of-way is not undertaken;
    • Determine need for Coast Guard Permit;
    • Training Special Provision – Approval of New Project Training Programs; and
    • Any other approval or activity not specifically identified in Attachment A unless otherwise approved by the FHWA, including the Office of Chief Counsel.
  2. For all projects and programs, the NMDOT will comply with Title 23 and all applicable non-Title 23, U.S.C. Federal-aid program requirements, such as metropolitan and statewide planning; environment; procurement of engineering and design related service contracts (except as provided in 23 U.S.C. 109(o)); Civil Rights including Title VI of the Civil Rights Act, and participation by Disadvantaged Business Enterprises; prevailing wage rates; and acquisition of right-of-way, etc.

  3. This S & O Agreement does not modify the FHWA's non-Title 23 program approval and related responsibilities, such as approvals required under the Clean Air Act; National Environmental Policy Act, Executive Order on Environmental Justice (E.O. 12898), and other related environmental laws and statutes; the Uniform Act; and the Civil Rights Act of 1964 and related statutes.

Section VIII: Project Action Responsibility Matrix

Attachment A, Project Action Responsibility Matrix, to this S&O Agreement identifies FAHP project approvals and related responsibilities. The Matrix specifies which approvals and related responsibilities are assumed by the NMDOT under 23 U.S.C. 106(c) or other statutory or regulatory authority, as well as approvals and related responsibilities reserved to FHWA.

Section IX: High Risk Categories

  1. In 23 U.S.C. 106(c), Congress directs that the Secretary shall not assign any approvals or related responsibilities for projects on the Interstate System if the Secretary determines the project to be in a high risk category. Under 23 U.S.C. 106(c)(4)(B), the Secretary may define high risk categories on a national basis, State-by-State basis, or national and State-by-State basis.

  2. As of the effective date of this Agreement, the Division has determined there are no high risk categories.

Section X: FHWA Oversight Program Under 23 U.S.C. 106(g)

  1. In 23 U.S.C. 106(g), Congress directs that the Secretary shall establish an oversight program to monitor the effective and efficient use of funds authorized to carry out the FAHP. This program includes FHWA oversight of the State's processes and management practices, including those involved in carrying out the approvals and related responsibilities assumed by the State under 23 U.S.C. 106(c). Congress defines that, at a minimum, the oversight program shall be responsive to all areas relating to financial integrity and project delivery.

  2. The FHWA shall perform annual reviews that address elements of the NMDOT's financial management system in accordance with 23 U.S.C. 106(g)(2)(A). FHWA will periodically review the NMDOT's monitoring of sub-recipients pursuant to 23 U.S.C. 106(g)(4)(B).

  3. The FHWA shall perform annual reviews that address elements of the project delivery systems of the NMDOT, which elements include one or more activities that are involved in the life cycle of project from conception to completion of the project. The FHWA will also evaluate the practices of NMDOT for estimating project costs, awarding contracts, and reducing costs. 23 U.S.C. 106(g) (2) and (3).

  4. To carry out the requirements of 23 U.S.C. 106(g), the FHWA will employ a risk management framework to evaluate financial integrity and project delivery, and balance risk with staffing resources, available funding, and the State's transportation needs. The FHWA may work collaboratively with the NMDOT to assess the risks inherent with the FAHP and funds management, and how that assessment will be used to align resources to develop appropriate risk response strategies.

    Techniques the Division and NMDOT may use to identify and analyze risks and develop response strategies include the following:

    • Program Assessments;
    • FIRE Reviews;
    • Program Reviews;
    • Certification Reviews;
    • Recurring or periodic reviews such as the Compliance Assessment Program (CAP); and
    • Inspections of project elements or phases.

    These techniques will be carried out in a manner consistent with applicable Division Standard Operating Procedures (SOP) or other control documents relating to program assessments, FIRE, program reviews, CAP, etc.

    The following techniques and processes will be used by the Division to carry out the requirements of 23 U.S.C. 106(g):

    • Risk Cycle

      Annually, FHWA conducts a formalized review of their oversight of the FAHP as part of the annual Unit Plan Cycle. This assessment includes evaluation of each Program Area by the FHWA Division. As part of the evaluation, Division staff reaches out to NMDOT for comments. These reviews are further analyzed to determine the FHWA Division's Top Risks/Top Opportunities for the upcoming Performance Year (PY). These Top Risks/Top Opportunities are reviewed with NMDOT periodically throughout the PY.

    • Unit Plan

      Annually the FHWA Division evaluates its resources against the needs of the FAHP and DOTs Strategic Goals. Division staff works with team leaders to develop activities, program reviews, program assessments, and SOPs to be included in the Unit Plan. On a quarterly basis these activities are updated and reviewed by management to ensure that deliverables are on track to be met for the current PY.

    • Project / Program involvement:

      • Included, but not limited to, presentations and discussions of program concerns, current project issues, PoDIs, and any open items. A subset of performance indicators (dashboard measures) are reviewed quarterly.
      • NMDOT Office of Inspector General (OIG) sends copies of reviews to FHWA for review and concurrence. These reviews are evaluated at the program level and used to identify potential follow up FHWA reviews.
      • SOPs are evaluated and updated every one to three years or on an as needed basis.
      • Meetings with Executive leadership from both organizations are held regularly. At least quarterly, such oversight activities are discussed in some detail.
  5. Program Responsibility Matrix

    Attachment B to this S&O Agreement is the Program Responsibility Matrix that identifies all relevant FHWA program actions, Division, and NMDOT program contact offices responsible for each action.
  6. Manuals and Operating Agreements

    The NMDOT manuals, agreements and other control documents that have been approved for use on Federal-aid projects are listed in Attachment C to this S&O Agreement.
  7. Stewardship and Oversight Indicators

    The Division and NMDOT have jointly established Stewardship and Oversight Indicators (Indicators), as a way of effectively managing and improving program delivery. Indicators provide documented evidence that NMDOT's assumption of responsibilities is functioning appropriately. The data for these Indicators will be updated and evaluated annually in the 3rd Quarter of the Federal Fiscal Year (April – June) and corresponding report placed on internal website.

Section XI: State DOT Oversight and Reporting Requirements

  1. NMDOT Oversight and Reporting Requirements

    The NMDOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the NMDOT will:

    • Prepare construction documents, for all FAHPs, in accordance with the project development process and the production schedule;
    • Carry out design reviews on all FAHPs prior to advertisement;
    • Develop construction cost estimates per NMDOT's guidelines;
    • Award construction contracts as set forth in NMDOT's "Bid Review Process";
    • Conduct construction activities as set forth in the project's sealed construction documents and in accordance with NMDOT's Standard Specifications and Construction Manual; and
    • Conduct and document Construction and Civil Rights Bureau inspections on a reasonable sample of active construction projects.

    NMDOT will maintain individual FAHP files that include documentation of all required FHWA actions and NMDOT's assumed project approvals as set forth in this S & O Agreement.

  2. NMDOT Oversight of Tribal/Local Administered Projects

    The NMDOT has a T/LPA Handbook that provides guidance to T/LPAs for administering projects funded as part of the FAHP. Each entity must also enter into a Cooperative Project Agreement for each project funded as part of the FAHP. This Cooperative Project Agreement defines specific responsibilities for each entity.

    1. B.1. NMDOT is required to provide adequate oversight of sub-recipients including oversight of any assumed responsibilities NMDOT has delegated to T/LPAs.

    2. B.2. Pursuant to 23 U.S.C. 106(g)(4), the NMDOT shall be responsible for determining that sub-recipients of Federal funds have adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. The NMDOT is also responsible for ensuring compliance with reporting and other requirements applicable to grantees making sub-awards, such as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, PL 109-282 (as amended by PL 110-252).

    3. B.3. The NMDOT acknowledges that it is responsible for sub-recipient awareness of Federal grant requirements, management of grant awards and sub-awards and is familiar with and comprehends pass through entity responsibilities (2 C.F.R 200.331 Requirement for Pass-thru Entities). The NMDOT shall carry out these responsibilities using the following actions, programs, and processes:

      Guidance for T/LPA projects is provided in the T/LPA handbook which is reviewed and approved by the Division Office and describes the overall process for project implementation. A part of that process is that the NMDOT enters into Cooperative Agreements in order to clearly specify and delineate the rights and duties of the Parties in the design, development, and/or construction of a State or Federally Funded project. The T/LPA must meet applicable certification requirements, receive a Notice to Proceed, a copy of the funding authorization from FHWA, and the executed agreement before beginning work.

      Additionally, NMDOT will:

      • maintain a sufficiently staffed T/LPA administration section;
      • maintain an up-to-date T/ LPA section on the NMDOT website that is easily accessible to tribal and local agencies that provides contract administration tools including essential project related documents and links to fundamental training subject matter;
      • maintain and update a T/LPA Handbook; and
      • administer T/LPA program such that it conforms to the FHWA approved "Procedures for Local Public Agency Project Administration", including a comprehensive T/LPA qualification process.
    4. B.4. The NMDOT shall assess whether a sub-recipient has adequate project delivery systems and sufficient accounting controls to properly manage projects, using the following actions, programs, and processes:

      NMDOT negotiates a "Cooperative Project Agreement" which each Tribal/Local entity. Specifically these Agreement(s) stipulate the T/LPA's responsibilities. In the Cooperative Project Agreement - Design work, Section 4 (r) states…"If the Public Entity receives a combined $750,000 in Federal Funding, which would require an audit pursuant to OMB Super Circular Section 200.501, it must provide (NMDOT) Department a copy of the most recent completed audit report before the start of work". In the Cooperative Project Agreement - Construction work, Section 4 (q) states… "If the Public Entity has received a combined $750,000 in Federal Funding, which under OMB Super Circular Section 200.501 requires the Public Entity to have a single audit performed, the Public Entity must provide the Department a copy of the most recent completed audit report before the start of work". The Single Audit is also available on the New Mexico Office of the State Auditor's website. NMDOT reviews these documents for material weaknesses and/or significant findings allowing the NMDOT to determine if the sub-recipient has sufficient accounting controls to properly manage projects.

    5. B.5. The NMDOT shall assess whether a sub-recipient is staffed and equipped to perform work satisfactorily and cost effectively, and that adequate staffing and supervision exists to manage the Federal project(s), by using the following actions, programs, and processes:

      In the Cooperative Project Agreement, each T/LPA entity must adhere to all items outlined in Section 4 entitled "The Public Entity Shall". This Section specifically addresses the performance of the actual work requirements.

    6. B.6. The NMDOT shall assess whether sub-recipient projects receive adequate inspection to ensure they are completed in conformance with approved plans and specifications, by using the following actions, programs, and processes:

      The Cooperative Project Agreement, Section 5 entitled "The Department Shall" addresses NMDOT's reviews/ inspections of documents and deliverables according to specifications, and inspection, technical assistance, monitoring and overseeing progress of each project.

    7. B.7. The NMDOT shall ensure that when T/LPAs elect to use consultants for engineering services, the T/LPA, as provided under 23 CFR 635.105(b), shall provide a full-time employee of the agency to be in responsible charge of the project. The NMDOT's process to ensure compliance with this requirement is documented by the following actions, programs, and processes:

      The NMDOT requires through its T/LPA Handbook and the Cooperative Project Agreement, that the T/LPA allow the NMDOT to review and concur on all the T/LPA's third party contractual commitments to include the use of consultants for engineering services and construction management, as provided under 23 CFR 635.105. The Cooperative Project Agreement also requires the T/LPA to designate a project manager as the single point of contact.

    8. B.8. The NMDOT shall ensure that project actions will be administered in accordance with all applicable Federal laws and regulations. The NMDOT will use the following process on required approvals on sub-recipient projects:

      The NMDOT T/LPA CLE assigned to each project ensures compliance with all elements of the 23 CFR. The T/LPA Handbook and Cooperative Project Agreements describe project actions that require NMDOT review/approval.

