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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOT’s assumed project approvals as set forth in the S&O Agreement. FDOT will provide FHWA with access to the project files when requested. FHWA and FDOT program and project managers are expected meet regularly to discuss program status, new initiatives, innovative opportunities, program risks, and areas of improvement.
Appears in 3 contracts
Samples: Stewardship and Oversight Agreement, Stewardship and Oversight Agreement, Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. The 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 willfollowing techniques and processes will be used: National Bridge Inspection Standards (NBIS), at 23 CFR Part 650, Subpart C, applies to all bridges/culverts carrying vehicular traffic that are greater than 20 feet in length and are located on 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) public road. The NBIS requires GDOT 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 forpublic highway bridges within its borders, including county and municipal owned bridges, are inspected in accordance with the NBIS. GDOT has responsibility for the inspection of all public vehicular bridges within the state, except for those that are federally owned, tribally owned, and bridges not carrying public roads. All bridges over 20 feet in length are also required to be listed on GDOT’s inventory, and their inventory information is to be submitted annually to FHWA to be included in National Bridge Inventory (NBI). Upon the identification of a structure that is rated below the State’s legal load, GDOT’s procedures require the immediate notification of the owner to post and/or repair the deficient structure. If not posted within 90 days, the bridge owner will be declared non-compliant with the NBIS and that county will not be eligible for Federal Funding until becoming compliant. Section 1.36 of 23 CFR has been used to withhold project approvals 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 funds from States in accordance with AASHTO design criteria; FDOT Design Standards: Standard Specifications for Road various instances, and Bridge Construction (including supplemental specifications); pavement design manuals; Drainage Manual; the Plans and Preparation Manual (PPM); and FDOT Structures Manualcourts have recognized it as giving FHWA legal authority to do so. • Conduct construction activities as set forth GDOT publishes a list each month of those counties that are not 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 compliance with the requirements NBIS. The GDOT’s process of the approved plans and specifications, including any approved changes. A final project material certification closing a bridge is stored in the project file for each Federal-aid project. • Ensure nondiscrimination in all FDOT programs and activities by conducting both program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related similar to the delivery of posting process. The GDOT policy is to close bridges rated three tons or below. GDOT verbally notifies the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT will maintain individual Federal-aid project files that will include documentation bridge owner within four hours of all required FHWA actions and FDOT’s assumed project approvals as set forth critical deficiencies requiring closure. Within 24 hours, GDOT sends a certified letter of their recommendation to close. The bridge owner is encouraged to immediately repair or close the bridge before being declared non-compliant with the NBIS. Federal funds are not authorized for owners in the S&O Agreement. FDOT will provide FHWA with access to the project files when requested. FHWA and FDOT program and project managers are expected meet regularly to discuss program a non-compliance status, new initiatives, innovative opportunities, program risks, and areas of improvement.
Appears in 2 contracts
Samples: S&o Agreement, S&o Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT Oversight and Reporting Requirements FDOT Administered Projects 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 FDOT State DOT will, at a minimum, do the following: • Provide stewardship Prepare construction documents in accordance with the UDOT “Design Manual of Instruction” and oversight activities on “Project Delivery Networks” • Procure consultant services for all Federal-aid projects as described in according to the “Project Action Responsibility MatrixConsultant Services Manual of Instruction” (Attachment A) • Provide stewardship Award construction contracts as set forth in Section 08-12B of UDOT’s “Policies and oversight activities on FHWA programs as described in the “Program Responsibility MatrixProcedures Book” (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 the UDOT “Construction Project Administration Manual. Utilize established Quality Control/Quality Assurance Program to assure that the materials Manual of Instruction” • Conduct and workmanship incorporated into any highway document inspections on a reasonable sample of active 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT UDOT will maintain individual Federal-aid project files that will include including documentation of all required FHWA actions and FDOTUDOT’s assumed project approvals as set forth in the S&O Agreementthis agreement. FDOT UDOT will provide FHWA with access to the project files when requested. FHWA On a quarterly basis UDOT and FDOT program the Division will meet to review the performance indicators referenced in this document. UDOT will provide the reports required by the FHWA-UDOT CE Assignment MOU and at the required frequency.
B. State DOT Oversight of Locally Administered Projects B.1. State DOT’s are required to provide adequate oversight of sub-recipients 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 sub-recipients of Federal funds have adequate project managers are expected meet regularly delivery systems for locally administered projects and sufficient accounting controls to discuss program statusproperly 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, new initiativessuch as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, innovative opportunities, program risks, and areas of improvementPL 109-282 (as amended by PL 110-252).
