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CHAPTER 5: PERFORMANCE & COMPLIANCE INDICATORS

It is recognized by ODOT and FHWA that indicators are necessary to track performance trends, health of the Federal-aid Highway Program (FAHP), and compliance with Federal requirements. Both agencies already have established sets of indicators that are critical in managing its respective programs. This Agreement establishes the indicators necessary to gauge the overall effectiveness of the FAHP, since ODOT has assumed FHWA approval responsibilities on certain projects. Furthermore, if the indicators are not moving in the desired target direction, countermeasures (or actions) should be implemented by both agencies to right the direction.

Performance Indicators

The program indicators identified in this Agreement will be used to monitor performance trends and the overall health of the FAHP. Both agencies will implement countermeasures when the data is not moving in the desired target direction. Countermeasures may include raising the attention level of the issue, instituting additional data and trend analysis, developing new processes or procedures, initiating additional targeted oversight activities, or implementing additional ODOT Quality Assurance Review (QAR) or FHWA Quality Improvement Review (QIR) activities. Please refer to Section VII-Program Areas of this Agreement for the respective performance indicators.

Compliance Indicators

In order to ensure the effectiveness of its delegated responsibilities and compliance with Federal requirements, ODOT will use its QAR program formonitoring and reporting purposes. In addition, ODOT will conduct external financial audits of agencies and organizations receiving Federal-aid funds to ensure the proper use of these funds. FHWA will use its QIR program to determine compliance of Federal requirements and improve processes, procedures, and other elements of the FAHP. FHWA will participate in financial audits and QARs to the extent possible.

Reporting

By July 31^st of each year, ODOT will provide to FHWA 1) a summary of the program performance indicators identified in this Agreement, 2) a summary of QARs conducted during the past year, and 3) a summary of financial audit findings during the past year. The report will indicate overall general program performance and compliance with Federal requirements in the implementation of the FAHP.

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