      NMDOT oversight includes, but is not limited to the following areas:

      • Consultant selection and management (Cooperative Project Agreement Section 4 and T/LPA Handbook, Chapter 4);
      • Environment (Cooperative Project Agreement Section 4 and T/LPA Handbook, Chapter 5);
      • Design (Cooperative Project Agreement Section 4, Appendix C and T/LPA Handbook, Chapter 4);
      • Civil Rights (Cooperative Project Agreement Section 11-13 and T/LPA Handbook, Chapters 10 & 11);
      • Financial management including audits and indirect cost allocation plans (Cooperative Project Agreement Sections 15 & 16, Single Audit Act Procedures Manual);
      • Right-of-way (Cooperative Project Agreement Section 4, Appendix C and T/LPA Handbook, Chapter 7);
      • Construction monitoring including Quality Control/Quality Assurance (QC/QA) (Cooperative Project Agreement Section 4 and Appendix A); and
      • Contract administration (Cooperative Project Agreement Section 4 and T/LPA Handbook, Chapter 9).
    9. B.9. The NMDOT shall document its oversight activities for T/LPA-administered projects and findings, and shares this information with the FHWA as follows:

      The NMDOT has clearly documented the approval and oversight process on T/LPA. The Cooperative Project Agreement and various correspondence, checklists and informational documents submitted to the T/LPA during each phase of the Cooperative Project Agreement process, as well as in the T/LPA Handbook provide clear guidance. FHWA participates and provides language included in these documents. NMDOT will seek FHWA guidance and approval on subsequent revisions.

      Additionally, the NMDOT has assigned T/LPA Coordinators at each of the six District offices to provide assistance and oversight during the construction phase and a T/LPA Construction Liaison Engineer (CLE) is assigned to oversee each project to ensure compliance with Federal requirements. The CLE will perform project inspections on any/all project files and will provide at a minimum a final inspection report on all projects. The NMDOT also utilizes a T/LPA PS&E formal checklist (completed by the assigned CLE) to ensure that all the above areas have been completed and adhered to by the sub-grantee. Final inspection reports are filed in the project files online in the Construction and Civil Rights Bureau (CCRB) Shared Folder for each project. NMDOT will provide FHWA access to the project files when requested.

      The NMDOT staff provides oversight on the T/LPA's procurement methods to ensure Federal requirements and language is included in T/LPA third party contracts. NMDOT will meet with FHWA to discuss current practices, areas of concern, and establish business service standards that would provide an expectation for how long it would take to provide reports, reviews and findings along with the expectation to implement corrective actions when necessary. On a quarterly frequency, NMDOT will provide FHWA with a status report summarizing its T/LPA program. The report includes, at a minimum, the status of each active T/LPA project (i.e., current phase, approval milestones made by NMDOT, etc.) and a summary of approved T/LPAs (i.e., requests received, NMDOT approvals/denials, etc.). Also, NMDOT meets with FHWA to discuss dashboard metrics, providing data to analyze an agreed upon set of indicators to determine how NMDOT's assumed authorities are being executed.

Section XII: Implementation and Amendments

  1. This S&O Agreement will take effect as of the effective date of the signature of the FHWA New Mexico Division Administrator, who shall sign this S&O Agreement last.

  2. This S&O Agreement supersedes the December 6, 2012 Stewardship and Oversight Agreement and all corresponding supplements.

  3. The Division and the NMDOT agree that updates to this S & O Agreement will be considered periodically on a case-by-case basis or when:

    • Significant new legislation, Executive orders, or other initiatives affecting the relationship or responsibilities of one or both parties to the S&O Agreement occurs;
    • Leadership, or leadership direction, changes at the NMDOT or FHWA; or
    • Priorities shift as a result of audits, public perception, or changes in staffing at either the NMDOT or Division Office.
  4. The Division and the NMDOT agree that changes may occur to the contents of the Attachments to this S&O Agreement and documents incorporated by reference into the S&O Agreement. Except as provided in paragraph XII. E and F, changes to the Attachments and documents incorporated by reference will not require the Division and the NMDOT to amend this S&O Agreement. The effective date of any revisions to one of these documents shall be clearly visible in the header of the revised document. This S&O Agreement and any revised document shall be posted on the Division's S&O Agreement internet site within five (5) business days of the effective date.

  5. Any changes to the high risk categories must be documented by an amendment to this S&O Agreement.

  6. Any changes to the Project Action Responsibility Matrix must be approved by the FHWA Office of Infrastructure in writing and documented by an amendment to this S&O Agreement.

EXECUTION BY THE FHWA NEW MEXICO DIVISION OFFICE

Executed this _____________ day of _______________, 201__.

____________________________________________

Signature

____________________________________________

Don Martinez

Division Administrator

EXECUTION BY THE New Mexico DEPARTMENT OF TRANSPORTATION

Executed this _____________ day of _______________, 201__.

____________________________________________

Signature

____________________________________________

Tom Church

Cabinet Secretary

Attachment A: Project Action Responsibility Matrix (As of February 6, 2015)

The following matrix identifies Federal-aid highway program (FAHP) project approvals and related responsibilities. The matrix specifies which ones are subject to State assumption under the provisions of 23 U.S.C. 106(c) or other statutory or regulatory authority, as well as those which are reserved to FHWA.

In the column entitled "Projects on the NHS" if an item is marked "FHWA or State," it means the State may assume the specified approval and related responsibilities if the Division determines the assumption is appropriate. For projects on the NHS, the FHWA may retain any approval or related action in any box marked "FHWA or State", as deemed appropriate by the Division, by choosing to enter "FHWA" for that box. If the FHWA retains any approval or related action in any box marked "FHWA or State", the project is a PoDI, and will require a PoDI plan.

For the column marked "Projects off the NHS", the State must assume all items marked "State" unless the State determines the assumption of a particular item by the State is not appropriate and requests FHWA take responsibility for the action. In such cases, the box should read "FHWA".

If FHWA retains an action the State could have assumed (on the NHS) or has a right to assume (off the NHS), the affected projects become PoDI projects. [1] Matrix users may find it easier to identify such situations if you mark such instances in the matrix with a note or asterisk (*). Divisions also may wish to include in Attachment A's introduction information about where readers can find a list of PoDI projects and copies of PoDI plans.

Except as expressly stated in notes to the matrix below, the State cannot assume any item marked only as "FHWA" in either column. Any item marked only "FHWA" is reserved to FHWA because it is outside the scope of 23 U.S.C. 106(c), or otherwise is reserved to FHWA by law. While FHWA may not delegate decision-making authority to a State unless authorized by law, FHWA may authorize a State DOT to perform work needed to reach the decision point, or to implement the decision.]

The State DOT is responsible for ensuring all individual elements of the project are eligible for FAHP funding, but all final eligibility and participation determinations are retained by FHWA.

PROJECT ACTION RESPONSIBILITY MATRIX (as of February 6, 2015) (Excluding PoDIs, which are subject to separate PoDI Plans)

ACTION

AGENCY RESPONSIBLE

PROJECTS ON THE NHS

PROJECTS OFF THE NHS

PROGRAMMING (All phases)

Ensure project in Statewide Transportation Improvement Program (STIP)/Transportation Improvement Program (TIP)

STATE

STATE

Identify proposed funding category

STATE(1)

STATE(1)

FINANCIAL MANAGMENT (All phases)

Obligate funds/approve Federal-aid project agreement modifications, and project closures (project authorizations) (Note: this action cannot be assumed by State)

FHWA

FHWA

Authorize current bill (Note: this action cannot be assumed by State)

FHWA

FHWA

Review and Accept Financial Plan and Annual Updates for Federal Major Projects over $500 million

[23 U.S.C. 106(h)] (Note: this action cannot be assumed by State)

FHWA

FHWA

Review Cost Estimates for Federal Major Projects over $500 million

[23 U.S.C. 106(h)] (Note: this action cannot be assumed by State)

FHWA

FHWA

Develop Financial Plan for Federal Projects between $100 million and $500 million. [23 U.S.C. 106(i)]

STATE

STATE

ENVIRONMENT (All phases)

All EA/FONSI, EIS/ROD, 4(f), 106, 6(f) and other approval actions required by Federal environmental laws and regulations. (Note: this action cannot be assumed by STATE except under 23 U.S.C. 327)

FHWA(2)

FHWA(2)

Categorical Exclusion approval actions (Note this action cannot be assumed by the State except through an assignment under 23 U.S.C. 326 or 327, or through a programmatic agreement pursuant to Section 1318(d) of MAP-21) and 23 CFR 771.117(g)))

FHWA(2)

FHWA(2)

PRELIMINARY DESIGN (Design Phase)

Consultant Contract Selection

STATE (3)

STATE (3)

Sole source Consultant Contract Selection

FHWA (3)*

STATE (3)

Approve hiring of consultant to serve in a "management" role (Note: this action cannot be assumed by State)

[23 CFR 172.9]

FHWA

FHWA

Approve consultant agreements and agreement revisions (Federal non-Major Projects) [23 CFR 172.9]

STATE

STATE

Approve consultant agreements and agreement revisions on Federal Major Projects [23 CFR 172.9] (Note: this action cannot be assumed by State)

FHWA

FHWA

Approve exceptions to design standards

[23 CFR 625.3(f)]

FHWA(Interstate)*

STATE (Non-Interstate)

STATE

Interstate System Access Change [23 USC 111] (Note: this action cannot be assumed by State)

FHWA

N/A

Interstate System Access Justification Report [23 USC 111] (Note: action may be assumed by State pursuant to 23 USC 111(e))

STATE

N/A

Airport highway clearance coordination and respective public interest finding (if required) [23 CFR 620.104]

STATE

STATE

Approve Project Management Plan for Federal Major Projects over $500 million [23 USC 106(h)] (Note: this action cannot be assumed by State)

FHWA

FHWA

Approve innovative and Public-Private Partnership projects in accordance with SEP-14 and SEP-15 (Note: this action cannot be assumed by State)

FHWA

FHWA

Provide pre-approval for preventive maintenance project (until FHWA concurs with STATE procedures) (Note: this action cannot be assumed by State)

FHWA

FHWA

DETAILED / FINAL DESIGN (Design Phase)

Provide approval of preliminary plans for unusual/complex bridges or structures on the Interstate. [23 USC 109(a) and FHWA Policy]

FHWA (4)

N/A

Provide approval of preliminary plans for unusual/complex bridges or structures (non-interstate). [23 USC 109(a) and FHWA Policy]

STATE(4)

STATE

Approve retaining right-of-way encroachments

[23 CFR 1.23 (b) & (c)]

FHWA*

STATE

Approve use of local force account agreements

[23 CFR 635.104 & 204]

FHWA*

STATE

Approve use of publicly owned equipment [23 CFR 635.106]

STATE

STATE

Approve the use of proprietary products, processes

[23 CFR 635.411]

FHWA*

STATE

Concur in use of publicly furnished materials [23 CFR 635.407]

STATE

STATE

RIGHT-OF-WAY (Design and Operational Phases)

Make feasibility/practicability determination for allowing authorization of construction prior to completion of ROW clearance, utility and railroad work

[23 CFR 635.309(b)]

FHWA*

STATE

Make public interest finding on whether State may proceed with bid advertisement even though ROW acquisition/relocation activities are not complete for some parcels

[23 CFR 635.309(c)(3)]

FHWA (Interstate)*

STATE (Non-Interstate)

STATE

Ensure compliant ROW certificate is in place [23 CFR 635.309(c)]

STATE

STATE

Approve Hardship and Protective Buying [23 CFR 710.503] (If a Federal-aid project) (Note: this action cannot be assumed by State)

FHWA

FHWA

Approve Interstate Real Property Interest Use Agreements [23 CFR 710.405] (Note: this action cannot be assumed by State)

FHWA

N/A

Approve non-highway use and occupancy [23 CFR 1.23(c)]

FHWA (Interstate)

STATE (Non-Interstate) (3)

STATE (3)

Approve disposal at less than fair market value of federally funded right-of-way, including disposals of access control

[23 U.S.C. 156] (Note: this action cannot be assumed by State)