Appears in 2 contracts
Samples: Stewardship and Oversight Agreement, Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT PRHTA Oversight and Reporting Requirements FDOT PRHTA is responsible for demonstrating to the FHWA how it the State DOT is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, PRHTA will use the FDOT will, at performance indicators included in Attachment D to measure effective stewardship & oversight. PRHTA will prepare a minimum, do the following: • Provide stewardship report 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 submit 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 status of the approved plans and specificationsoversight indicators on a semi-annual basis for the first year of this agreement, including any approved changesafter the first year PRHTA shall submit reports on a quarterly basis. 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT PRHTA will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOTXXXXX’s assumed project approvals as set forth in the S&O Agreementagreement. FDOT PRHTA will provide FHWA with access to the project files when requested. At the project level, PRHTA shall have all the processes and procedures in place to be able to carry out the Federal-aid program as required by 23 U.S.C. FHWA shall concur with PRHTA before its implementations. In case where PRHTA determines that a deviation from any.of the processes is necessary, PRHTA shall consult with FHWA to ensure that project eligibility is maintained. At the program level, PRHTA, in coordination with FHWA, will continue to develop updates to its manuals and FDOT program procedures as conditions requires. PRHTA will review and project managers are expected meet regularly take action as needed to ensure and maintains adequate staffing and capability to carry out its responsibilities under the Federal-aid Highway Program and shall keep records of training provided. PRHTA shall schedule regular meetings with FHWA to discuss program statuspolicies and processes to ensure compliance with federal requirements. PRHTA shall conduct internal review of its processes and provide documentations these actions. These reviews shall be conducted jointly with FHWA.
B. PRHTA Oversight of Locally Administered Projects. Currently PRHTA is exempt from implementing oversight of LPA since there are no sub- recipients for the Puerto Rico Highway Program. However, new initiativesin the event sub-recipients are designated PRHTA needs to comply with the following:
B.1. PRHTA is required to provide adequate oversight of sub-recipients including oversight of any assumed responsibilities the State DOT delegates to a LPA. B.2. Pursuant to 23 U.S.C. 106(g)(4), innovative opportunitiesPRHTA shall be responsible for determining that sub-recipients of Federal funds have adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. PRHTA is also responsible for ensuring compliance with reporting and other requirements applicable to grantees making sub-awards, program riskssuch as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, and areas of improvementPL 109-282 (as amended by PL 110-252).
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT NCDOT Oversight and Reporting Requirements FDOT NCDOT 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 NCDOT will, at a minimum, do the following: • Provide stewardship and oversight activities on Design all 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 the Roadway Design Standards: Standard Specifications for Road Manual, Structures Management Unit Design Manual, Design Exception Policy, Design Build Policy and Bridge Construction (including supplemental specifications); pavement design manuals; Drainage Manual; Procedures, and other applicable manuals and operating agreements listed in Attachment B. Award construction contracts as set forth in the Plans Contract Administration Manual and Preparation Manual (PPM); and FDOT Structures ManualContractor Compliance Plan. • Conduct construction activities as set forth in the project’s sealed construction documents and in accordance with FDOT’s the Construction Project Administration Manual. Utilize established Quality Control/Quality Assurance Program to assure that the materials Manual and workmanship incorporated into any highway construction project are in reasonable conformity with the requirements of the approved plans Roadway Standard Specifications 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documentsProvisions. In addition, the Department’s Office conduct and document project inspections on a reasonable sample of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; active construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT NCDOT will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOTNCDOT’s assumed project approvals as set forth in the S&O this Agreement. FDOT NCDOT will provide FHWA with access to the project files when requested. When NCDOT desires a change in its policies procedures, operating documents and manuals that were mutually adopted with the FHWA, NCDOT will request that the FHWA be involved with the changes.
B. NCDOT Oversight of Locally Administered Projects B.1. NCDOT is required to provide adequate oversight of subrecipients including oversight of any assumed responsibilities NCDOT delegates to a LPA. B.2. Pursuant to 23 U.S.C. 106(g)(4), NCDOT shall be responsible for determining that subrecipients of Federal funds have adequate project delivery systems for locally administered projects and FDOT program sufficient accounting controls to properly manage such Federal-aid funds. NCDOT is also responsible for ensuring compliance with reporting and project managers are expected meet regularly other requirements applicable to discuss program statusgrantees making sub-awards, new initiativessuch as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, innovative opportunities, program risks, and areas of improvementPL 109-282 (as amended by PL 110-252).
