Common use of MOU performance monitoring and quality assurance Clause in Contracts

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and FHWA. Monitoring will include consideration of the technical competency and organizational capacity of the State, as well as the State’s performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall submit to FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 months (January 1 through December 31), within 15 business days after the end of each annual reporting period. Reduction in reporting frequency, and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. 2. The State shall develop a self-assessment report summarizing its performance under this MOU every 12 months. The report will identify any areas where improvement is needed and what measures the State is taking to implement those improvements. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(E). After the State submits the report to the FHWA (electronic or in hard copy), the State shall schedule a follow-up meeting with FHWA at which the parties will discuss the report, the State’s performance of this MOU, and the FHWA’s monitoring activities. 3. The State shall maintain electronic project records and general administrative records pertaining to its MOU responsibilities and the projects processed hereunder. The records shall be available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five business days. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned under this MOU, for a period of no less than three (3) years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 CFR 200.300 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA), as amended in 2002) and NEPA. 5. The FHWA periodically shall review the State's records and may interview State staff to evaluate the State's performance under this MOU. These reviews may be coordinated with the review of the State's report under Stipulation IV(F)(2). The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's performance on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm). Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, and will include performance measurements of compliance and timeliness. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's MOU performance. 6. Nothing in this Stipulation shall prevent FHWA from undertaking other monitoring actions, including audits, with respect to the State’s performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § 326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and the FHWA. Monitoring will include consideration of the technical competency and organizational capacity of the State, as well as the State’s performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall annually submit to the FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 months (January 1 through December 31months), within 15 business days after the end of each annual reporting period. Reduction in reporting frequency, and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. 2. The State shall State, at its discretion, may develop a voluntary self-assessment report summarizing its performance under this MOU every 12 monthsMOU. The report will identify any areas where improvement is needed and what measures the State is taking to implement those improvements. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(EIV(D). After the State submits Following submission of the report to the FHWA (electronic electronically or in hard copy), the State shall schedule a follow-up meeting with the FHWA at which the parties will discuss the report, the State’s performance of this MOU, and the FHWA’s monitoring activities. 3. The State shall maintain electronic or paper project records and general administrative records pertaining to its MOU responsibilities and the projects processed hereunder. The records shall be available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five business daysrequest. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned under this MOU, for a period of no less than three (3) 3 years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 CFR 200.300 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA), as amended in 2002) and NEPA. 5. The FHWA periodically and the State shall review the State's ’s records and may interview State staff to evaluate the State's ’s performance under this MOU. These Such reviews may will occur no sooner than the 19th month and no later than the 31st month of the MOU. The primary purposes of the monitoring reviews will be coordinated to independently verify the State’s compliance with the review requirements of this MOU and to document the State's report under Stipulation IV(F)(2)’s levels of achievement with respect to the performance areas stated in this MOU. The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's ’s performance will be based on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm)xxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm. The FHWA is responsible for producing a report as an outcome of the review. Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, § 326 and will include performance measurements of compliance quality and timelinesstime. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU MOU, acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications to the procedures that will be adopted for the purpose of monitoring the State's ’s MOU performance. 6. Nothing in this Stipulation shall prevent the FHWA from undertaking other monitoring actions, including audits, with respect to the State’s performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § 326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with the FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU as set forth herein and each party shall modify its practices as needed to assure quality performance by the State and FHWA. Monitoring will include consideration of the technical competency and organizational capacity of the State, as well as the State’s 's performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s 's project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s 's administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall submit to FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 6 months (January 1 through December 31), with the start based on the execution date of this MOU) within 15 business days after the end of each annual reporting period. Reporting shall be every six months unless reduced by FHWA. Reduction in reporting frequency, frequency and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. For each report, the State shall include the following information: 1) Control Number, 2) Project Number 3) Project Name, 4) CE Level, 5) CFR Action Class, 6) STIP/TIP project description and 7) Approval Date. For projects with Section 4(f) determinations, the following information would also be included: 1) Property name, 2) property type, 3) determination (including determinations made under 23 CFR 774.13), 4) approval date, and 5) legal sufficiency review date (Individual Section 4(f) only). 