FHWA

FHWA

Approve disposal at fair market value of federally funded right-of-way, including disposals of access control [23 CFR 710.409] (Note: 23 CFR 710.201 authorizes FHWA and STATE to agree to scope of property-related oversight and approvals for all actions except those on the Interstate System)

FHWA (Interstate)

STATE (Non-Interstate) (3)

STATE (3)

Requests for credits toward the non-Federal share of construction costs for early acquisitions, donations or other contributions applied to a project (note: this action cannot be assumed by State)

FHWA

FHWA

Federal land transfers [23 CFR 710, Subpart F] (Note: this action cannot be assumed by State)

FHWA

FHWA

Functional replacement of property

[23 CFR 710.509] (Note: this action cannot be assumed by State)

FHWA

FHWA

SYSTEM OPERATIONS AND PRESERVATION (Design Phase)

Accept Transportation Management Plans (23 CFR 630.1012(b))

STATE

STATE

Approval of System Engineering Analysis (for ITS) [23 CFR 940.11]

STATE

STATE

PS&E AND ADVERTISING (Design Phase)

Approve PS&E [23 CFR 630.201]

STATE

STATE

Authorize advance construction and conversions [23 CFR 630.703 & 709] (Note: this action cannot be assumed by State)

FHWA

FHWA

Approve utility or railroad force account work [23 CFR 645.113 & 646.216]

FHWA*

STATE

Approve utility and railroad agreements

[23 CFR 645.113 & 646.216]

STATE

STATE

Approve use of consultants by utility companies [23 CFR 645.109(b)]

STATE

STATE

Approve exceptions to maximum railroad protective insurance limits

[23 CFR 646.111]

STATE

STATE

Authorize (approve) advertising for bids [23 CFR 635.112, 309]

STATE

STATE

CONTRACT ADVERTISEMENT AND AWARD (Design Phase)

All contracts to be done by competitive bidding unless otherwise authorized by law

Approve cost-effectiveness determinations for construction work performed by force account or by contract awarded by other than competitive bidding

[23 CFR 635.104 &.204]

STATE

STATE

Approve emergency determinations for contracts awarded by other than competitive bidding

[23 CFR 635.104 &.204]

FHWA*

STATE

Approve construction engineering by local agency [23 CFR 635.105]

STATE

STATE

Approve advertising period less than 3 weeks [23 CFR 635.112]

FHWA*

STATE

Approve addenda during advertising period [23 CFR 635.112]

STATE, whichever approved PS&E

STATE

Concur in award of contract

[23 CFR 635.114]

STATE

STATE

Concur in rejection of all bids [23 CFR 635.114]

FHWA*

STATE

Approval of Design-Build Requests-for-Proposals and Addenda [23 CFR 635.112]

STATE

STATE

CONSTRUCTION (Construction Phase)

Approve changes and extra work [23 CFR 635.120]

STATE

STATE

Approve contract time extensions [23 CFR 635.120]

STATE

STATE

Concur in use of mandatory borrow/disposal sites

[23 CFR 635.407]

STATE

STATE

Accept materials certification [23 CFR 637.207]

STATE

STATE

Concur in settlement of contract claims [23 CFR 635.124]

FHWA *

STATE

Concur in termination of construction contracts [23 CFR 635.125]

FHWA *

STATE

Waive Buy America provisions [23 CFR 635.410] (Note: this action cannot be assumed by State)

FHWA

FHWA

Final inspection/acceptance of completed work [23 USC 114(a)]

STATE

STATE

CIVIL RIGHTS (All phases)

Approval of Disadvantaged Business Enterprise (DBE) Project Contract Goal set by the State DOT under 49 CFR 26.51(d). [49 CFR 26.51(e)(3)]

STATE

STATE

Acceptance of Bidder's Good Faith Efforts to Meet Contract Goal [49 CFR 26.53] or of Prime Contractor's Good Faith Efforts to Find Another DBE Subcontractor When a DBE Subcontractor is Terminated or Fails to Complete Its Work [49 CFR 26.53(g)] (Note: this action cannot be performed by the FHWA)

STATE

STATE

Equal Employment Opportunity (EEO) Contract Compliance Review Approval [23 CFR Part 230, Subpart D]).

FHWA *

STATE

Training Special Provision – Approval of Project Goal for training slots or hours [23 CFR Part 230, Subpart A]

STATE

STATE

Training Special Provision – Approval of New Project Training Programs (Note: this action cannot be assumed by State) [23 CFR 230.111(d), (e)]

FHWA

FHWA

FOOTNOTES:

* Denotes activities that could be assigned to the State, but retained by FHWA

(1) State is responsible for ensuring that all individual elements of the project are eligible. FHWA will check that the scope of the project as described in submitted project agreement is eligible for the category of funding sought. All final eligibility and participation determinations are retained by FHWA.

(2) If there is a 23 U.S.C. 326 or 325 assignment or PCE agreement, decisions are handled in accordance with those assignments or agreements.

(3) State's process and modifications to, or variation in process, require FHWA approval.

(4) Unusual/Complex bridges and structures are those that the Division determines to have unique foundation problems, new or complex designs, exceptionally long spans, exceptionally large foundations, complex hydrologic (including climate change and extreme weather events) aspects, complex hydraulic elements or scour related elements, or that are designed with procedures that depart from currently recognized acceptable practices (i.e., cable-stay, suspension, arch, segmental concrete, moveable, truss, tunnels, or complex geotechnical walls or ground improvement systems)

Attachment B: Program Responsibility Matrix

PROGRAM ACTION RESPONSIBILITY

The following matrix is a list of program actions. Modify the matrix to reflect the Division and State "Responsible Program Office." The primary office of contact should be listed, rather than an individual or the approving official.

Activity

Authority[2]

Frequency

Due Date

FHWA HQ Program Office

FHWA Division Responsible Program Office

State DOT Responsible Program Office

Remarks

Appropriations, Allotments, Obligations

31 USC 1341(a)(1)(A)& (B); 31 USC 1517(a); 23 USC 118(b), 23 USC 121

As needed

Not Applicable

Office of Chief Financial Officer

Finance Manager

STIP and Funding Control

State will monitor appropriations, allotments and obligations to ensure that all funding is used efficiently within each quarter and use all Obligation Authority (OA) by the end of the year.

Approval of Indirect Cost Allocation Plans (ICAPs)

49 CFR Part 18; 2 CFR 200 Subpart E (previously 2 CFR 225); ASMBC-10

As needed

Not Applicable

Office of Chief Financial Officer

Finance Manager

Funding Control and Chief Engineer

The State will certify that the ICAP was prepared in accordance with 2 CFR 200 Subpart E.

FIRE Program Activities

FHWA Order 4560.1B (or as superseded)

Ongoing

 

Office of Chief Financial Officer

Finance Manager

Deputy Secretary- Highway Operations,

Chief Engineer,

Asset Management & Planning Director,

CFO

State will continue to provide oversight and conduct reviews to ensure Federal-aid compliance. FHWA will review and monitor. State responsibilities include multiple tasks in support of risk assessments, conducting reviews and implementation of recommendations.

Audit Coordination/FHWA Financial Statement Audit/State External Audit Reviews/State Internal Audit Reviews

FMFIA, 49 CFR 18.26; OMB Circular A-123, 133; GAAP, CFO Act of 1990; DOT Order 8000.1C

As needed

Not Applicable

Office of Chief Financial Officer

Finance Manager

CFO

Accounting

State assures corrective action is taken to resolve audit findings and FHWA will monitor activities to ensure implementation.

Improper Payments Review

Improper Payments Information Act of 2002, PL 107-300, Improper Payments Elimination and Recovery Act of 2010, PL 111-204, Improper Payments Elimination and Recovery Improvement Act of 2012, PL 112-248

Annually

 

Office of Chief Financial Officer

Finance Manager

CFO

Accounting

State will provide all information necessary to document sampled payments and FHWA offices will review and complete appropriate data submittal forms.

Transfer of Funds between programs or to other FHWA offices or agencies as requested by State

23 USC 126

As needed

Not Applicable

Office of Chief Financial Officer

Finance Manager

Funding Control

State will submit requests for transfer and FHWA approves and processes the funding transfers between programs, to other States, to other agencies, and to FHWA HQ, Federal Lands, or Research offices.

Reviews of State Transportation Departments Financial Management Systems - Financial Integrity

23 USC 106(g)(2)(A)

Annually

Not Applicable

Office of Chief Financial Officer

Finance Manager

CFO

Accounting

23 USC 106(g)(2)(A) states that the Secretary shall perform annual reviews that address elements of the State transportation departments' financial management systems that affect projects approved under subsection (a).

Review Adequacy of Sub-recipient Project Delivery Systems and Sufficient Accounting Controls to Manage Federal Funds

23 USC 106(g)(4)(A)(i)

As needed

Not Applicable

Office of Chief Financial Officer

Finance Manager

Funding Control

 

Periodic Reviews of States Monitoring of sub-recipients

23 USC 106(g)(4)(B)

As needed

Not Applicable

Office of Infrastructure

Finance Manager

Funding Control

 

Approval of Increased Federal Share Agreement (Sliding Scale)

23 USC 120(b)(2)

As determined by the Federal Share Agreement

Not Applicable

Office of Chief Financial Officer

Finance Manager

Chief Engineer and

Funding Control

A State must enter into an agreement with FHWA for use of the increased Federal share allowable under this section, which must be reviewed and updated periodically as agreed to in the agreement. States must demonstrate that they are in compliance with the statute and the agreement.

Prepare / Review Title VI Plan Accomplishments and Next Year's Goals

23 CFR 200.9(b)(10)

Annually

1-Oct

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division office reviews and comments.

Prepare / EEO Contractor Compliance Plan accomplishments and next year's goals

23 CFR 230, Subpart C, Appendix A, Part I, III

Annually

1-Oct

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division office reviews and comments.

Prepare / Review State Internal EEO Affirmative Action Plan (Title VII) Accomplishments and Goals

23 CFR 230.311

Annually

1-Oct

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Courtesy copy to HQ.

Review DBE Program Revisions

49 CFR 26.21(b)(2)

As needed

Not Applicable

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division sends to HCR for review and approval as

Prepare / DBE Uniform Awards and Commitment Report

49 CFR 26, Appendix B

Semi-Annual

June 1st December 1st

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division Office reviews and sends to HCR

Prepare / Annual Analysis and Corrective Action Plan (if necessary)

49 CFR 26.47(c)

Annual (as necessary)

December 31st

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division Office approves sends copy to HCR

Prepare / State DBE Program Goals

49 CFR 26.45(f)(1)

Triennial

August 1st

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division reviews and approves; HCC provides legal sufficiency review and approval sends copy to HCR

Prepare / Review On-the-Job-Training (OJT) goals & accomplishments

23 CFR 230.111(b)

Annually

TBA

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division office reviews and comments.

Approval of OJT and DBE Supportive Services fund requests

23 CFR 230.113 & 23 CFR 230.204

Annual

TBA

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division recommends approval submits to HCR for final approval

Return of any unused discretionary grant program funding

23 CFR 230.117(2)

Annual

TBA

Office of Civil Rights

Finance Manager

Construction and Civil Rights Bureau

Division works with HCR and CFO

Prepare / Review of Report on Supportive Services (OJT & DBE)

23 CFR 230.113(g), 230.121(e), 230.204(g)(6)

Quarterly

 

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division office reviews and comments.

Prepare / Review Annual Contractor Employment Report (Construction Summary of Employment Data (Form PR-1392)

23 CFR 230.121(a); Appendix D to Subpart A, Part 230, General Information and Instructions

Annually

1-Dec

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Recommendation sent to HQ for approval.

Prepare / Review State DOT Employment Statistical Data (EEO-4)

23 CFR, Subpart C, Appendix A

Biannual

1-Dec

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau / HR

Report sent to HQ quarterly for informational purposes and recommendation sent to HQ annually for approval.

Prepare / Review Annual Federal Projected Awards Reports - Historically Black Colleges & Universities/Tribal Colleges & Universities/Hispanic Serving Institutes, American Indian Alaskan Native, Asian Pacific & American Islander.

