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Conducting the Compliance Review

This module explores the HVUT compliance review process. It walks you through each step in conducting a state compliance review and provides helpful tips relating to the verification of proof of payment and identification of risks and flags that could indicate non-compliance. This module covers the following topics:

  • Timeline for completing the review and required levels of effort
  • Preparing for the compliance review
  • Conducting the preliminary meeting
  • Conducting the review
  • Risks or flags that could indicate state non-compliance
  • Verifying proof of payment
  • Data available to support compliance reviews
  • Preparing the compliance review report
  • Best practice procedures

Timeline for Completing the Review and Required Levels of Effort

The table shown below presents an estimated timeline and level of effort required to properly conduct a state HVUT compliance review given the procedures outlined in the HVUT compliance review protocol. While some states will not require this level of effort, some may require more due to the size of the state, program structure, or presence of an evasion problem. With that noted, this estimate was prepared by breaking down each step (and elements within each step) outlined in the HVUT compliance review protocol. Further, it was reviewed by several FHWA division staff responsible for conducting HVUT compliance reviews and verified for accuracy.

The table breaks down the compliance review process into four sub-components with the estimated labor and calendar time required for completion:

  • Prepare for the HVUT compliance review, 40-50 hours in month 1
  • Conduct the preliminary meeting, 6-10 hours in month 1
  • Conduct the HVUT compliance review, 40-50 hours in months 2-3
  • Prepare the HVUT compliance review report, 30-40 hours in month 4

Based on this assessment, it is recommended that you budget 116-150 hours over four months to complete the HVUT compliance review.

table illustrates text description above

More Information To obtain a complete copy of the interview protocol, contact the FHWA.

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