2. The With the exception of the initial 6-month period after the execution of this agreement, the State shall develop submit to FHWA (via electronic copy) a self-assessment report summarizing its performance under this MOU every 12 monthsat least 30 days prior to a scheduled monitoring review by FHWA under Stipulation IV(F)(3). The report will identify any areas where improvement is needed and what measures the State is taking to implement undertake those improvements. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(EStipulation IV. 3. The FHWA periodically shall review the State's records and may conduct onsite. interviews of State staff to evaluate the State's performance under this MOU. FHWA shall conduct one review within 6 months of the execution of this agreement. Thereafter, monitoring reviews should be coordinated within the review of the State’s report under Stipulation IV(F)(2). After the State submits the report The FHWA shall provide notice 90 days prior to the FHWA (electronic or in hard copy)scheduling on site monitoring review interviews, the State shall schedule a follow-up meeting with FHWA at during which the parties will discuss the self-assessment report, the State’s performance of this the MOU, and the FHWA’s monitoring activities. Following the conclusion of a monitoring review, FHWA will provide the State with a draft written report summarizing the findings of the monitoring review. No monitoring review shall be scheduled for a date less than 6 months from the date NDOT receives the draft written report from the previous monitoring review. The FHWA anticipates that under normal circumstances, its evaluation of the State's performance will be based on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxx://xxx.xxxx.xxx.xxx/hep/6004stateassumpt.htm). Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 USC §326, and will include performance measurements of compliance and timeliness. However, FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU acknowledges that it is familiar with FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's MOU performance. 34. The State shall maintain electronic project records and general administrative records pertaining to its MOU responsibilities and the projects processed hereunderhereunder as set forth in the State’s record retention schedules approved by the Nebraska Secretary of State. The State will ensure that such records shall be are reasonably available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five 5 business days. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned under this MOU, for a period of no less than three (3) 3 years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 CFR 200.300 200.333 or any other applicable laws, regulations, or policies. 45. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § USC §552 (the Freedom of Information Act (FOIA), as amended in 2002) and NEPA. 5. The FHWA periodically shall review the State's records and may interview State staff to evaluate the State's performance under this MOU. These reviews may be coordinated with the review of the State's report under Stipulation IV(F)(2). The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's performance on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm). Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, and will include performance measurements of compliance and timeliness. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's MOU performance. 6. Nothing in this Stipulation shall prevent FHWA from undertaking other monitoring actions, including audits, with respect to the State’s 's performance of the MOU. 7. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § USC §326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 78. The State agrees and FHWA agree to cooperate with FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and the FHWA. Monitoring by the FHWA and the State will include consideration of the technical competency and organizational capacity of the State, as well as the State’s performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall submit to FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 months (January 1 through December 31), within Within 15 business days after the end of each annual fiscal quarter, the State shall submit to the FHWA a list of the CE determinations that the State approved that fiscal quarter. At any time after the State’s completion of the first four (4) fiscal quarters of its performance under this MOU, based on the State’s satisfactory performance of this MOU during the first 12 months, the FHWA may reduce the frequency of this reporting periodrequirement, provided that in no event will the reporting frequency be less than once each year. Reduction Such reduction in reporting frequency, and any revocation of such reduction by the FHWA, shall not be deemed an amendment under Stipulation VIII. 2. The State shall develop submit to the FHWA (via electronic or hard copy) a self-assessment report summarizing its performance under this the MOU every 12 monthsat the conclusion of the 15th month and 30th month of the MOU and at similar intervals thereafter if the term of the MOU is renewed. The report will identify any areas where improvement is needed and what measures the State is taking to implement those improvementsmeasures. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(E)Stipulation IV. After the State submits the report to the FHWA (electronic or in hard copy)Following submission of a report, the State shall schedule a follow-follow- up meeting with the FHWA at which the parties will discuss the report, the State’s performance of this the MOU, and the FHWA’s monitoring activities. If the MOU is renewed, the reports will be due at the conclusion of the 15th and 30th months unless otherwise provided by the parties in the renewed MOU. 3. The State shall maintain paper or electronic project records and general administrative records (as soon as practicable the State will establish an electronic records system), pertaining to its MOU responsibilities and the for proposed projects processed hereunder. The records shall be available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five business daysrequest. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned delegated under this MOU, for a period of no less than three (3) years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 49 CFR 200.300 18.42 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA)Act, as amended in 2002) and NEPA. 5. The FHWA periodically shall review the State's ’s records and may interview State staff or others to evaluate the State's ’s performance under this MOU. These Such reviews will occur no less than every 12 months, and may be coordinated with the review of the State's ’s report under Stipulation IV(F)(2). The FHWA anticipates that, that under normal circumstances, it will base its evaluation of the State's ’s performance will be based on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfmxxxx://xxx.xxxx.xxx.xxx/hep/6004stateassumpt.htm). Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, and will include performance measurements of compliance quality and timelinesstime. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's ’s MOU performance. 6. Nothing in this Stipulation shall prevent the FHWA from undertaking other monitoring actions, including audits, with respect to the State’s performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § §326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with the FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and the FHWA. Monitoring will include consideration of the technical competency and organizational capacity of the State, as well as the State’s performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall annually submit to the FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 months (January 1 through December 31)months, within 15 30 business days after the end of each annual reporting period. Reduction Such reduction in reporting frequency, and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. 2. The State shall State, at its discretion, may develop a voluntary self-assessment report summarizing its performance under this MOU every 12 monthsMOU. The report will identify any areas where improvement is needed and what measures the State is taking to implement those improvements. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(EIV(D). After the State submits Following submission of the report to the FHWA (electronic electronically or in hard copy), the State shall schedule a follow-up meeting with the FHWA at which the parties will discuss the report, the State’s performance of this MOU, and the FHWA’s monitoring activities. 3. The State shall maintain electronic or paper project records and general administrative records pertaining to its MOU responsibilities and the projects processed hereunder. The records shall be available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five business daysrequest. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned under this MOU, for a period of no less than three (3) 3 years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 CFR 200.300 200.333 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA), as amended in 2002) and NEPA. 5. The FHWA periodically and the State shall review the State's ’s records and may interview State staff to evaluate the State's ’s performance under this MOU. These Such reviews may be coordinated with will occur no sooner than the review 19th month and no later than the 31st month of the State's report under Stipulation IV(F)(2)MOU. The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's ’s performance will be based on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm)xxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm. Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, 326 and will include performance measurements of compliance and timelinesscompliance. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU MOU, acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's ’s MOU performance. 6. Nothing in this Stipulation shall prevent the FHWA from undertaking other monitoring actions, including audits, with respect to the State’s performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § 326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with the FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and FHWA. Monitoring will include consideration of the technical competency and organizational capacity of the State, as well as the State’s performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall submit to FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 months (January 1 through December 31), within 15 business days after the end of each annual reporting period. Reduction in reporting frequency, and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. In the annual report, project names, locations, and decisions shall be provided for all Environmental Justice analyses. 2. The State shall develop a self-assessment report summarizing its performance under this MOU every 12 months. The report will identify any areas where improvement is needed and what measures the State is taking to implement those improvements. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(E). After the State submits the report to the FHWA (electronic or in hard copy), the State shall schedule a follow-up meeting with FHWA within 30 days, at which the parties will discuss the report, the State’s performance of this MOU, and the FHWA’s monitoring activities. 3. The State shall maintain electronic project records and general administrative records pertaining to its MOU responsibilities and the projects processed hereunder. The records shall be available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request requests within five business days. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned under this MOU, for a period of no less than three (3) years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 CFR 200.300 200.333-200.337 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA), as amended in 2002) and NEPA. 5. The FHWA periodically shall review the State's records and may interview State staff to evaluate the State's performance under this MOU. These reviews may be coordinated with the review of the State's report under Stipulation IV(F)(2). The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's performance on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm). Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, and will include performance measurements of compliance and timeliness. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU MOU, acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's MOU performance. 