Presidential Executive Orders: 13230, 13256,13270, 13361, 13515

Annual

TBA

Office of Civil Rights

Civil Rights

LTAP

Divisions submit data to HCR who prepares report for DOCR

Prepare / Review ADA Complaint Reports of Investigation

28 CFR 35.190

As needed

Not Applicable

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division office reviews, FHWA HQ approves and issues finding.

Review Americans with Disabilities Act (ADA) /Sec. 504 Program Plan accomplishments and next year's goals

49 CFR 27.11(c), EO 12250

Annually

1-Oct

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Division office reviews and comments.

Return of unexpended funds used for Summer Transportation Institutes

23 CFR 230.117(2)

Annual

August 30; however, State procurement rules may govern

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Divisions work with HCR and CFO

Prepare / Review Request for National Summer Transportation Institute (NSTI) Proposals (SOWs)

23 USC 140(b)

Annual

TBA

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Divisions recommend approval. HCR gives final approval

Prepare / Review NSTI Report (questionnaire)

23 USC 140(b)

Annual

October 15th

Office of Civil Rights

Civil Rights

Construction and Civil Rights Bureau

Divisions provide to HCR

Receipt of State Consultation Process with Tribal Governments

23 CFR 450.210(c)

As needed

Not Applicable

Office of Federal Lands Highway

Field Ops

Construction and Civil Rights Bureau

Informational Purposes.

Approval of Contracting Procedures for Consultant Selection

23 CFR 172.5 & 172.9

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA Division Office Approval.

Determination of High Risk Categories - Limitation on Interstate Projects

23 USC 106(c)(4)(B)

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

Office of Program Administration determines national categories and must concur on any State designations.

Approval of State 3R Program

23 CFR 625.4(a)(3), 23 USC 109(n)

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA Division Office Approval.

Verify adoption of Design Standards (National Highway System, including Interstate)

23 CFR 625, 23 USC 109(b), 23 USC 109(c)(2), 23 USC 109(o)

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA HQ regulatory action to adopt NHS standards.

Approval of preliminary plans of Major and Unusual Bridges on the Interstate Highway System

(M1100.A)

As needed

Not Applicable

Office of Infrastructure

Structures

Chief Engineer

Director of HIBT has approval of preliminary plans of Major and Unusual Bridges on the Interstate Highway System (M1100.A)

Approval of State Standard Specifications

23 CFR 625.3

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer and

State Construction Engineer

FHWA Division Office Approval.

Verify State Design Exception Policy complies with FHWA Policy

23 CFR 625.3

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA Division Office Approval.

Approval of State Standard Detail Plans

23 CFR 625.3

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA Division Office Approval.

Approval of Pavement Design Policy

23 CFR 626.3

As needed

Not Applicable

Office of Infrastructure

Field Ops

Asset Management and Planning Director

FHWA Division Office Approval.

Review of Value Engineering Policy and Procedures

23 CFR 627.1(b)&(c), 23 CFR 627.7
FHWA Order 1311.1B

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA Division Office Review.

Review of Value Engineering Annual Report

23 CFR 627.7, FHWA Order 1311.1B

Annual

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA Division Office collects, reviews, and submits to HQ for review and reporting.

Review and Approval of Interstate Access Requests

23 USC 111, 23 CFR 710, 74 FR 43743-43746 (Aug. 27, 2009)

As needed

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer

FHWA Division Office approval with concurrence from HQ on more complex access requests.

Approval of Liquidated Damages Rate

23 CFR 635.127

Every 2 years

Not Applicable

Office of Infrastructure

Field Ops

Chief Engineer and

State Construction Engineer

FHWA Division Office Approval.

Approval of Quality Assurance Program

23 CFR 637.205

As needed

Not Applicable

Office of Infrastructure

Field Ops

State Construction Engineer and

State Materials Engineer

State administers, with programmatic agreement by the Division Office, as part of their materials testing and construction quality assurance/acceptance program.

Assure Central Laboratory accredited by AASHTO Accreditation Program or FHWA approved comparable program

23 CFR 637.209

As needed

Not Applicable

Office of Infrastructure

Field Ops

State Materials Engineer

State administers, with programmatic agreement by the Division Office, as part of their materials testing and construction quality assurance/acceptance program.

Assure Non-STD designated lab performing Independent Assurance sampling and testing accredited by AASHTO Accreditation Program or FHWA approved comparable program

23 CFR 637.209

As needed

Not Applicable

Office of Infrastructure

Field Ops

State Materials Engineer

State administers, with programmatic agreement by the Division Office, as part of their materials testing and construction quality assurance/acceptance program.

Assure Non-STD designated lab used in dispute resolution accredited by AASHTO Accreditation Program or FHWA approved comparable program

23 CFR 637.209

As needed

Not Applicable

Office of Infrastructure

Field Ops

State Materials Engineer

State administers, with programmatic agreement by the Division Office, as part of their materials testing and construction quality assurance/acceptance program.

Review Independent Assurance Annual Report

23 CFR 637.207

Annually

1-Mar

Office of Infrastructure

Field Ops

State Materials Engineer

State administers, with programmatic agreement by the Division Office, as part of their materials testing and construction quality assurance/acceptance program.

Assure Labor Compliance - Prevailing Wage Rate

23 USC 113

As needed

Not Applicable

Office of Infrastructure

Civil Rights

Construction and Civil Rights Bureau

FHWA Division Office Review and Approval

Determination of Eligible Preventive Maintenance Activity - Cost-Effective Means of Extending Useful Life Determination

23 USC 116(e)

As needed

Not Applicable

Office of Infrastructure

Field Ops

Pavement Management

FHWA Division Office Approval

Approval of Utility Agreement / Alternate Procedure

23 CFR 645.119

As needed

Not Applicable

Office of Infrastructure

ROW

Utility Manager

FHWA Division Office Approval

Approval of Utility Accommodation Policy

23 CFR 645.215, 23 USC 109(l), 23 USC 123

As needed

Not Applicable

Office of Infrastructure

ROW

Utility Manager

FHWA Division Office Approval

Review Bridge Construction, Geotechnical, and Hydraulics

23 CFR 650

As needed

Not Applicable

Office of Infrastructure

Structures

State Bridge Engineer

 

Review Plans of Corrective Action established to address NBIS compliance issues

23 CFR 650, 23 USC 144

Annually

 

Office of Infrastructure

Structures

State Bridge Engineer

Division office performs annual compliance review and reports results to HQ.

Review NBI Data Submittal

23 CFR 650 Subpart C, Annual Memo from HQ, 23 USC 144

Annually

1-Apr

Office of Infrastructure

Structures

State Bridge Engineer

Division resolve errors with States; States submit to HQ.

Review structurally deficient bridge construction Unit Cost submittal

23 USC 144

Annually

1-Apr

Office of Infrastructure

Structures

State Bridge Engineer

Submit to HQ.

Review Section 9 of the Rivers and Harbors Act Submittals (Bridge Permits)

23 CFR 650 Subpart H; 33 CFR 114 & 115

As needed

Not Applicable

Office of Infrastructure

Structures

State Bridge Engineer

 

Approval for reduction of expenditures for off-system bridges

23 USC 133(g)(2)(B)

As needed

Not Applicable

Office of Infrastructure

Structures

Chief Engineer

The FHWA Administrator may reduce the requirement for expenditures for off-system bridges if the FHWA Administrator determines that the State has inadequate needs to justify the expenditure.

Determination on Adequacy of State's Asset Management Plan

23 USC 119(5)

Annually beginning second fiscal year after establishment of the process

 

Office of Infrastructure

ADA

Asset Management and Planning Director

 

Certification and Recertification of States Process for Development of State Asset Management Plan

23 USC 119(6)

Recertification every four years after establishment of the process

 

Office of Infrastructure

ADA

Asset Management and Planning Director

 

Review Reporting on Performance Targets

23 USC 150(e)

Beginning four years after enactment of MAP-21 and biennially thereafter

 

Office of Infrastructure

Planning

Asset Management and Planning Director

 

Review National Highway System Performance Achievement Plan for Actions to achieve the targets (when State does not achieve or make significant progress toward achieving)

23 USC 119(7)

Required if State does not achieve targets (or significant progress) for 2 consecutive reports

 

Office of Infrastructure

Planning

Asset Management and Planning Director

 

States and sub-recipient failure to maintain projects - Notice and withholding Federal-aid Funds

23 USC 116(d)

As needed

Not Applicable

Office of Infrastructure

Division Administrator

N/A

 

Emergency Relief (ER) Damage Assessments and Reports

23 CFR 668 23 USC 120 and 125

As needed

Not Applicable

Office of Infrastructure

Field Ops

Highway Operations Director

Perform with State.

Toll Credit and Maintenance of Effort (MOE) Calculation and Agreement

23 USC 120(i)

Annually

 

Office of Infrastructure

N/A

N/A

State will calculate the amount of eligible toll credit and submit for approval. FHWA will review and approve the request.

Local Public Agency (LPA) Oversight

49 CFR Part 18 – 18.37 and 18.40; OMB Circular A-133; 23 USC 106(g)(4)

As needed

Not Applicable

Office of Infrastructure

Field Ops

Regional Manager,

Construction Liaison Engineer,

Funding Control

States are responsible to ensure that LPAs are aware of all the applicable Federal-aid Program requirements; States are responsible to ensure monitoring and oversight to assure compliance with Federal requirements. 23 USC further reinforces stressing accountability on "project delivery systems" and "accounting controls."

Approval to Sell, Lease or Otherwise Dispose of a Ferry Purchased with Federal-aid Funds

23 USC 129 (c)(6)

As needed

Not Applicable

Office of Infrastructure

ROW

N/A

Division Office reviews and submits for Office of Program Administration for Administrator Approval

Territorial Highway Program - Approval of Territory Agreement

23 USC 165(c)(5)

Reviewed and Revised as needed every two years

 

Office of Infrastructure

Field Ops

N/A

Division Office works with Office of Program Administration and HCC

TIFIA Credit Program

23 USC 601-609

As needed

Not Applicable

Office of Innovative Program Delivery

Finance Manager

CFO

Asset Management and Planning Director

Project sponsors submit requests for credit assistance to the TIFIA JPO for review; approval by the Secretary

GARVEEs

23 USC 122;
GARVEE Guidance 3/14

As needed

Not Applicable

Office of Innovative Program Delivery

Finance Manager

CFO

Policy Director,

Asset Management and Planning Director

MOUs strongly suggested for each GARVEE issue. FM contacts OIPD for review/concurrence before final approval

State Infrastructure Banks

NHS Act Section 308;
23 USC 610;
SIB Guidance 3/14

Annual Report

Not Applicable

Office of Innovative Program Delivery

Finance Manager

CFO

Division sends copy of report to OIPD. SIB submits annual report to Division Office.

Section 129 Tolling Authority Requests

23 USC 129(a)

As needed

Not Applicable

Office of Innovative Program Delivery

Finance Manager

CFO

At the option of the project sponsor, may execute a Tolling Eligibility MOU with the Division Office; HIN coordinates FHWA HQ review

Section 166 HOV/HOT Lanes Tolling Authority Requests

23 USC 166(d)

As needed

Not Applicable

Office of Innovative Program Delivery

Finance Manager

Policy Director,

Asset Management and Planning Director

At the option of the project sponsor, may execute a Tolling Eligibility MOU with the Division Office; HIN coordinates FHWA HQ review

Value Pricing Pilot Program Tolling Authority Requests

ISTEA Section 1012(b)

As needed

Not Applicable

Office of Innovative Program Delivery

Finance Manager

Policy Director,

Asset Management and Planning Director

Requests submitted to HIN to coordinate review; approval by the Administrator

Interstate System Reconstruction and Rehabilitation Pilot Program Tolling Authority Requests

TEA-21 Section 1216(b)

As needed

Not Applicable

Office of Innovative Program Delivery

Division Administrator

Cabinet Secretary

Applications submitted to HIN to coordinate review; approval by the Administrator

Annual Audit of Toll Facility Records and Certification of Adequate Maintenance - Report Submittal

23 USC 129(a)(3)(B);
TEA-21 Section 1216(b)(5)(B);
SAFETEA-LU Section 1604(b)(3)(A); ISTEA Section 1012(b)(3)

Annually

 

Office of Innovative Program Delivery

Finance Manager

CFO

Division Office to receive the reports.