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT Oversight and Reporting Requirements FDOT The State DOT is responsible for demonstrating to the FHWA how it is carrying out its responsibilities assumed authorities in accordance with this S&O Agreement. In order to fulfill this responsibility, the FDOT willState DOT will provide reports, at 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 and what frequency this information will be shared with FHWA. The State DOT oversight and reporting requirements are listed in Attachment D of this S&O Agreement.
B. State DOT Oversight of Local Public Agency Administered Projects (LPAs) B1 The State DOT has been given the authority by legislation to provide Federal-aid Highway Program funds to local public agencies, municipalities or other State Agency sub-recipients (LPAs) to perform the work. Municipalities are not recognized as direct recipients of Federal funds, the Federal funds for local aid projects are provided through the State DOT. As a minimumdirect recipient of Federal funds, do the following: • Provide stewardship State DOT remains responsible for the LPA’s compliance with Federal requirements. A full time State DOT employee is assigned to see each LPA project. B2 State DOT is required to provide adequate oversight of LPAs including oversight of any assumed responsibilities the State DOT delegates to an LPA. Through a series of checklists, the State DOT monitors each step of the project delivery process including PS&E approval, consultant selection, construction and oversight activities on project closure. The State DOT does not delegate ROW actions to the LPA. B3 Pursuant to 23 U.S.C. 106(g)(4), the State DOT shall be responsible for determining that sub-recipients 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). B4 The State DOT acknowledges that it is responsible for sub-recipient awareness of Federal grant requirements, management of grant awards and sub-awards, and is familiar with and comprehends pass through entity responsibilities (2 C.F.R 200.331 Requirements for Pass-thru Entities). The State DOT shall assess whether a sub-recipient has adequate project delivery systems and sufficient accounting controls to properly manage projects. The State DOT enters into a project agreement with each LPA; these agreements outline the roles and responsibilities of each agency for project delivery. B5 The State DOT shall assess whether a sub-recipient is staffed and equipped to perform work satisfactorily and cost effectively, and that adequate staffing and supervision exists to manage the Federal-aid project(s). The State DOT shall assess whether sub-recipient 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) receive adequate inspection to ensure compliance they are completed in conformance 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. The State DOT shall ensure that when LPAs elect to use consultants for engineering services, including any approved changesthe LPA, as provided under 23 CFR 635.105(b), shall provide a full-time employee of the agency to be in responsible charge of the project. A final B6 The State DOT shall ensure that project material certification is stored actions will be administered in accordance with all applicable Federal laws and regulations. B7 The State DOT will document its oversight activities of LPA administered projects in the project file for each Federal-aid project. • Ensure nondiscrimination in all FDOT programs and activities by conducting both program and project reviews form of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance an LPA Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, which shall encompass the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, following areas of concern, responsibility: a Consultant selection and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certificationsmanagement; ROW parcel acquisitionb Environment; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOT’s assumed project approvals as set forth in the S&O Agreement. FDOT will provide FHWA with access to the project files when requested. FHWA and FDOT program and project managers are expected meet regularly to discuss program status, new initiatives, innovative opportunities, program risks, and areas of improvement.c Design;
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT PRHTA Oversight and Reporting Requirements FDOT PRHTA is responsible for demonstrating to the FHWA how it the State DOT is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, PRHTA will use the FDOT will, at performance indicators included in Attachment D to measure effective stewardship & oversight. PRHTA will prepare a minimum, do the following: • Provide stewardship report 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 submit 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 status of the approved plans and specificationsoversight indicators on a semi-annual basis for the first year of this agreement, including any approved changesafter the first year PRHTA shall submit reports on a quarterly basis. 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT PRHTA will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOTPRHTA’s assumed project approvals as set forth in the S&O Agreementagreement. FDOT PRHTA will provide FHWA with access to the project files when requested. At the project level, PRHTA shall have all the processes and procedures in place to be able to carry out the Federal-aid program as required by 23 U.S.C. FHWA shall concur with PRHTA before its implementations. In case where PRHTA determines that a deviation from any.of the processes is necessary, PRHTA shall consult with FHWA to ensure that project eligibility is maintained. At the program level, PRHTA, in coordination with FHWA, will continue to develop updates to its manuals and FDOT program procedures as conditions requires. PRHTA will review and project managers are expected meet regularly take action as needed to ensure and maintains adequate staffing and capability to carry out its responsibilities under the Federal-aid Highway Program and shall keep records of training provided. PRHTA shall schedule regular meetings with FHWA to discuss program statuspolicies and processes to ensure compliance with federal requirements. PRHTA shall conduct internal review of its processes and provide documentations these actions. These reviews shall be conducted jointly with FHWA.
