STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT Oversight and Reporting Requirements FDOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the FDOT will, at a minimum, do the following: • Provide stewardship and oversight activities on Federal-aid projects as described in the “Project Action Responsibility Matrix” (Attachment A) • Provide stewardship and oversight activities on FHWA programs as described in the “Program Responsibility Matrix” (Attachment B) • Perform Quality Assurance Reviews (QARs) to ensure compliance with Federal requirements; identify inconsistencies in process or program management; identify opportunities for greater efficiencies and improvements to the program; and identify best practices. FDOT Program Manager shares the results with FHWA when completed. FDOT will provide to FHWA a summary of recommendations and action items resulting from QARs when completed or at least by August of each year. • Ensure that projects requesting federal-aid funding meet all planning requirements, are included in the Statewide Transportation Improvement Program (STIP) and consistent with the statewide long range plan and the metropolitan long range transportation plan, as applicable. • FDOT will ensure that all ROW acquired for, or in anticipation of, federally funded projects meets Uniform Act requirements by ensuring compliance with FHWA-approved FDOT LAP and ROW Procedures Manual requirements. • Ensure that the plans and specifications for Federal-aid highway projects will be designed in accordance with AASHTO design criteria; FDOT Design Standards: Standard Specifications for Road and Bridge Construction (including supplemental specifications); pavement design manuals; Drainage Manual; the Plans and Preparation Manual (PPM); and FDOT Structures Manual. • Conduct construction activities as set forth in the project’s construction documents and in accordance with FDOT’s Construction Project Administration Manual. Utilize established Quality Control/Quality Assurance Program to assure that the materials and workmanship incorporated into any highway construction project are in reasonable conformity with the requirements of the approved plans and specifications, including any approved changes. A final project material certification is stored in the project file for each Federal-aid project. • Ensure nondiscrimination in all FDOT programs and activities by conducting both...
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. (Information Note: The FHWA Oversight Program is discussed in Section IV of the S&O Agreement Guidance.)
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS.
A. State DOT Oversight and Reporting Requirements MnDOT will demonstrate its oversight of the Federal-aid Highway Program and compliance with Federal Laws and Regulations through the reporting of the data and information identified in the Federal-Aid Highway Program Operation, Memorandum of Understanding, between the FHWA Minnesota Division and the Minnesota Department of Transportation, which is hereby incorporated by reference into this Agreement. MnDOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the State DOT will:
1. Comply with the manuals and procedures listed in Attachment C.
2. Ensure adequate oversight by qualified staff for each project phase.
3. Engage only qualified contractors and consultants for project implementation.
B. MnDOT Oversight of Locally Administered Projects B.1. State DOT’s are required to provide adequate oversight of subrecipients including oversight of any assumed responsibilities the State DOT delegates to a LPA. B.2. Pursuant to 23 U.S.C. 106(g)(4), the State DOT shall be responsible for determining that subrecipients of Federal funds have adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. The State DOT is also responsible for ensuring compliance with reporting and other requirements applicable to grantees making sub-awards, such as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, PL 109-282 (as amended by PL 110-252).
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. TxDOT Oversight and Reporting Requirements TxDOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, TxDOT has documented its internal and external controls. The list of TxDOT’s operating documents in Attachment C to this S&O Agreement demonstrate that it is appropriately organized and financially capable to deliver FAHP projects in accordance with all applicable laws, rules, and regulations TxDOT will provide a summary report to the division within two months of the end of the Federal Fiscal Year (i.e. by December 1st) of all significant stewardship and oversight activities conducted during the previous federal fiscal year. This will include a review of Performance Indicators, changes or enhancements to its financial management systems; organizational structure; and methods of financing, delivering, and/or maintaining projects. This will also include all key findings related to delivery of the FAHP from internal, state, or federal audits concluded during the previous year and an action plan highlighting the steps that will be taken to bring any identified deficient elements into compliance. For projects on which TxDOT has assumed the responsibilities of the Secretary of the U.S. Department of Transportation under Title 23 for design, plans, specifications, estimates, contract awards, and inspections, this summary report will include a description of the methods implemented to ensure that preliminary engineering, engineering, and design-related services relating to the construction of FAHP-funded projects were performed in accordance with applicable federal laws, rules, and regulations. This includes:
1. Contract awards for procurement of professional and other consultant services and construction-related services (advertising for, evaluating, and awarding contracts).
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT Oversight and Reporting Requirements The State DOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the State DOT will use the Project Development Process described below and manuals, standards, and documents for administering the program contained in Attachment C.
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. The State DOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the CTDOT provides FHWA the following control documents: the monthly obligation plan, the monthly listing of all active federal-aid projects, the monthly Site Manager reports, access to the Project Wise system, performance measures reports, and responds to ad-hoc requests for information from FHWA as allowed in 23 CFR 1.5.