Project Management Plan (Major Projects)

23 U.S.C. 106(h)(2)

Prior to first federal authorization of construction funds for a Major Project

Not Applicable

Office of Innovative Program Delivery

Division Office will conduct concurrent review with HQ Office of Innovative Program Delivery.

Chief Engineer

Division Office will provide approval after receiving concurrence from HQ Office of Innovative Program Delivery.

Financial Plan (Major Projects)

23 U.S.C. 106(h)(3)

Prior to first federal authorization of construction funds for a Major Project and then annually.

Annually as noted in the approved Initial Financial Plan

Office of Innovative Program Delivery

Division Office will conduct concurrent review with HQ Office of Innovative Program Delivery.

Chief Engineer and

State Construction Engineer

Division Office will provide approval after receiving concurrence from HQ Office of Innovative Program Delivery.

Financial Plan (Other Projects)

23 U.S.C. 106(i)

Prior to first federal authorization of construction funds for an Other Project and then annually.

Annually as noted in the approved Initial Financial Plan

Office of Innovative Program Delivery

Division Office will review and approve Financial Plans for Other Projects in accordance with its stewardship and oversight agreement with the State DOT or Project Sponsor.

Chief Engineer and

State Construction Engineer

Other Projects are defined as projects with an estimated total cost of $100 million or more that have not been designated as Major Projects.

Review Designation and Re-designation of Primary Freight Network

23 USC 167(d)

One year after enactment of MAP-21 and every ten years thereafter

 

Office of Operations

Planning

Planning

Under development, initial PFN designation scheduled for Spring 2014 completion.

Review Development and Update of National Freight Strategic Plan

23 USC 167(f)

Three years after enactment of MAP-21 and every five years thereafter

 

Office of Operations

Planning

Planning

OST lead

Review Freight Transportation Conditions and Performance Report

23 USC 167(g)

Two years after enactment of MAP-21 and every two years thereafter

 

Office of Operations

Planning

Planning

OST lead

Review HOV Operations Report for Tolled Use and Low-Emission and Energy-Efficient Vehicle Use

23 USC 166(d)

Annually

 

Office of Operations

Planning

Planning

 

Congestion Partnerships Assessment

Annual Memo from HQ

Annually

1-Jul

Office of Operations

Planning

Planning

Complete with partners and forward to HQ.

Traffic Incident Management Self-Assessment

Annual Memo from HQ

Annually

1-Jul

Office of Operations

Safety

ITS

Complete with partners and forward to HQ.

Work Zone Self-Assessment

Annual Memo from HQ

Annually

7/1/2013, This project is currently on hiatus and has not been determined whether it will be reestablished or not.

Office of Operations

Safety

Construction and Civil Rights Bureau

Complete with partners and forward to HQ.

Approval of State-Prepared Manual on Uniform Traffic Control Devices - State Traffic Control Manuals

23 CFR 655.603, 23 USC 109(d)

As needed

Not Applicable

Office of Operations

N/A

N/A

 

Review Vehicle Size & Weight Enforcement Plan

23 CFR 657.11, 23 USC 127

Annually

1-Oct

Office of Operations

Planning

Planning Deputy Secretary Business Support & Programs

 

Review Vehicle Size & Weight Enforcement Certification

23 CFR 657.13, 23 USC 141

Annually

1-Jan

Office of Operations

Planning

Planning Deputy Secretary Business Support & Programs

 

Approval of National Network Modifications

23 CFR 658.11

As needed

Not Applicable

Office of Operations

 

N/A

 

Intelligent Transportation System Architecture & Standards

23 CFR Part 940

As needed

Not Applicable

Office of Operations

ITS

ITS

 

Approval of Work Zone Significant Project Determination

23 CFR 630.1010

As needed

 

Office of Operations

Safety

Traffic Design

 

Approval of Exceptions to Work Zone Procedures for Interstate Projects

23 CFR 630.1010

As needed

 

Office of Operations

Safety

Traffic Design

 

Approval of Work Zone Policy and Procedures Conformance Review

23 CFR 630.1014

At appropriate intervals

 

Office of Operations

Safety

Traffic Design

 

Process Review of Work Zone Safety and Mobility Procedures

23 CFR 630.1008, 23 USC 109(e)(2), 23 USC 112(g)

Every 2 years

 

Office of Operations

Safety

Traffic Design and Construction Bureau

 

Approval of State Planning Work Program and Revisions (Part 1)

23 CFR 420.111, 23 CFR 420.115, and 23 CFR 420.209

Annually

Prior to Program Period

Office of Planning, Environment & Realty

Planning

Asset Management and Planning Director

FHWA Division Office Approval.

Approval of State Research and Development Work Program (Part 2)

23 CFR 420.111, 23 CFR 420.115, and 23 CFR 420.209

Annually

Prior to Program Period

Office of Planning, Environment & Realty

Planning

Asset Management and Planning Director

FHWA Division Office Approval.

Approval of State's Distribution of Planning Funds Formula - Allocation Formulas for PL Funds

23 CFR 420.109, 23 USC 104(d)(2)(A)(i)

When Revised

Not Applicable

Office of Planning, Environment & Realty

Planning

Asset Management and Planning Director

FHWA Division Office Approval.

Review of State Public Involvement Procedures

23 CFR 450.210(a)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Asset Management and Planning Director

FHWA Division Office Review to Assure Compliance.

Receipt of State Consultation Process for Non- metropolitan Local Officials

23 CFR 450.210(b)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Asset Management and Planning Director

Informational Purposes.

Review of Long-range Statewide Transportation Plan

23 CFR 450.214

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Asset Management and Planning Director

FHWA Division Office Review to Assure Compliance.

Approval of Statewide Transportation Improvement Program (STIP)

23 CFR 450.216, 23 CFR 450.218(a) & (c), 23 USC 135(g)(7)

At least every 4 years

Not Applicable

Office of Planning, Environment & Realty

Planning

Chief Engineer

Joint FHWA and FTA approval.

Approval of STIP Amendments

23 CFR 450.218(a) & (c)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Chief Engineer

Joint FHWA and FTA approval.

Finding of Consistency of Planning Process with Section 134 and 135

23 USC 135(g)(8), 23 CFR 450.218(b)

Concurrent with STIP approval

Not Applicable

Office of Planning, Environment & Realty

Planning

Chief Engineer

FHWA and FTA issue a joint finding concurrent with STIP approval.

Review of State Self-certification that Planning Process is in Accordance with Applicable Requirements

23 CFR 450.218(a)

Submitted with proposed STIP or STIP amendments

Not Applicable

Office of Planning, Environment & Realty

Planning

Asset Management and Planning Director

Received with STIP.

Approval of Transportation Management Area (TMA) MPO Unified Planning Work Programs (UPWP)

23 CFR 450.308(b) and 23 CFR 420 (Subpart A)

Prior to Program End

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Approval of Non-TMA UPWA

23 CFR 450.308(b) and 23 CFR 420 (Subpart A)

Prior to Program End

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

May use simplified work statement.

Approval of UPWP Revisions and Amendments (All MPO's)

23 CFR 420.115

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Review of UPWP Performance and Expenditure Reports (All MPO's)

23 CFR 420.117(b)

Not more frequently than quarterly

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Approval of Report Before Publication (All MPO's)

23 CFR 420.117(e)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Waiver may be granted.

Approval to use Planning Funds outside Urbanized Areas for States Receiving Minimum Apportionment

23 USC 104(d)(1)(A)(ii)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Review of Metropolitan Planning Area Boundary (Establishment and Changes)

23 CFR 450.312

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Approval by MPO and the Governor, shape files forwarded to HQ. (Comment: No action is required by FHWA/FTA).

Review of Metropolitan Transportation Planning Organizations (MPO) Designation and Re-designation

23 CFR 450.310

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Require agreement between Governor and local governments.

Review of Metropolitan Planning Agreements (MPA) for Attainment or Entire Nonattainment Area

23 CFR 450.314(a)

When Completed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Between MPO/State DOT/Transit Operator. Included in UPWP or Prospectus (23 CFR 450.314(d)).

Review of MPA - for MPA that do not include the entire nonattainment or maintenance area

23 CFR 450.314(b), 23 USC 109(j)

When Completed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Between MPO/State DOT/State AQ Agency.

Review of MPO Public Participation Procedures

23 CFR 450.316(a)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Must be developed and published.

Review of Metropolitan Transportation Plan (MTP) in Attainment Areas (and Updates)

23 CFR 450.322

Every 4 years

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Review of MTP in Non-Attainment and Maintenance Areas (and Updates)

23 CFR 450.322

Every 5 years

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Review of MTP Amendments

23 CFR 450.322(c)

As Needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Air Quality Conformity Determination on LRTP in Non-attainment and Maintenance Areas

23 CFR 450.322(d)

Concurrent with LRTP updates at least every 4 years and as needed on amendments

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

After receipt of MPO determination; Joint FHWA and FTA determination; In consultation with the Environmental Protection Agency (EPA).

Review of Transportation Improvement Program (TIP)

23 CFR 450.300(a); 23 CFR 450.324(b); 23 CFR 450.328(a), 23 USC 134(j)(1)(D)

Prior to Program Period

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning,

STIP

No succinct Federal approval action is required for the TIP. FHWA/FTA approval of the TIP is through the STIP approval process.

Review of TIP Amendments

23 CFR 450.324(a); 23 CFR 450.328(b)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning,

STIP

No succinct Federal approval action is required for the TIP. FHWA/FTA approval of the TIP is through the STIP approval process.

Approval of Air Quality Conformity Determination on TIP

23 CFR 450.326; 23 CFR 450.328

At least every 4 years, or when the TIP has been modified (unless exempt projects)

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Applies to non-attainment and maintenance areas only. After receipt of MPO determination, joint determination with FTA (in cooperation with EPA).

Federal Finding of Consistency of Planning Process with Section 134 and 135

23 CFR 450.218(b); 23 CFR 450.334(a)

Concurrent with (S)TIP submittal

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

At least every four years, joint finding with FTA when TIP is submitted.

In Metropolitan Planning Areas, Review of State and MPO Self-certification that Planning Process is in Accordance with Applicable Requirements

23 CFR 450.334 (a), 23 CFR 218(a)

Annually or concurrent with the STIP/TIP cycle

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Required for all MPO's. May be included in the STIP, TIP, or UPWP, at least every 4 years.

In TMA's, Certification that Planning Process is in Accordance with Applicable Requirements

23 CFR 450.334(b), 23 USC 134(k)(5)

Every 4 years

 

Office of Planning, Environment & Realty

Planning

Planning

Joint FHWA and FTA Certification.

Approval of Federal-Aid Urban Area Boundaries

23 CFR 470.105 (a), 23 USC 101(a)(33)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Approval of Revision of Functional Classification

23 CFR 470.105 (b)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Approval by Administrator of Interstate Additions & Revisions

23 USC 103(c)(1)(D), 23 CFR 470.111, 23CFR 470.115 (a)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Approval by HQ – Administrator.

Approval by Office Director of National Highway System (NHS) Additions and Revisions

23 USC 103(b)(3), 23 CFR 470.113 and 470.115(a)

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

Approved by HQ - Office Director.

Review of CMAQ Annual Report

CMAQ Guidance Memo October 31, 2006

Annually

1-Mar

Office of Planning, Environment & Realty

Planning

Planning

Division provides information on CMAQ projects including: amount of obligation, project description and location, and air quality benefits. The report must be submitted via the web-based CMAQ Tracking System.

Transportation Planning Excellence Awards

 

Annually

1-Feb

Office of Planning, Environment & Realty

Planning

Planning

Call for entries for the FHWA FTA Transportation Planning and Excellence Awards.

