Updated Stewardship and Oversight Agreement Guidance
Attachment B Program Responsibility Matrix
February 2015
| Activity | Authority | Frequency | Due Date | FHWA HQ 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 | 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) | ASMBC-10 | As needed | Not Applicable | Office of Chief Financial Officer | The State will certify that the ICAP was prepared in accordance with 2 CFR 200 Subpart E. |
| FIRE Program Activities | FHWA Order 4560.1C (or as superseded) | Ongoing | Office of Chief Financial Officer | State will continue to provide oversight and conduct reviews to ensure Federal-aid compliance.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, GAAP, CFO Act of 1990; DOT Order 8000.1C | As needed | Not Applicable | Office of Chief Financial Officer | 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 | 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, 23 USC 132, and FHWA Order 4551.1 | As needed | Not Applicable | Office of Chief Financial Officer | 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 | 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 | |
| Periodic Reviews of States Monitoring of sub-recipients | 23 USC 106(g)(4)(B) | As needed | Not Applicable | Office of Infrastructure | |
| 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 | 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 | 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 | 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 | Courtesy copy to HQ. |
| Review DBE Program Revisions | 49 CFR 26.21(b)(2) | As needed | Not Applicable | Office of Civil Rights | 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | Divisions recommend approval. HCR gives final approval |
| Prepare / Review NSTI Report (questionnaire) | 23 USC 140(b) | Annual | October 15th | Office of Civil Rights | 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 | Informational Purposes. |
| Approval of Contracting Procedures for Consultant Selection | 23 CFR 172.5 & 172.9 | As needed | Not Applicable | Office of Infrastructure | 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 | 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 | 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 | FHWA HQ regulatory action to adopt NHS standards. |
| Approval of State Standard Specifications | 23 CFR 625.3 | As needed | Not Applicable | Office of Infrastructure | FHWA Division Office Approval. |
| Verify State Design Exception Policy complies with FHWA Policy | 23 CFR 625.3 | As needed | Not Applicable | Office of Infrastructure | FHWA Division Office Approval. |
| Approval of State Standard Detail Plans | 23 CFR 625.3 | As needed | Not Applicable | Office of Infrastructure | FHWA Division Office Approval. |
| Approval of Pavement Design Policy | 23 CFR 626.3 | As needed | Not Applicable | Office of Infrastructure | FHWA Division Office Approval. |
| Review of Value Engineering Policy and Procedures | 23 CFR 627.1(b)&(c), 23 CFR 627.7 | As needed | Not Applicable | Office of Infrastructure | FHWA Division Office Review. |
| Review of Value Engineering Annual Report | Office of Infrastructure | ||||
| Review of Value Engineering Annual Report | 23 CFR 627.7, FHWA Order 1311.1B | Annual | Not Applicable | Office of Infrastructure | 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 | 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 | FHWA Division Office Approval. |
| Approval of Quality Assurance Program | 23 CFR 637.205 | As needed | Not Applicable | Office of Infrastructure | 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 | 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 | 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 | 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 | 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 | 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 | FHWA Division Office Approval |
| Approval of Utility Agreement / Alternate Procedure | 23 CFR 645.119 | As needed | Not Applicable | Office of Infrastructure | 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 | FHWA Division Office Approval |
| Review Bridge Construction, Geotechnical, and Hydraulics | 23 CFR 650 | As needed | Not Applicable | Office of Infrastructure | |
| Review Plans of Corrective Action established to address NBIS compliance issues | 23 CFR 650, 23 USC 144 | Annually | Office of Infrastructure | 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 | 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 | 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 | |
| Approval for reduction of expenditures for off-system bridges | 23 USC 133(g)(2)(B) | As needed | Not Applicable | Office of Infrastructure | 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 | ||
| 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 | ||
| Review Reporting on Performance Targets | 23 USC 150(e) | Beginning four years after enactment of MAP-21 and biennially thereafter | Office of Infrastructure | ||
| 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 | ||
| 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 | |
| Emergency Relief (ER) Damage Assessments and Reports | 23 CFR 668 23 USC 120 and 125 | As needed | Not Applicable | Office of Infrastructure | Perform with State. |
| Toll Credit and Maintenance of Effort (MOE) Calculation and Agreement | 23 USC 120(i) | Annually | Office of Infrastructure | 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 | 23 USC 106(g)(4) | As needed | Not Applicable | Office of Infrastructure | 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 | 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 | 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 | 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 | MOUs strongly suggested for each GARVEE issue. FM contacts OIPD for review/concurrence before final approval |