B. PRHTA Oversight of Locally Administered Projects. Currently PRHTA is exempt from implementing oversight of LPA since there are no sub- recipients for the Puerto Rico Highway Program. However, new initiativesin the event sub-recipients are designated PRHTA needs to comply with the following:
B.1. PRHTA is required to provide adequate oversight of sub-recipients including oversight of any assumed responsibilities the State DOT delegates to a LPA. B.2. Pursuant to 23 U.S.C. 106(g)(4), innovative opportunitiesPRHTA shall be responsible for determining that sub-recipients of Federal funds have adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. PRHTA is also responsible for ensuring compliance with reporting and other requirements applicable to grantees making sub-awards, program riskssuch as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, and areas of improvementPL 109-282 (as amended by PL 110-252).
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT AHTD Oversight and Reporting Requirements FDOT AHTD 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: AHTD will • Provide stewardship and oversight activities Carry out design quality assurance reviews on all Federal-aid projects as described in the “Project Action Responsibility Matrix” (Attachment A) prior to advertisement; • 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 requirementsDevelop construction cost estimates per AHTD’s procedures; 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 sealed construction documents and in accordance with FDOTAHTD’s Construction Project Administration Manual. Utilize established Quality Control/Quality Assurance Program to assure that the materials Standard Specifications for Highway Construction; and workmanship incorporated into any highway construction • Conduct project are inspections in reasonable conformity accordance with the requirements of the approved plans AHTD’s Resident Engineer’s Manual and specifications, including any approved changesAHTD’s Standard Specifications for Highway Construction. 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT AHTD will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOTAHTD’s assumed project approvals as set forth in the S&O this Agreement. FDOT AHTD will provide FHWA with access to the project files when requested. At least monthly, AHTD will provide FHWA with the AHTD Staff Minutes and FDOT program and a Construction Status Report. • The Staff Minutes should summarize the status of each Federal-aid project managers are expected meet regularly to discuss program statusunder development, new initiatives, innovative opportunities, program risksthe proposed letting date, and areas identify any unique issues associated with the project. • The Construction Status Report should summarize the status of improvementactive construction projects to include work complete, time charged, and estimated completion date.
B. AHTD Oversight of Locally Administered Projects AHTD is required to provide adequate oversight of sub-recipients including oversight of any assumed responsibilities they delegate to a LPA. AHTD is responsible for ensuring compliance with reporting and other requirements, such as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, PL 109-282 (as amended by PL 110-252). AHTD is to exercise similar judgment as FHWA based on Federal laws, regulations, and policies, in carrying out its responsibilities for a sub-recipient oversight program (23 U.S.C. 106(g)(4)), sub- grantee awareness of grant requirements, management of awards and sub-awards, and pass through entities responsibilities (2 C.F.R. 220.331 Requirements for Pass-thru Entities). AHTD will ensure the following: • Maintain a sufficiently staffed LPA Administration Section. • Administer the LPA program in accordance with the FHWA approved Procedures for Local Public Agency Project Administration. AHTD agrees to maintain and administer the AHTD Local Public Agency Projects Manual, such that they, at a minimum, allow AHTD to • Determining whether a sub-recipient of Federal funds has adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. • Determine whether a sub-recipient is staffed and equipped to perform work satisfactorily and cost effectively, and adequate staffing and supervision exists to manage the Federal project(s). • Determine whether sub-recipient projects receive adequate inspection to ensure they are completed in conformance with approved plans and specifications. • AHTD will ensure, if applicable, an LPA-administered Federal-aid project is constructed in accordance with the current edition of AHTD’s Standards and Specifications. • Ensure when LPAs elect to use consultants for engineering services, the LPA, as provided under 23 CFR 635.105(b), shall provide a full-time employee of the agency to be in responsible charge of the project. • The activities for ensuring compliance, at a minimum, oversight should cover these areas:
a. Consultant selection and management;
b. Environment;
c. Design;
d. Civil Rights;
e. Financial management including audits and indirect cost allocation plans;
f. Right-of-way;
g. Construction monitoring, including Quality Control/Quality Assurance (QC/QA); and
h. Contract administration including the State DOT’s responsibility to approve a sub-recipient to pursue a contract procurement method other than competitive bidding.