Approval of Local Technical Assistance Program (LTAP) Centers Work Plan and Budget

FHWA LTAP Field Manual

Annually

31-Mar

Office of Planning, Environment & Realty

Planning

Planning

FHWA HQ approval.

Approval of Public Involvement Program Procedures

23 CFR 771.111(h), 23 USC 128

As needed

Not Applicable

Office of Planning, Environment & Realty

Planning

Planning

 

Approval of NEPA Procedures, including Section 4(f)

23 CFR 771; 23 CFR 774; SAFETEA-LU 6007 & 6009, 23 USC 109(h)

As needed

Not Applicable

Office of Planning, Environment & Realty

Environment

Environment

 

Approval of Noise Policies

23 CFR 772.7, 772.9, and 772.13, 23 USC 109(i)

As needed

Not Applicable

Office of Planning, Environment & Realty

Environment

Environment

FHWA approves State' noise abatement policy.

EIS Status Updates

FHWA Strategic Goal - EIS Timeliness

Quarterly

(Fiscal Year - Oct, Jan, Apr, Jul)

Office of Planning, Environment & Realty

Environment

Environment

Monitor time required to complete EIS's. Determine projects which have exceeded recommended timeline (3 years). Identify projects which should be listed as dormant. Submit to HEPE.

Endangered Species Act Cost Report

 

Annually

1-Mar

Office of Planning, Environment & Realty

Environment

Environment

 

Exemplary Ecosystem Initiatives Applications

 

Annually

1-Apr

Office of Planning, Environment & Realty

Environment

Environment

 

Approval of Acquisitions, Appraisals, and Relocations Program and Procedures

49 CFR Part 24, The UA

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Early Acquisitions

23 CFR 710.501

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Local Public Agency Oversight

49 CFR 24.4(b); 23 CFR 710.201

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of Highway Facility Relinquishment

23 CFR 620.203

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of ROW Disposal Authorization Request

23 CFR 710.409

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of ROW Operations Manual (Organization, Policies and Procedures), Updates, and Certification

23 CFR 710.201

January 1, 2001 and every 3 years thereafter or as required by changes in State law or Federal regulation or law

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of Exception to Charging Fair Market Value

23 CFR 710.403 and 23 CFR 710.409

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of Interstate Real Property Use Agreements

23 CFR 710.405

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of Request for Federal Land Transfer

23 CFR 710.601

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of Request for Direct Federal Acquisition

23 CFR 710.603

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of Outdoor Advertising Policies and Procedures, and Regulation and Procedure Approval

23 CFR 750.304, 23 CFR 750.705, 23 USC 131

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

State Maintenance Engineer

 

Approval of Requests to Exempt Certain Nonconforming Signs, Displays, and Devices

23 CFR 750.503

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

State Maintenance Engineer

 

Approval of Railroad Agreement Alternate Procedure

23 CFR 646.220

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

Rail Manager

 

Approval of Uniform Act Waivers and Waivers from Availability of Comparable Replacement Dwelling before Displacement

49 CFR 24.7, 49 CFR 24.204(b)

As needed

Not Applicable

Office of Planning, Environment & Realty

ROW

ROW

Requests reviewed and approved by HEPR Office Director.

Review of Uniform Relocation Assistance & Real Property Acquisition Report -(OMB Form 2125-0030)

49 CFR 24.9c & Appendix B 49 CFR 24.603

Annually

15-Nov

Office of Planning, Environment & Realty

ROW

ROW

Submitted to FHWA Headquarters (HQ).

Review of Real Property Acquisition Statistical Report

FHWA Order 6540.1

Annually

15-Nov

Office of Planning, Environment & Realty

ROW

ROW

 

Approval of Management Process and Project Selection Procedures and Certification for Research, Development & Technology Transfer Program and Revisions to Process

23 CFR 420.115 and 23 CFR 420.209

As needed

Not Applicable

Office of Planning, Environment & Realty

Field Ops

Asset Management and Planning Director

FHWA Division Office Approval.

Periodic Review of States Management Process of the Research, Development & Technology Transfer Program

23 CFR 420.209

Periodic

Not Applicable

Office of Planning, Environment & Realty

Field Ops

Asset Management and Planning Director

FHWA Division Office Periodic Review.

Approval of Performance and Expenditure Reports for SPR Research Work Programs

23 CFR 420.117

No less frequently than annual and no more frequently than quarterly

90 Days After End Of Period

Office of Planning, Environment & Realty

Field Ops

Asset Management and Planning Director

FHWA Division Office Approval.

Approval of SPR research reports

23 CFR 420.117

Prior to publication unless prior approval is waved

Not Applicable

Office of Planning, Environment & Realty

Field Ops

Asset Management and Planning Director

FHWA Division Office Approval unless waived.

Annual Traffic Reports

Traffic Monitoring Analysis System and Traffic Monitoring Guide reporting

When Published

As needed

Office of Highway Policy information

Field Ops

Asset Management and Planning Director

When Published

Approval of Annual Field Review Report

HPMS Field Review Guidelines (June 2001) Continuous Process Improvement Model for HPMS( February 2003)

Annually

1-Nov

Office of Highway Policy information

Field Ops

Asset Management and Planning Director

Review memo to HQ.

Approval of Certified Public Road Mileage

23 CFR 460.3(b)

Annually

1-Jun

Office of Highway Policy information

Field Ops

Asset Management and Planning Director

Each year, the Governor of each State and territory or a designee must certify Public Road Mileage. FHWA division reviews the Mileage and sends to HQ with division review/concurrence. This is reported to NHTSA for Apportionment of Safety Funds.

Approval of Data Submittal

23 CFR 420.105(b), HPMS Field Manual

Annually

15-Jun

Office of Highway Policy information

Field Ops

Asset Management and Planning Director

State DOT sends directly to Division Office and HQ.

Highway Statistics Reports

Guide to Reporting Highway Statistics

   

Office of Highway Policy information

Field Ops

CFO, Accounting, Asset Management and Planning Director

State DOT of Division Office sends directly to HQ.

Motor Fuels Report

A Guide to Reporting Highway Statistics, Chapter 2

Due 60 days after end of each reporting month

 

Office of Highway Policy information

Field Ops

Chief Economist

 

Vehicles and Drivers (561, 562, 566, and 571)

A Guide to Reporting Highway Statistics, Chapters 3, 4, 5, and 6

1-Apr

1-Apr

Office of Highway Policy information

Field Ops

Chief Economist

 

Finance (531, 532, 541, 542, and 543 (optional)

A Guide to Reporting Highway Statistics, Chapters 8 and 9

1-Apr

1-Apr

Office of Highway Policy information

Field Ops

Accounting

 

Transportation Bond Referendums

A Guide to Reporting Highway Statistics, Chapter 9

When Published

When Published

Office of Highway Policy information

Finance Manager

Accounting

 

State DOT / Toll Authority Audits and Published Annual Reports and Form 539 (optional)

A Guide to Reporting Highway Statistics, Chapter 10

When Published

When Published

Office of Highway Policy information

Finance Manager

CFO

Accounting

Annually, Due as soon as available.

Finance (536)

A Guide to Reporting Highway Statistics, Chapter 11

30-Sep

30-Sep

Office of Highway Policy information

Finance Manager

Chief Economist

Biennially for odd-numbered years. Due nine months after end of reporting year

Finance (534)

A Guide to Reporting Highway Statistics, Chapter 12

15-Jun

15-Jun

Office of Highway Policy information

Finance Manager

Field Ops

Accounting,

Maintenance Management,

STIP

Annually for State, Biennially for local

Highway Finance and Tax Legislation

A Guide to Reporting Highway Statistics, Chapter 13

When Published

When Published

Office of Highway Policy information

Finance Manager

Accounting

 

State DOT Budgets and Published Annual Reports

A Guide to Reporting Highway Statistics, Chapter 13

When Published

When Published

Office of Highway Policy information

Finance Manager

Accounting

 

Motor Fuel Oversight Review

July 24, 2001 HQ Memo

Initial baseline reports no later than December 31, 2003

 

Office of Highway Policy information

Field Ops

Chief Economist

Annual progress reports and statement of verification by June 30. Submitted via UPACS.

Review of Biennial - Toll Facilities in the United States

23 CFR 450.105(b) HPMS Field Manual

Biennially - Odd Years

June 15 (Odd Years)

Office of Highway Policy information

N/A

N/A

Division Office sends to HQ.

State Highway Maps (Tourist)

 

When Published

When Published

Office of Highway Policy information

Planning

Planning

Two copies to each Division Office and 100 copies to HQ.

Traffic Flow Maps

 

When Published

 

Office of Highway Policy information

ITS

Data Management Bureau

When Published.

Vehicle Classification Data

MAP-21, HPMS Field Manual, Traffic Monitoring Guide

15-Jun

15-Jun

Office of Highway Policy information

Field Ops

Data Management Bureau

Part of Annual HPMS submittal.

Highway Use Tax Evasion Grant Awards

23 USC 143

Annual

Not Applicable

Office of Highway Policy information

Finance Manager

N/A

FHWA along with the Internal Revenue Service will review applications and select awardees for projects designed to reduce or eliminate fuel tax evasion. FHWA will also review annual progress reports on projects.

Heavy Vehicle Use Tax (HVUT) – Certification of verifying proof-of-payment of HVUT

23 CFR 669.7

1-Jul

1-Jul

Office of Highway Policy information

Field Ops

Chief Economist

Each year, the Governor of each State, or a designee must certify that the State is verifying that the HVUT has been paid before they issue or renew registrations on vehicles over 55,000 lbs. The HVUT program is administered by the Internal Revenue Service.

Heavy Vehicle Use Tax (HVUT) – Certification of verifying proof-of-payment of HVUT

23 CFR 669

Annual

1-Jan

Office of Highway Policy information

Field Ops

Chief Economist

Each year, the Governor of each State, or a designee must certify that the State is verifying that the HVUT has been paid before they issue or renew registrations on vehicles over 55,000 lbs. The HVUT program is administered by the Internal Revenue Service.

Heavy Vehicle Use Tax (HVUT) – Triennial review of State program

23 CFR 669.21

Triennial

Not Applicable

Office of Highway Policy information

Field Ops

Chief Economist

Every 3 years, the local Division Office will perform a review of the State process for verifying that the HVUT has been paid before a registration can be issued or renewed for vehicles over 55,000 lbs. The HVUT program is administered by the Internal Revenue Service.

Permanent ATR Data

Heavy Vehicle Travel Information System Field Manual

Monthly

Monthly

Office of Highway Policy information

Field Ops

Data Management Bureau

Submit monthly, within 20 days after the close of the month for which the data were collected.

Continuous Automatic Vehicle Classifier Data

Heavy Vehicle Travel Information System Field Manual

Monthly

Monthly

Office of Highway Policy information

Field Ops

Data Management Bureau

Send up to one week of data per quarter

Weight and Vehicle Classification Data Collected at Weigh-in-motion sites

Heavy Vehicle Travel Information System Field Manual

15-Jun

As needed

Office of Highway Policy information

Field Ops

Data Management Bureau

WIM data collected at non-continuous sites during a year should be submitted by June 15 of the following year. If continuous WIM data are available, then up to one week of data per quarter.

Approval of MAP-21 compliant SHSP update within the legislatively required timeframe.

23 U.S.C. 148 (d)(2)(B)

Non Recurring

By Aug. 1 of the fiscal year after the HSIP final rule is established

Office of Safety

Safety

Asset Management and Planning Director

FHWA Division Offices provide copy of SHSP process approval letter to HQ.

Highway Safety Improvement Program (HSIP) and Railway-Highway Crossing Program (RHCP) Reports

23 USC 148(h), 23 CFR 924.15

Annually

31-Aug

Office of Safety

Safety

Planning, Rail Managers

As per MAP-21 guidance, reports are due to FHWA Division Office by August 31st and to the Office of Safety by September 30.