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. The State DOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the State DOT will: • Prepare and review project plans in accordance with Design Directive (DD) 200 (Project Development Process) and DD 202 (Field and Office Reviews for Initial Engineering and Final Design) • Prepare right of way plans in accordance with DD-301 • Prepare RRR and Roadway Preventive Maintenance projects in accordance with DD’s 604, 606, 609 and 817. • Prepare and approve exceptions to approved design criteria in accordance with DD 605 • Conduct pavement designs and select pavement types and thicknesses in accordance with DDs 641, 646 and 647. • Develop PS&E’s in accordance with DD 706. • Develop Engineers Estimates in accordance with DD 707. • Evaluate bids in accordance with DD 711. • Manage construction projects in accordance with WVDOH Construction Manual. • Conduct materials acceptance testing, quality assurance and independent assurance sampling in accordance with WVDOH Materials Procedures.
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. (Drafting Note: The S&O Agreement should address how assumed authorities will be carried out by the State DOT. It should include the reports, reviews, data, staffing information, performance assurances, etc., that will provide documented assurance that the State DOT is properly carrying out its responsibilities in accordance with this S&O Agreement, and how this information will be shared with the Division. The S&O Agreement also can include business service standards that would provide an expectation for how long it would take to provide reports, reviews, and findings along with the expectation to implement corrective actions when necessary.)
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. The State DOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. ODOT and the FHWA agree to manage the implementation of this agreement through the Stewardship and Oversight Committee (SOC) which will oversee the Federal-Aid Program in its entirety. The SOC is the responsibility of the State, with joint representation by ODOT and FHWA. The Stewardship and Oversight Committee (SOC) membership will include, at a minimum, the FHWA Assistant Division Administrator, the FHWA Field Operations Team Leader, the FHWA Planning and Program Development Team Leader, the FHWA Financial Manager, the ODOT Chief Engineer, the ODOT State Construction Engineer, ODOT Transportation Development Division Administrator, ODOT Maintenance and Operations Engineer, ODOT Highway Finance Manager or ODOT Chief Financial Officer, as appropriate, and a representative of at least two of the Regional Managers. Ad hoc membership will be at the discretion of the SOC based on results from oversight activities. The SOC will meet on a quarterly basis and ODOT will report on the dashboard. The dashboard, based on the Critical Performance Indicators, will be reviewed for compliance to established performance levels. Any performance indicator that is outside of desired levels will be addressed, with the ODOT and FHWA mutually developing and approving improvement actions to further the efficiency and effectiveness of the Federal-Aid Program in Oregon. The annual Program Assessment/Risk Assessment will provide the information to determine if the Critical Performance Indicators are still the “best representation of program health” and enable true monitoring of the program, or if they need to be redefined.
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. The State DOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the State DOT will conduct project and program level activities to ensure compliance with federal and state requirements, maintain adequate project delivery systems, and provide sufficient accounting controls. At the project level, ODOT will follow the Project Development Process (PDP) and the supporting procedures in its technical manuals. The PDP is an ODOT process that FHWA concurs with for use on Federal aid projects. ODOT will conduct reviews of project- related submittals as outlined in the PDP. ODOT will provide copies of any submittals to FHWA upon request. In cases where ODOT determines that a deviation from the standard process is necessary, ODOT may consult with FHWA to ensure that project eligibility is maintained. Note: The State DOT and the FHWA Ohio Division Office agreed to assignment of NEPA responsibilities pursuant to 23 USC §327. The FHWA-State DOT Memorandum Of Understanding (MOU) dated December 11, 2015 details the scope of this assignment of responsibilities to the State DOT. Pursuant to the assignment of those responsibilities, the State DOT serves as the lead Federal agency for federal-aid projects within the State under the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.). However, the FHWA remains the lead Federal agency for projects listed in the MOU as being exempt from this assignment. Nothing in this section of the agreement permits the State DOT to assume any rulemaking authority of the USDOT Secretary (FHWA) under any Federal law. Nothing in this section of the agreement permits the State DOT to assume any rulemaking authority of the USDOT Secretary (FHWA) under any Federal law. During construction, ODOT and/or ODOT consultant inspection staff will oversee construction operations in accordance with the ODOT Construction Administration Manual of Procedures. Construction documentation is maintained electronically on DOT’s Site Manager web-site. ODOT provides FHWA direct access to the documentation available on Site Manager. At the program level, ODOT, in coordination with FHWA, will continue to develop updates to its manuals as conditions require. ODOT maintains qualification requirements for its staff and consultants. As a component of the qualification requirements, ODOT implements training on a variety of subjects or requires...