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT NMDOT Oversight and Reporting Requirements FDOT The NMDOT 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 NMDOT 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 Prepare construction documents, 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 requirementsFAHPs, 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 the project development process and the production schedule; • Carry out design criteriareviews on all FAHPs prior to advertisement; FDOT Design Standards: Standard Specifications for Road and Bridge Construction (including supplemental specifications)• Develop construction cost estimates per NMDOT’s guidelines; pavement design manuals• Award construction contracts as set forth in NMDOT’s “Bid Review Process”; Drainage Manual; the Plans and Preparation Manual (PPM); and FDOT Structures Manual. • Conduct construction activities as set forth in the project’s sealed construction documents and in accordance with FDOTNMDOT’s Standard Specifications and 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid • Conduct and document Construction and Civil Rights Bureau inspections on a reasonable sample of active construction projects. FDOT NMDOT will maintain individual Federal-aid project FAHP files that will include documentation of all required FHWA actions and FDOTNMDOT’s assumed project approvals as set forth in this S & O Agreement.
B. NMDOT Oversight of Tribal/Local Administered Projects The NMDOT has a T/LPA Handbook that provides guidance to T/LPAs for administering projects funded as part of the S&O AgreementFAHP. FDOT will Each entity must also enter into a Cooperative Project Agreement for each project funded as part of the FAHP. This Cooperative Project Agreement defines specific responsibilities for each entity.
B.1. NMDOT is required to provide FHWA adequate oversight of sub-recipients including oversight of any assumed responsibilities NMDOT has delegated to T/LPAs. B.2. Pursuant to 23 U.S.C. 106(g)(4), the NMDOT shall be responsible for determining that sub-recipients of Federal funds have adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. The NMDOT is also responsible for ensuring compliance with access reporting and other requirements applicable to grantees making sub-awards, such as monthly reporting requirements under the project files when requested. FHWA Federal Funding Accountability and FDOT program and project managers are expected meet regularly to discuss program statusTransparency Act of 2006, new initiatives, innovative opportunities, program risks, and areas of improvementPL 109-282 (as amended by PL 110-252).
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT Oversight and Reporting Requirements FDOT NYSDOT 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 NYSDOT will, at a minimum, do the following: • Provide stewardship and oversight activities on Federal-aid projects as described in the “Attachment A, Project Action Responsibility Matrix” (Attachment A) Matrix • Provide stewardship and oversight activities on FHWA Federal-aid programs as described in the “Attachment B, Program Responsibility Matrix” (Matrix • Provide stewardship and oversight activities on Federal-aid ITS projects as described in Attachment B) C.1, C.2, and C.3. • Perform Quality Assurance Reviews (QARs) Follow the process as outlined in the NYSDOT Environmental Manual, NYSDOT Project Development Manual, and NYSDOT/FHWA New York Division Federal Environmental Analysis Worksheet to prepare environmental documents for Federal-aid projects, in order to ensure compliance with Federal requirements; identify inconsistencies in process or program management; identify opportunities for greater efficiencies NEPA 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 yearother applicable laws. • 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 Prepare project plans and specifications for Federal-aid highway projects will be designed in accordance with AASHTO design criteria; FDOT the Division approved NYSDOT Project Development Manual, NYSDOT Highway Design Standards: Standard Specifications for Road Manual, NYSDOT Bridge Manuals, NYSDOT Geotechnical Design Manual, NYSDOT Standards and Bridge Construction (including supplemental specifications); pavement design Specifications, and other various 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 documents, in accordance with FDOTNYSDOT’s Construction Project Manual of Record Keeping (MURK), Part 1A Contract Administration Manual. Utilize established Quality Control/Quality Assurance , Part 1B Construction Inspection Manual, Part 1C, Safety & Health Program to assure that the materials Manual, Part 1D, Construction Consultant Manual, Part 2A, Materials Inspection Manual, NYSDOT Standards and workmanship incorporated into any highway construction project are in reasonable conformity with the requirements of the approved plans Specifications, and specifications, including any approved changes. A final project material certification is stored in the project file for each Federal-aid projectother various manuals. • Ensure nondiscrimination non-discrimination in all FDOT of their programs and activities by conducting both program Equal Employment Opportunity (EEO) contractor training reviews, assigning and project reviews monitoring training goals, establishing Disadvantages Business Enterprise (DBE) goals and monitoring participation. • Ensure that all highway bridges within its borders, including county and municipal owned bridge are inspected in accordance with the National Bridge Inspection (NBIS) and are maintained as part of EEOthe National Bridge Inventory (NBI). • Ensure that the appraisal, DBEacquisition, Training Special Provisions (OJT)relocation and property management, Title VIas well as the principal activities used to acquire real property for the construction, LEP/EJoperation, ADA/504 and Special Outreach Initiatives. Follow maintenance of federal-aid projects is completed in conformance with the processes Uniform Relocation Act by following procedures outlined in FDOTNYSDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projectsManuals. FDOT NYSDOT will maintain individual Federalfederal-aid project files that will include documentation of all required FHWA actions and FDOTNYSDOT’s assumed project approvals as set forth approvals.