Transportation Performance Management (TPM) for Safety

23 USC 150, 23 USC 134, 23 USC 135, 23 USC 148(i)

Annually

31-Aug

Office of Safety

Safety

Asset Management and Planning Director

Per MAP-21, States and MPOs must set targets for established measures. Targets must be assessed for achievement

Review Drug Offender Driver's License Suspension Law & Enforcement Certification (Section 159)

23 USC 159 23, CFR 192.5

Annually

1-Jan

Office of Safety

Safety

Traffic Safety Division



Certifications due to the Division Office by January 1.

Section 154/164 Compliance Status - Funds Reservation

23 USC 154 and 23 USC 164

Annually

30-Oct

Office of Safety

Field Ops

Traffic Safety Division

States must submit a Shift letter to the Division Office by Oct. 30 indicating how to apply the penalty. New penalty states have additional time. The Office of Safety processes the compilation of information in a memo to the CFO.

Review Safety Belt Compliance Status

23 USC 153, 23 CFR 1215.6

Annually

Annually

Office of Safety

Safety

Traffic Safety Division

NHTSA

High Risk Rural Roads (HRRR) Special Rule

23 USC 148(g)(1)

Annually

Annually

Office of Safety

Field Ops

Planning

After the final FARS and HPMS data are available, FHWA HQ will inform the States if the HRRR Special Rule applies for the following FY.

Older Drivers and Pedestrians Special Rule

23 USC 148 (g)(2)

Annually

31-Aug

Office of Safety

Safety

Planning

States should include in their annual HSIP reports (due August 31st) the calculations performed, verifying whether the Older Driver Special Rule applies in the State. If the Special Rule applies to a State in a given year, the State must include in its subsequent SHSP strategies to address the increases in the fatality and serious injury rates for drivers and pedestrians over the age of 65.

FHWA Emergency Preparedness Program

Executive Order 12656 and FHWA Order 1910.2C

As needed

Not Applicable

Office of Operations

Field Ops

Highway Operations Director

National Programs.

Attachment C: MANUALS AND OPERATING AGREEMENTS (As of December 2014)

Document / Manual Description

Location (Agency)

Approved Date

Date next Revision

Owner

Approver

Availability

Basis

DBE Program Plan/Manual

Construction/Civil Rights Bureau

2012

2015

Construction and Civil Rights Bureau

DA

[Link]

49 CFR 26

Title VI Program Plan

Construction and Civil Rights Bureau

2011

2014

Construction and Civil Rights Bureau

DA

[Link]

49 CFR 21; 23 CFR 200

Contractor Compliance Program Plan

Construction and Civil Rights Bureau

2012

2015

Construction and Civil Rights Bureau

DA

[Link]

23 CFR 230

On-the-Job Training Program

Construction and Civil Rights Bureau

2012

2015

Construction and Civil Rights Bureau

DA

[Link]

23 CFR 230

State Internal Equal Employment Opportunity Program

Construction and Civil Rights Bureau

2011

2014

NMDOT Human Resources Division

DA

[Link]

23 CFR 230

ADA Transition Plan

Construction and Civil Rights Bureau

2014 (Pending)

2014

Construction and Civil Rights Bureau

DA

Hard Copy (Contact: Damian Segura, Interim Director OEOP, damian.segura@state.nm.us)

28 CFR 35

EEO/Civil Rights Field Procedures Manual

Construction and Civil Rights Bureau

2014

 

Construction and Civil Rights Bureau

 

[Link]

49 CFR 26

Construction Guide

Construction and Civil Rights Bureau

Feb-14

updated

Construction and Civil Rights Bureau

NMDOT

Hardcopy

NMDOT Construction procedures

Standard Specifications

Construction and Civil Rights Bureau

2014

 

Construction and Civil Rights Bureau

FHWA

[Link]

23 CFR

Office Procedures (Manual) Guide

Construction and Civil Rights Bureau

2009

 

Construction and Civil Rights Bureau

NMDOT

Will be placed in internal drive/server for NMDOT use

NMDOT Audit procedures consistency of project administration

Consultant Services Procedures Manual & Handbook

NMDOT Consultant Management Unit

26-Apr-06

 

NMDOT Consultant Management Unit Manager

FHWA Area Engineer & NMDOT Chief Engineer

[Link]

23 CFR 172.9 & NMAC

State Procurement Code

NMDOT Procurement Services Bureau

Living Document

Updated As Needed

State of New Mexico

Legislature

[Link]

NMAC

Office of Infrastructure Design Directives

NMDOT Office of Infrastructure

As needed

 

NMDOT Chief Engineer

NMDOT Chief Engineer

[Link]

NMDOT Department Policy

Manual on Uniform Traffic Control Devices, FHWA

NMDOT Office of Infrastructure

2009

 

NMDOT Office of Infrastructure

NMDOT Chief Engineer

[Link]

Chapter 66,Article 7 NMSA 1978

A Policy on the Geometric Design of Highways and Streets, AASHTO

NMDOT Office of Infrastructure

2011 6th Edition

 

NMDOT Office of Infrastructure

NMDOT Chief Engineer

Hard Copy

23 CFR 625.4

Location Study Procedures

NMDOT Chief Engineer

August 2000

 

NMDOT Environmental Design Bureau

NMDOT Cabinet Secretary

[Link]

23 CFR 771

NMDOT Environmental Program Guidance & Procedures

FHWA
NMDOT

February 2006

 

NMDOT Environmental Design Bureau

FHWA Division Administrator

Hardcopy

23 CFR 771

Programmatic Categorical Exclusion

NMDOT Design

February 2006

 

NMDOT Environmental Design Bureau

FHWA Division Administrator / Bureau Chief

Hardcopy

23 CFR 771.117

Desk Manual

NMDOT Accounting Services

6/30/12

 

NMDOT Project Billing Supervisor

NMDOT Accounting Services Mgr.

Network Drive

Internal Process

FHWA Billing Procedures

NMDOT Accounting Services

Aug-06

 

NMDOT Office Chief Financial Officer

NMDOT Assistant Accounting Services Mgr.

RASPS Help Menu

US Treasury Policy

DFA MAPS

DFA Financial Control

2011

 

DFA CAFR

DFA Comptroller

[Link]

State Statute

FIRE Regulation

FHWA (Financial Services Team)

4/21/2014

 

FHWA Financial Services Team

FHWA Administrator

FHWA Web Site

FHWA FIRE Order 4560.1c

Pavement Design Policy and Guidelines

NMDOT

7/21/08

 

NMDOT Pavement Design Unit

NMDOT Chief Engineer and Pavement Design Unit Head

[Link]

23 CFR 626

Annual Work Program / UPWP Policies and Procedures

NMDOT

Oct-14

 

NMDOT Planning Division Director

NMDOT Cabinet Secretary

[Link]

23 USC 134 23 USC 135 and regulations

MPO Quick Reference Guide (GTG)

NMDOT

Adopted October 2013

Amend August 2014

NMDOT Planning Division Director

NMDOT Cabinet Secretary

[Link]

NMDOT Management Tool

Public Involvement Process (PIP)

NMDOT

Jun-14

 

NMDOT Planning Division Director

NMDOT Cabinet Secretary

[Link]

23 USC 450.210(a)(2)

RPO Handbook

NMDOT

Adopted October 2013

Updated August 2014

NMDOT Planning Division Director

NMDOT Cabinet Secretary

[Link]

NMDOT Management Tool

STIP/TIP Policies & Procedures

Program Mgmt.

2/09/12

Jun-14

NMDOT Program Management Division Director

NMDOT Cabinet Secretary

[Link]

23 USC 134 23 USC 135 and regulations

Tribal / Local Gov't Handbook (TLGA)

NMDOT

October 2007

Updated May 2014

NMDOT Planning Division Director

NMDOT Cabinet Secretary

[Link]

NMDOT Management Tool

Research Policies and Procedures Manual

NMDOT Research Bureau

Jul-09

 

NMDOT Research Bureau

FHWA and NMDOT Cabinet Secretary

Hardcopy

23 CFR 420.209

Technical Panel Handbook

NMDOT Research Bureau

Jul-09

 

NMDOT Research Bureau

NMDOT Research Bureau Chief.

Hard Copy

23 CFR 420.209

Technology Transfer Guidelines

NMDOT Research Bureau

Jul-09

 

NMDOT Research Bureau

FHWA and NMDOT Research Bureau Chief

Hard Copy

23 CFR 420.209

ROW Handbook,

NMDOT ROW Bureau

1-2011

 

NMDOT ROW Bureau

FHWA

[Link]

23 CFR 710.201

Access Management Manual

NMDOT Traffic

9-2001

 

NMDOT Traffic Technical Support Bureau

NMDOT

Hard Copy

State Law

Planning Division Policy and Procedures Manual

NMDOT Planning Division

Under Develop

 

NMDOT Planning Division

FHWA reviews

Will be available by hard copy and website

Recommend by FHWA

Traffic Safety Division Policy and Procedures Manual

NMDOT Traffic Safety Division

2011

 

NMDOT Traffic Safety Division

NHTSA

Hard Copy

Recommend by NHTSA

HSIP Policy and Procedures Manual

NMDOT Traffic Technical Support Bureau

Jun-10

 

NMDOT Traffic Technical Support Bureau

FHWA Safety Engineer

Hardcopy (and electronic file) at Traffic Technical Support Bureau

FHWA Office of Safety Guidance

Highway Safety Manual

NMDOT Traffic Technical Support Bureau

Jun-14

 

NMDOT Traffic Technical Support Bureau

FHWA Safety Engineer

Hardcopy (and electronic file) at Traffic Technical Support Bureau

FHWA Office of Safety Guidance

AASHTO LRFD Bridge Construction Specifications

NMDOT State Construction Bureau

2010

 

AASHTO

AASHTO

[Link]

 

AASHTO The Manual for Bridge Evaluation

NMDOT Bridge Bureau

2011

 

AASHTO

AASHTO

   

AASHTO Guide Manual for Bridge Element Inspection

NMDOT Bridge Bureau

2011

 

AASHTO

AASHTO

   

AAASHTO LRFD Bridge Design Specifications, 6th edition

NMDOT Bridge Bureau

2012

 

AASHTO

AASHTO

   

FHWA Recording and Coding Guide for the Structure Inventory and Appraisal of the Nation's Bridges

NMDOT Bridge Bureau

1995

 

FHWA

FHWA

[Link]

 

National Bridge Inspection Standards

NMDOT Bridge Bureau

2012

 

FHWA

FHWA

[Link]

 

FHWA Safety Inspection of In-Service Bridges

NMDOT Bridge Bureau

2012

 

FHWA

FHWA

[Link]

 

NMDOT Construction Manual

Construction and Civil Rights Bureau

1987

 

NMDOT

NMDOT

   

NMDOT Standard Specifications for Highway and Bridge Construction

Construction and Civil Rights Bureau

2007

 

NMDOT

NMDOT

[Link]

 

NMDOT Bridge Design Guide

NMDOT Bridge Bureau

Apr-14

 

NMDOT Bridge Bureau

NMDOT

[Link]

 

NMDOT Quality Assurance Plan

NMDOT Bridge Bureau

2012

 

NMDOT Bridge Bureau

NMDOT

   

DMS Operational Guidelines

NMDOT-ITS

Mar-13

 

NMDOT Manager ITS Operations

Cabinet Secretary

[Link]

MUTCD Compliance

Statewide Architecture

NMDOT-ITS

Sep-12

 

NMDOT Manager ITS Operations

FHWA ensures in place

[Link]

23 CFR 940

AMPA (Albq. Planning Area)

NMDOT-ITS & MRCOG

Dec-11

 

NMDOT Manager ITS Operations & MRCOG

FHWA ensures in place

[Link]

23 CFR 940

Santa Fe Architecture

NMDOT-ITS

Dec-11

 

NMDOT Manager ITS Operations

FHWA ensures in place

[Link]

23 CFR 940

Las Cruces Architecture

NMDOT-ITS

Jun-14

 

NMDOT Manager ITS Operations

FHWA ensures in place

[Link]

23 CFR 940

Farmington Architecture

Farmington MPO

In Process

 