6. Nothing in this Stipulation shall prevent FHWA from undertaking other monitoring actions, including audits, with respect to the State’s performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § 326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and FHWA. Monitoring will include consideration of the technical competency and organizational capacity of the State, as well as the State’s performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall submit to FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 months (January 1 through December 31), within 15 30 business days after the end of each semi-annual reporting period. Reduction Such reduction in reporting frequency, and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. 2. The State shall State, at its discretion, may develop a voluntary self-assessment report summarizing its performance under this MOU every 12 monthsMOU. The report will identify any areas where improvement is needed and what measures the State is taking to implement those improvements. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(E). After the State submits Following submission of the report to the FHWA (electronic electronically or in hard copy), the State shall schedule a follow-up meeting with the FHWA at which the parties will discuss the report, the State’s performance of this MOU, and the FHWA’s monitoring activities. 3. The State shall maintain electronic and paper project records and general administrative records pertaining to its MOU responsibilities and the projects processed hereunder. The records shall be available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five business daysrequest. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned under this MOU, for a period of no less than three (3) 3 years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 CFR 200.300 200.333-200.337 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA), as amended in 2002) and NEPA. 5. The FHWA periodically shall review the State's ’s records and may interview State staff to evaluate the State's ’s performance under this MOU. These Such reviews will occur no less than every 15 months, and may be coordinated with the review of the State's ’s report under Stipulation IV(F)(2). The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's ’s performance will be based on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfmis available at xxxx://xxx.xxxx.xxx.xxx/hep/6004stateassumpt.htm ). Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §§ 326, and will include performance measurements of compliance quality and timelinesstime. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's ’s MOU performance. 6. Nothing in this Stipulation shall prevent FHWA from undertaking other monitoring actions, including audits, with respect to the State’s performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § 326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and FHWA. Monitoring will include consideration of the technical competency and organizational capacity of the State, as well as the State’s 's performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s 's project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s 's administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The State shall submit to FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 6 months (January 1 through June 30, July 1 through December 31), within 15 business days after the end of each semi-annual reporting period. Reporting shall be every six months unless reduced by FHWA, but in no event will the reporting frequency be less than once each year. Reduction in reporting frequency, frequency and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. For each report, the State shall include the following information: 1) Project WIN, 2) Lead Unit, 3) Town, 4) Scope 5) NEPA CE Category) and 6) NEPA CE Approval Date. For projects with Section 4(f) determinations, the following information would also be included: 1) Property Name, 2) Property Type, 3) Determination (including determinations made under 23 CFR 774.13), 4) Approval Date, and 5) Legal Sufficiency Review Date (individual Section 4(f) only). For all Environmental Justice analyses, the following information shall also be included: 1) Project Name, 2) Locations, and 3) Decisions. 2. The No less than once every 12 months, the State shall develop submit to FHWA (via electronic or hard copy) a self-assessment report summarizing its performance under this MOU every 12 monthsand at similar intervals thereafter if the term of the MOU is renewed. The report will identify any areas where improvement is needed and what measures the State is taking to implement undertake those improvements. The report will include actions taken by the State as part of its quality control efforts under stipulation IV(E)IV. After the State submits the report to the FHWA Maine Division (electronic or in hard copy), the State shall schedule a follow-up meeting with FHWA Maine Division within 30 days, at which the parties will discuss the report, the State’s 's performance of this MOU, and the FHWA’s 's monitoring activities. 3. The State shall maintain electronic project records and general administrative records pertaining to its MOU responsibilities and the projects processed hereunder. The records shall be available for inspection by the FHWA at any time during normal business hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five business daysrequests. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned under this MOU, for a period of no less than three (3) years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 CFR 200.300 200.333 – 200.337 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA), as amended in 2002) and NEPA. 5. The FHWA periodically shall review the State's records and may interview State staff to evaluate the State's performance under this MOU. These reviews may be coordinated with the review of the State's report under Stipulation IV(F)(2). The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's performance on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur occur, visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfm). ) Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, § 326 and will include performance measurements of compliance and timeliness. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU MOU, acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications that will be adopted for the purpose of monitoring the State's MOU performance. 6. Nothing in this Stipulation shall prevent FHWA from undertaking other monitoring actions, including audits, with respect to the State’s 's performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. § 326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with FHWA in all quality assurance activities.