B. State DOT Oversight of Locally Administered Projects B.1. State DOT’s are required to provide adequate oversight of sub-recipients including oversight of any assumed responsibilities the State DOT delegates to a LPA. NYSDOT developed the Procedures for Locally Administered Federal Aid Projects (PLAFAP) Manual (xxxxx://xxx.xxx.xx.xxx/plafap). The manual is intended to provide project development guidance to Sponsors, who are delegated most of the responsibility of administering Federal aid transportation projects. However, under US Code Title 23, NYSDOT is ultimately responsible for Federal aid transportation projects in New York State and so cannot delegate its overall administrative duties, thereby retaining oversight authority. The manual provides an overview of the S&O Agreement. FDOT will provide FHWA with access to the project files when requested. FHWA and FDOT program and project managers are expected meet regularly to discuss program statusprocesses, new initiativesprocedures, innovative opportunitiesdocumentation, program risksauthorizations, approvals, and areas certifications required throughout the scoping, design, construction, and maintenance of improvementthese facilities. The manual includes procedures on the following topics:
Chapter 1 Introduction and Overview Chapter 2 Roles and Responsibilities Chapter 3 Project Funding, Local Participation, and Project Authorization Chapter 4 State-Local Agreements Chapter 5 Accounting and Reimbursement Procedures Chapter 6 Consultant Procurement and Administration Chapter 7 Overview of Environmental Process Chapter 8 Design Procedures Chapter 9 Design Standards & Construction Specifications Chapter 10 Railroads and Utilities Chapter 11 Right of Way Chapter 12 Construction Contract Requirements Chapter 13 Affirmative Action Contract Requirements Chapter 14 Advertisement, Contract Letting and Award Chapter 15 Administer Construction Contracts Chapter 16 Federal and State Single Audit Requirements Chapter 17 State-Local Agreement Close-out B.2. Pursuant to 23 U.S.C. 106(g)(4), the State DOT shall be responsible for determining that sub-recipients 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).
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT AHTD Oversight and Reporting Requirements FDOT AHTD 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 AHTD will Carry out design quality assurance reviews on all 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) prior to ensure compliance with Federal requirementsadvertisement; identify inconsistencies in process or program management Develop construction cost estimates per AHTD’s procedures; 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 sealed construction documents and in accordance with FDOTAHTD’s Construction Project Administration Manual. Utilize established Quality Control/Quality Assurance Program to assure that the materials Standard Specifications for Highway Construction; and workmanship incorporated into any highway construction Conduct project are inspections in reasonable conformity accordance with the requirements of the approved plans AHTD’s Resident Engineer’s Manual and specifications, including any approved changesAHTD’s Standard Specifications for Highway Construction. 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT AHTD will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOTAHTD’s assumed project approvals as set forth in the S&O this Agreement. FDOT AHTD will provide FHWA with access to the project files when requested. At least monthly, AHTD will provide FHWA with the AHTD Staff Minutes and FDOT program and a Construction Status Report. The Staff Minutes should summarize the status of each Federal-aid project managers are expected meet regularly to discuss program statusunder development, new initiatives, innovative opportunities, program risksthe proposed letting date, and areas identify any unique issues associated with the project. The Construction Status Report should summarize the status of improvementactive construction projects to include work complete, time charged, and estimated completion date.