| Section 129 Tolling Authority Requests | 23 USC 129(a) | As needed | Not Applicable | Office of Innovative Program Delivery | At the option of the project sponsor, may execute a Tolling Eligibility MOU with the Division Office; HIN coordinates FHWA HQ review |
| State Infrastructure Banks | NHS Act Section 308; 23 USC 610; SIB Guidance 3/14 | Annual Report | Not Applicable | Office of Innovative Program Delivery | Division sends copy of report to OIPD. SIB submits annual report to Division Office. |
| Value Pricing Pilot Program Tolling Authority Requests | ISTEA Section 1012(b) | As needed | Not Applicable | Office of Innovative Program Delivery | 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 | Applications submitted to HIN to coordinate review; approval by the Administrator |
| Section 129 Tolling Authority Requests | 23 USC 129(a) | As needed | Not Applicable | Office of Innovative Program Delivery | 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 | 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 | 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 | 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 | 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. State DOT or Project Sponsor will prepare and submit Project Management Plan. 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. State DOT or Project Sponsor will prepare and submit annual Financial Plans. 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. State DOT or Project Sponsor will prepare and submit annual Financial Plans to the Division Office, only upon request. 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 | 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 | 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 | 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 | ||
| Traffic Incident Management Self-Assessment | Annual Memo from HQ | Annually | 1-Jul | Office of Operations | 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 | 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 | |
| Review Vehicle Size & Weight Enforcement Plan | 23 CFR 657.11, 23 USC 127 | Annually | 1-Oct | Office of Operations | |
| Review Vehicle Size & Weight Enforcement Certification | 23 CFR 657.13, 23 USC 141 | Annually | 1-Jan | Office of Operations | |
| Approval of National Network Modifications | 23 CFR 658.11 | As needed | Not Applicable | Office of Operations | |
| Intelligent Transportation System Architecture & Standards | 23 CFR Part 940 | As needed | Not Applicable | Office of Operations | |
| Approval of Work Zone Significant Project Determination | 23 CFR 630.1010 | As needed | Office of Operations | ||
| Approval of Exceptions to Work Zone Procedures for Interstate Projects | 23 CFR 630.1010 | As needed | Office of Operations | ||
| Approval of Work Zone Policy and Procedures Conformance Review | 23 CFR 630.1014 | At appropriate intervals | Office of Operations | ||
| 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 | ||
| 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 | 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 | 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 | FHWA Division Office Approval. |
| Review of State Public Involvement Procedures | 23 CFR 450.210(a) | As needed | Not Applicable | Office of Planning, Environment & Realty | 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 | Informational Purposes. |
| Review of Long-range Statewide Transportation Plan | 23 CFR 450.214 | As needed | Not Applicable | Office of Planning, Environment & Realty | 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 | Joint FHWA and FTA approval. |
| Approval of STIP Amendments | 23 CFR 450.218(a) & (c) | As needed | Not Applicable | Office of Planning, Environment & Realty | 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 | 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 | 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 | |
| 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 | 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 | |
| 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 | |
| Approval of Report Before Publication (All MPO's) | 23 CFR 420.117(e) | As needed | Not Applicable | Office of Planning, Environment & Realty | 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 | |
| Review of Metropolitan Planning Area Boundary (Establishment and Changes) | 23 CFR 450.312 | As needed | Not Applicable | Office of Planning, Environment & Realty | 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 | 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 | 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 | 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 | Must be developed and published. |
| Review of Metropolitan Transportation Plan (MTP) in Attainment Areas (and Updates) | 23 CFR 450.322 | Every 5 years | Not Applicable | Office of Planning, Environment & Realty | Updated per Spencer Stevens |
| Review of MTP in Non-Attainment and Maintenance Areas (and Updates) | 23 CFR 450.322 | Every 4 years | Not Applicable | Office of Planning, Environment & Realty | Updated per Spence Stevens |
| Review of MTP Amendments | 23 CFR 450.322(c) | As Needed | Not Applicable | Office of Planning, Environment & Realty | |
| 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 | 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 | 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 | 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 | 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 | 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 | 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 | 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 | |
| Approval of Revision of Functional Classification | 23 CFR 470.105 (b) | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| 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 | 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 | Approved by HQ - Office Director. |