MOU performance monitoring and quality assurance. The FHWA and the State shall cooperate in monitoring performance under this MOU and each party shall modify its practices as needed to assure quality performance by the State and the FHWA. Monitoring by the FHWA and the State will include consideration of the technical competency and organizational capacity of the State, as well as the State’s performance of its CE processing functions. Performance considerations will include, without limitation, the quality and consistency of the State’s project determinations, adequacy and capability of the resources applied by the State, and the quality and consistency of the State’s administration of its responsibilities under this MOU. In support of the monitoring efforts: 1. The Twice a year the State shall submit to the FHWA a list of the CE determinations and Section 4(f) determinations that the State approved during the previous 12 six months (January 1 through June 30, and July 1 through December 31). [NOTE TO COMMENTERS: California has requested a 12- month, rather than 6-month, reporting requirement. FHWA seeks comment on the appropriateness of a 12-month reporting cycle.] The State shall deliver the list to the FHWA, or make it available by means of FHWA access to a report in the State’s project management system, within 15 business days after the end of each annual six-month reporting period. Reduction in reporting frequency, and any revocation of such reduction by FHWA, shall not be deemed an amendment under Stipulation VIII. 2. The State shall develop submit to the FHWA (electronically or in hard copy) a self-assessment report summarizing its performance under this the MOU every 12 monthsat the conclusion of the 18th month and the 30th month of the MOU. The report will identify any areas where improvement is needed and what measures the State is taking to implement those improvementsmeasures. The report will include actions taken by the State as part of its quality control efforts under stipulation Stipulation IV(E). After the State submits the report to the FHWA (electronic or in hard copy), the The State shall schedule a follow-up meeting with the FHWA at which the parties will discuss the report, the State’s performance of this the MOU, and the FHWA’s monitoring activities. 3. The State shall maintain electronic and paper project records and general administrative records pertaining to the State’s administration of its MOU responsibilities and the projects processed hereunderresponsibilities. The records shall be available for inspection by the FHWA at any time during normal business upon reasonable notice of not less than 24 hours. The State shall provide the FHWA with electronic copies of any documents the FHWA may request within five business daysrequest. The State shall retain those records, including all letters and comments received from governmental agencies, the public, and others about the performance of activities assigned delegated under this MOU, for a period of no less than three (3) years after completion of project construction. This 3-year retention provision does not relieve the State of its project or program recordkeeping responsibilities under 2 49 CFR 200.300 18.42 or any other applicable laws, regulations, or policies. 4. The State shall ensure that project records are available to the public consistent with requirements applicable to Federal agencies under 5 U.S.C. § 552 (the Freedom of Information Act (FOIA)Act, as amended in 2002) and NEPA. 5. The FHWA periodically and the State shall review the State's ’s records and may interview State staff to evaluate the State's ’s performance under this MOU. These Such reviews will occur no less than every 15 months, and may be coordinated undertaken jointly and collaboratively with the review State in its MOU performance review. The primary purposes of the monitoring reviews will be to independently verify the State's report under Stipulation IV(F)(2)’s compliance with the requirements of this MOU, and to document the State’s levels of achievement with respect to the performance areas stated in this MOU. The FHWA anticipates that, under normal circumstances, it will base its evaluation of the State's ’s performance will be based on a modified version of a typical FHWA CE process review (to view FHWA guidance on how monitoring should occur visit xxxxx://xxx.xxxx.xxx.xxx/hep/guidance/6004stateassumpt.cfmxxxx://xxx.xxxx.xxx.xxx/hep/6004stateassumpt.htm). Modifications to the CE process review will include incorporation of measures specific to the responsibilities assigned to the State pursuant to 23 U.S.C. §326, § 326 and will include performance measurements of compliance quality and timelinesstime. However, the FHWA reserves the right to determine in its sole discretion the frequency, scope, and procedures used for monitoring activities. The State, by its execution of this MOU MOU, acknowledges that it is familiar with the FHWA CE Process Review procedures and with the expected modifications to the procedures that will be adopted for the purpose of monitoring the State's ’s MOU performance. 6. Nothing in this Stipulation shall prevent the FHWA from undertaking other monitoring actions, including audits, with respect to the State’s performance of the MOU. The FHWA, in its sole discretion, may require the State to perform such other quality assurance activities, including other types of monitoring, as may be reasonably required to ensure compliance with this MOU, 23 U.S.C. USC § 326, and other applicable Federal laws and regulations. Such requirement shall not be deemed an amendment under Stipulation VIII. 7. The State agrees to cooperate with the FHWA in all quality assurance activities.