B. AHTD Oversight of Locally Administered Projects AHTD is required to provide adequate oversight of sub-recipients including oversight of any assumed responsibilities they delegate to a LPA. AHTD is responsible for ensuring compliance with reporting and other requirements, such as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, PL 109-282 (as amended by PL 110-252). AHTD is to exercise similar judgment as FHWA based on Federal laws, regulations, and policies, in carrying out its responsibilities for a sub-recipient oversight program (23 U.S.C. 106(g)(4)), sub- grantee awareness of grant requirements, management of awards and sub-awards, and pass through entities responsibilities (2 C.F.R. 220.331 Requirements for Pass-thru Entities). AHTD will ensure the following: Maintain a sufficiently staffed LPA Administration Section. Administer the LPA program in accordance with the FHWA approved Procedures for Local Public Agency Project Administration. AHTD agrees to maintain and administer the AHTD Local Public Agency Projects Manual, such that they, at a minimum, allow AHTD to Determining whether a sub-recipient of Federal funds has adequate project delivery systems for locally administered projects and sufficient accounting controls to properly manage such Federal-aid funds. Determine whether a sub-recipient is staffed and equipped to perform work satisfactorily and cost effectively, and adequate staffing and supervision exists to manage the Federal project(s). Determine whether sub-recipient projects receive adequate inspection to ensure they are completed in conformance with approved plans and specifications. AHTD will ensure, if applicable, an LPA-administered Federal-aid project is constructed in accordance with the current edition of AHTD’s Standards and Specifications. Ensure when LPAs elect to use consultants for engineering services, the LPA, as provided under 23 CFR 635.105(b), shall provide a full-time employee of the agency to be in responsible charge of the project. The activities for ensuring compliance, at a minimum, oversight should cover these areas:
a. Consultant selection and management;
b. Environment;
c. Design;
d. Civil Rights;
e. Financial management including audits and indirect cost allocation plans;
f. Right-of-way;
g. Construction monitoring, including Quality Control/Quality Assurance (QC/QA); and
h. Contract administration including the State DOT’s responsibility to approve a sub-recipient to pursue a contract procurement method other than competitive bidding.
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT Oversight and Reporting Requirements FDOT SCDOT Administered Projects - SCDOT is responsible for demonstrating to the FHWA how that it is carrying out its responsibilities in accordance with this S&O Agreement. In order to fulfill this responsibility, the FDOT SCDOT will, at a minimum, do the following: • Provide stewardship Prepare construction documents, for all Federal-aid projects, in accordance with the “Preconstruction Project Development Process” and oversight activities the Construction Obligation Schedule; • Carry out design Quality Assurance (QA) reviews on all Federal-aid projects prior to advertisement; • Develop construction cost estimates per SCDOT’s “Preparation of the Engineer’s Estimate” guidelines; • Award construction contracts as described set forth in the SCDOT’s “Project Action Responsibility MatrixBid Reviews and Recommendations Leading to Contract Award and Execution” (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 requirementspolicy; 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 sealed construction documents and in accordance with FDOTSCDOT’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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid • Conduct and document Quality Management Team inspections on a reasonable sample of active construction projects. FDOT SCDOT will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOTSCDOT’s assumed project approvals as set forth in the S&O this Agreement. FDOT SCDOT will provide FHWA with access to the project files when requested. On a quarterly frequency, SCDOT will provide FHWA with a Preconstruction Summary Report (PSR) and FDOT program a Construction Summary Report (CSR). These reports will provide the necessary data to analyze an agreed upon set of Stewardship and project managers are expected Oversight Indicators in a manner similar to the following: • The PSR is to provide sufficient data that substantiates Federal-aid projects in the respective lettings of the quarter were prepared in accordance with the procedures set forth above. While other Indicators may be identified and assessed to meet regularly the needs of either FHWA or SCDOT, each quarterly report should typically provide data on (1) average time to discuss program statuscomplete NEPA documents, new initiatives(2) significant PS&E comments, innovative opportunities(3) percent of projects with conditional ROW certifications, program risks, and areas of improvement.and
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT NCDOT Oversight and Reporting Requirements FDOT NCDOT 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 NCDOT will, at a minimum, do the following: • Provide stewardship and oversight activities on Design all 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 the Roadway Design Standards: Standard Specifications for Road Manual, Structures Management Unit Design Manual, Design Exception Policy, Design Build Policy and Bridge Construction (including supplemental specifications); pavement design manuals; Drainage Manual; Procedures, and other applicable manuals and operating agreements listed in Attachment B. • Award construction contracts as set forth in the Plans Contract Administration Manual and Preparation Manual (PPM); and FDOT Structures ManualContractor Compliance Plan. • Conduct construction activities as set forth in the project’s sealed construction documents and in accordance with FDOT’s the Construction Project Administration Manual. Utilize established Quality Control/Quality Assurance Program to assure that the materials Manual and workmanship incorporated into any highway construction project are in reasonable conformity with the requirements of the approved plans Roadway Standard Specifications 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documentsProvisions. In addition, the Department’s Office conduct and document project inspections on a reasonable sample of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; active construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT • NCDOT will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOTNCDOT’s assumed project approvals as set forth in the S&O this Agreement. FDOT NCDOT will provide FHWA with access to the project files when requested. When NCDOT desires a change in its policies procedures, operating documents and manuals that were mutually adopted with the FHWA, NCDOT will request that the FHWA be involved with the changes.