NMDOT Manager ITS Operations

FHWA ensures in place

Hardcopy (Farmington MPO)

23 CFR 940

Tribal and Local Government Handbook

NMDOT Statewide Planning Bureau

Oct-07

 

NMDOT Statewide Planning Bureau

NMDOT Cabinet Secretary

[Link]

23 CFR

Cooperative Project Agreement – Design Work

NMDOT-PINF Finance

Nov-14

 

NMDOT PINF Finance

     

Cooperative Project Agreement – Construction Work

NMDOT-PINF Finance

Nov-14

 

NMDOT PINF Finance

     

T/LPA PS&E Checklist

Construction and Civil Rights Bureau

           

NMDOT Spec Book

Construction and Civil Rights Bureau

2014

 

NMDOT

NMDOT Cabinet Secretary (FHWA concurs)

[Link]

23 CFR 635

FHWA T/LPA Reference Guide

N/A

Apr-11

 

FHWA

FHWA Office of Program Administration

[Link]

23 CFR

NMDOT Single Audit Act Procedures Manual

NMDOT Office of Inspector General

Jan-12

 

NMDOT OIG

NMDOT Cabinet Secretary

Hardcopy

OMB A-133 Single Audit

NMDOT T/LPA Website

NMDOT Statewide Planning Bureau

2012

 

NMDOT Statewide Planning Bureau

NMDOT Cabinet Secretary

[Link]

Department Website

 

Attachment D: Projects of Division Interest/Projects of Corporate Interest

The goal of risk-based project stewardship and oversight is to optimize the successful delivery of programs and projects and help ensure compliance with federal requirements. FHWA Risk-Based Project Stewardship and Oversight involves three main avenues of project involvement: 1) project approval actions, 2) data-driven compliance assurance, i.e., the Compliance Assessment Program (CAP), and 3) risk-based stewardship and oversight involvement in Projects of Division Interest (PoDI), including Projects of Corporate Interest (PoCI) which are a subset of PoDIs (See below)

Attachment E is the checklist that is used to determine if a project falls into the PoDI/PoCI consideration. The document is titled: PoDI / PoCI Oversight Screening Criteria

The assessment for designation of PoDI / PoCI's is as follows:

Procedure:

The FHWA Field Operations Team Leader and NMDOT's State Construction Engineer will meet quarterly to review the list of upcoming projects and assign oversight. The first meeting will be at the beginning of each Federal fiscal year and upon STIP approval. Preliminary annual assignments will be made for the upcoming three years.

The FHWA retains responsibility of authorizing environmental documents. The FHWA Operations Engineer, in cooperation with NMDOT, will further evaluate oversight assignment at this time and document that determination on the Screening Criteria form.

A Screening Criteria will be filled out for each project and kept in the project file. NMDOT's Construction Bureau will keep these on file for all projects. In addition the Division will keep files on PoDI projects. The Screening Criteria will become part of the project records.

Designation of these projects in Fiscal Management Information System (FMIS) is located in Project Oversight Designation Requirement in FMIS

Risk Levels Assignment: The level of risk associated with each element of a project in the Oversight Screen Criteria above varies from 0 to 3. A rating of 0 indicates that the project element has little or no risk associated with it; conversely a 3 would indicate that this project element has a considerable or high risk. An example of a 0 risk level would for instance be an overlay or pavement preservation project where all elements detailed above were considered and no impact to any environmental characteristic (natural resources waterways, etc., cultural resources historical or tribal, Project complexity was minimal as no geometric or capacity issues were entertained, No Special Interest groups or issues were identified. e.g. equestrian or bicycle activities or groups, special political interest groups local or other, and no atypical funding or other regulatory office. e.g. Army Corp, Federal Lands, State Lands etc. were impacted by the project. The project will be reviewed twice at a minimum and the appropriate risk level assigned and final oversight responsibility developed.

Project of Division or Corporate Interest (PoDI / PoCI): Projects of Division or Corporate Interest (PoDI / PoCI) designated as full oversight or PoDI / PoCI projects may be classified as full oversight or have project elements that will be given additional scrutiny and oversight from Division Office staff. The NMDOT will receive written notice of the project's designation detailing the project elements that will have increased oversight. TIGER Grant Projects and Major Projects will automatically be designated as a PoDI.

Division Office to complete PoDI / PoCI questionnaire in the SharePoint Site for each project designated as a PoDI.

File All PoDI / PoCI Documents in the Division Office PoDI / PoCI files.

Attachment E: PoDI / PoCI Oversight Screening Criteria/Checklist

Oversight screening criteria for Federal-Aid, PoDI or PoCI projects are determined through use of a checklist which provides a basis to determine if the project is to be categorized as a PoDI or PoCI project. The directions for completing the checklist found below are as follows:

Tier I: Use Tier I Criteria to determine the first line filter for Federal Oversight or designation as a Project of Division or Corporate Interest (PoDI/PoCI). If a project meets Tier I Criteria, then further review the project using Tier II for final determination. If Tier I criteria is not met, the project will be considered as State Administered.

Tier II: Categorize a project as Federal Oversight or PoDI/PoCI if it scores 18 points or higher in Tier II. Use the project scores for guidance only. The final determination rests with the rating officials. Consider the size and complexity of the overall program needs as well when rating a project.

Rate each element with a score of 0 to 3, with 3 representing the higher risk or complexity. Enter the total of those scores in the TOTAL SCORE for Tier II box. Each element receives a rating. For example, if in the 'Special Interest' category, the Federal, State and Local elements each receive a rating of two (2), then the total rating for that category is six (6).

Other:

Examples of the use of the 'other' category are:

Checklist next page:

Federal Project Number: __________________ State Control Number: ______________________

1.)Tier I Criteria

IF Yes:

If No:

TIGER Grant Project

Proceed to 3.) TOTAL SCORE Section A.)

Proceed to Tier II

Project predetermined to be of high risk or importance to the Division or Federal-aid program

Proceed to TOTAL SCORE Section A.)

Proceed to Tier II

Projects on the NHS that alter current geometry.

Proceed to Tier II

Proceed to TOTAL SCORE Section B.)

Use Tier I Criteria to determine the first line filter for Federal Oversight.

2.)Tier II Criteria

Risk (0-3)

Score

Level of Environmental Review (EIS/EA/CE)

  • Natural Resources/Conflicts
  • Cultural Resources/Conflicts
  • Public Controversy/Conflicts

0-3
0-3
0-3

 

Certification Issues/Problems (Environnent, Utilities, R/W, R/R, ITS)

0-3

 

Project Complexity

  • Design
  • Access Control Issues
  • Construction
  • Innovative Contracting Techniques
  • Alternate Technical Concepts
  • Design Build
  • Contractor or Construction Conflict, Issues, Elements, etc………….

0-3
0-3
0-3
0-3
0-3
0-3
0-3

 

Special Interest (Specify) (Environmental, Political, Special Interest Groups, etc.)

  • Federal (           )
  • State (           )
  • Local (           )

0-3
0-3
0-3

 

Other (Specify)

0-3

 

Total Score

   

Other –Use of the "other" category is for projects which involve other federal or state agencies (exclusive of FHWA and NMDOT). Use of the "other" category can extend to projects with atypical funding or legislative (state or federal) programs.

3.) TOTAL SCORE Classification

YES - NO

A. PoDI/PoCI or Full Oversight (Score > 18, Very High Risk and/or TIGER Grant Project)

 

B. State Oversight

 

A project with a score of 18 or higher will be classified as a PoDI or PoCI.

Notes: If designated as a PoDI/PoCI the following project elements will receive increased oversight:

Concurred on by:

NMDOT__________________________________________ Date: ____________________

FHWA ___________________________________________ Date: ____________________

Attachment F: Glossary

Assumption of Responsibilities – The act of NMDOT to accept responsibility for carrying out and approving certain actions in the place of the FHWA. Such actions are to be taken by the NMDOT in conformance with Federal laws, regulations, and policies.

Assumed Projects – Federal projects that the NMDOT reviews in the place of the FHWA and has the authority to approve certain specified actions pertaining to design; plans, specifications, and estimates; contract awards; and inspections.

Certification Reviews – A review that formalizes the continuing oversight and day-to-day evaluation of the planning process.

Control Document – Applicable laws, regulations, standards, policies, and standard specifications approved by FHWA for use on Federal-aid highway projects.

Core Functions – Activities that make up the primary elements of the division office's Federal- aid oversight responsibilities based on regulations and national policies. Core functions in the division office are Planning, Environment, Right-of-Way, Design, Construction, Finance, Operations, System Preservation, Safety, and Civil Rights.

Locally Administered Projects – For the purpose of the S&O Agreement, a Federal-aid project in which an entity other than a traditional NMDOT is a sub-recipient and this entity is administering the particular phase being authorized, i.e., Preliminary Engineering, ROW, or Construction. These would include projects where the non-traditional entity will either perform the work itself or enter into a contract for services or construction. NMDOT remains responsible for the local public agency's compliance on locally administered projects.

Local Public Agency (LPA) – Any organization, other than a traditional NMDOT, with administrative or functional responsibilities that are directly or indirectly affiliated with a governmental body of any Tribal Nation, State, or local jurisdiction. LPAs would most often include cities or counties. However, an LPA, as defined here, could also include a State entity as well, perhaps even a part of a NMDOT. An example could include a Port Authority or Toll Authority that had not traditionally worked with the Federal-aid highway program (FAHP).

Oversight The act of ensuring that the FAHP is delivered consistent with laws, regulations, and policies.

Program Assessments – This evaluation technique may take many forms, including joint risk assessments and self-assessments. These tools are based on the common concepts of identifying strengths, weaknesses, and opportunities and the identification and sharing of "best" practices to continually improve the program.

Program Reviews – A thorough analysis of key program components and the processes employed by the NMDOT in managing the program. The reviews are conducted to: 1) ensure compliance with Federal requirements; 2) identify areas in need of improvement; 3) identify opportunities for greater efficiencies and cost improvement to the program; and/or 4) identify exemplary practices.

Projects of Division Interest (PoDIs) – PoDIs are those projects that have an elevated risk, contain elements of higher risk, or present a meaningful opportunity for FHWA involvement to enhance meeting project objectives.

For PoDIs, FHWA has made a risk-based decision to retain project approval actions or conduct stewardship and oversight activities for the project as provided for in 23 USC 106.

Recurring Reviews – Reviews that the division office conducts annually or on a regular periodic basis. Examples include NBIS, HPMS, HVUT, etc.

Risk Assessment – The process of identifying a risk event, determining the likelihood of the event happening, determining the impact (positive or negative) of the event on the delivery of the FAHP, and identifying an appropriate risk response strategy.

Risk-Based Approach – Incorporating risk assessment and risk management into investment and strategic decision making (the means by which limited resources are focused).

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.

Unit Performance Plan – The annual performance plan prepared by an individual FHWA unit that address unit responsibilities and priorities taking into account the National Performance Objectives and National Initiatives identified in the FHWA's Strategic Implementation Plan (SIP) as well as specific initiatives identified at the unit level based on risk.


[1] The following are considered PoDI projects: Major Projects (>$500M); Appalachian Development Highway Projects; TIGER Discretionary Grant Projects; NHS Projects with Retained FHWA Project Approval; Non-NHS Projects with Retained FHWA Project Approval; and Projects Selected by FHWA for Risk-based Stewardship & Oversight. Regardless of retained project approval actions, any Federal-aid Highway Project either on or off the NHS that the Division identifies as having an elevated level of risk can be selected for risk-based stewardship and oversight and would then be identified as a PoDI.

[2] All actions taken on or after December 26, 2014, shall be governed by the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards in 2 CFR Part 200. Part 200 of 2 CFR supersedes 49 CFR Parts 18 and 19, and requirements from OMB Circulars A-21, A-87, A-110, and A-122 (which have been placed in OMB guidance's); Circulars A-89, A-102, and A-133; and the guidance in Circular A-50 on Single Audit Act follow-up.

 

Page last modified on April 16, 2015.
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