| Review of CMAQ Annual Report | CMAQ Guidance Memo October 31, 2006 | Annually | 1-Mar | Office of Planning, Environment & Realty | 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 | 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 | 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 | |
| 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 | |
| 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 | 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 | 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 | ||
| Exemplary Ecosystem Initiatives Applications | Annually | 1-Apr | Office of Planning, Environment & Realty | ||
| Approval of Acquisitions, Appraisals, and Relocations Program and Procedures | 49 CFR Part 24, The UA | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| Early Acquisitions | 23 CFR 710.501 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| Local Public Agency Oversight | 49 CFR 24.4(b); 23 CFR 710.201 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| Approval of Highway Facility Relinquishment | 23 CFR 620.203 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| Approval of ROW Disposal Authorization Request | 23 CFR 710.409 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| 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 | |
| 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 | |
| Approval of Interstate Real Property Use Agreements | 23 CFR 710.405 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| Approval of Request for Federal Land Transfer | 23 CFR 710.601 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| Approval of Request for Direct Federal Acquisition | 23 CFR 710.603 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| 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 | |
| Approval of Requests to Exempt Certain Nonconforming Signs, Displays, and Devices | 23 CFR 750.503 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| Approval of Railroad Agreement Alternate Procedure | 23 CFR 646.220 | As needed | Not Applicable | Office of Planning, Environment & Realty | |
| 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 | Â 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 | Â Submitted to FHWA Headquarters (HQ). |
| Review of Real Property Acquisition Statistical Report | FHWA Order 6540.1 | Annually | 15-Nov | Office of Planning, Environment & Realty | |
| 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 | 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 | 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 | 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 | 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 | 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 | Review memo to HQ. |
| Approval of Certified Public Road Mileage | 23 CFR 460.3(b) | Annually | 1-Jun | Office of Highway Policy information | 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 | State DOT sends directly to Division Office and HQ. |
| Highway Statistics Reports | Guide to Reporting Highway Statistics | Office of Highway Policy information | 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 | ||
| 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 | |
| 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 | |
| Transportation Bond Referendums | A Guide to Reporting Highway Statistics, Chapter 9 | When Published | When Published | Office of Highway Policy information | |
| 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 | 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 | 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 | 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 | |
| State DOT Budgets and Published Annual Reports | A Guide to Reporting Highway Statistics, Chapter 13 | When Published | When Published | Office of Highway Policy information | |
| Motor Fuel Oversight Review | July 24, 2001 HQ Memo | Initial baseline reports no later than December 31, 2003 | Office of Highway Policy information | 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 | Division Office sends to HQ. |
| State Highway Maps (Tourist) | When Published | When Published | Office of Highway Policy information | Two copies to each Division Office and 100 copies to HQ. | |
| Traffic Flow Maps | When Published | Office of Highway Policy information | When Published. | ||
| Vehicle Classification Data | MAP-21, HPMS Field Manual, Traffic Monitoring Guide | 15-Jun | 15-Jun | Office of Highway Policy information | Part of Annual HPMS submittal. |
| Highway Use Tax Evasion Grant Awards | 23 USC 143 | Annual | Not Applicable | Office of Highway Policy information | 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 | 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 | 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 | 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 | 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 | Send up to one week of data per quarter |
| Real-Time System Management Information Program | 23 CFR 511 | As Needed | November 8, 2014 for all Interstates; November 8, 2016 for additional Routes of Significance in major metro. areas | Office of Operations | |
| 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 | 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 | 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 | 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 | Per MAP-21, States and MPOs must set targets for established measures. Targets must be assessed for achievement |
| Section 154/164 Compliance Status - Funds Reservation | 23 USC 154 and 23 USC 164 | Annually | 30-Oct | Office of Safety | 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 | NHTSA |
| High Risk Rural Roads (HRRR) Special Rule | 23 USC 148(g)(1) | Annually | Annually | Office of Safety | 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 | 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 | National Programs. |
| 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 | Certifications due to the Division Office by January 1. |