B. NCDOT Oversight of Locally Administered Projects B.1. NCDOT is required to provide adequate oversight of subrecipients including oversight of any assumed responsibilities NCDOT delegates to a LPA. B.2. Pursuant to 23 U.S.C. 106(g)(4), NCDOT shall be responsible for determining that subrecipients of Federal funds have adequate project delivery systems for locally administered projects and FDOT program sufficient accounting controls to properly manage such Federal-aid funds. NCDOT is also responsible for ensuring compliance with reporting and project managers are expected meet regularly other requirements applicable to discuss program statusgrantees making sub-awards, new initiativessuch as monthly reporting requirements under the Federal Funding Accountability and Transparency Act of 2006, innovative opportunities, program risks, and areas of improvementPL 109-282 (as amended by PL 110-252).
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
STATE DOT OVERSIGHT AND REPORTING REQUIREMENTS. A. State DOT ITD Oversight and Reporting Requirements FDOT ITD 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 ITD will, at a minimum, do the following: • Provide Adhere to all ITD Board and Administrative Policies. • Conduct stewardship and oversight activities on Federal-aid projects as described for each of the Project Actions detailed in the “Project Action Responsibility Matrix” Matrix (see Attachment A) • Provide A of this Agreement). PoDI projects are subject to risk-based stewardship and oversight activities and will be governed by a separate PoDI Plan detailing FHWA and ITD responsibilities. • Conduct stewardship and oversight on FHWA programs as described each of the Program Activities detailed in the “Program Responsibility Matrix (see Attachment B of this Agreement). Report to FHWA per the frequency and due dates listed in the Matrix” . • Continuously update and monitor both the performance measures on the Department’s external Dashboard and the internal performance measures/indicators on the internal Scorecard to ensure trends are moving in the desired target direction. These measures and indicators provide documented evidence ITD’s assumption of responsibilities is functioning appropriately. The program performance indicators will be provided to FHWA as needed, but not less frequently than annually. • Various Sections within ITD (Attachment BOffice of Internal Review, Planning Services, Office of Civil Rights, Central Lab, District Labs, Design/Traffic Services, Contracting Services, and Materials/Construction etc.) • Perform Quality Assurance Reviews (QARs) will independently carry out the following oversight activities: internal audit functions, reviews, spot-checks, special analysis, investigations, quality control reviews, etc. These activities will be carried out on the ITD Districts and Program Offices, MPOs, LHTAC, ACHD, Disadvantaged Business Enterprises, consultants, sub-grantees, contractors, and railroad and utility companies with reports sent to FHWA as required to ensure compliance with Federal requirements; identify inconsistencies in process or program management; identify opportunities for greater efficiencies federal, state, and improvements to the program; local laws and identify best practicesregulations. 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, Additional details are included referenced in the Statewide Transportation Improvement Idaho S&O Agreement Reference Guide, Section IV (Methods of Program Oversight) Part b. (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 specificationsProgram Oversight); 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 program and project reviews of EEO, DBE, Training Special Provisions (OJT), Title VI, LEP/EJ, ADA/504 and Special Outreach Initiatives. Follow the processes outlined in FDOT’s nondiscrimination assurances, the DBE Program Plan, ADA/504 Program and Accessibility Plan, Contractor Compliance Manual, Title VI Implementation Plan, LEP Plan, Public Involvement and Sociocultural Effects Manuals, Local Agency Nondiscrimination Handbook, and other applicable policies, manuals or guidance documents. In addition, the Department’s Office of Inspector General develops and executes a risk based audit plan each fiscal year based on major risks, areas of concern, and possible audit topics provided by the State Construction Office and other units. Each month FDOT holds an Executive Performance Review of which FHWA executives participate. Certain performance measures reported are related to the delivery of the Federal-aid program including: number of Right of Way (ROW) certifications; ROW parcel acquisition; addendums to PS&E packages; comparison of low bid to planning and engineer’s estimates; construction time and cost performance; value engineering; use of Federal-aid obligation authority; and inactive Federal-aid projects. FDOT will maintain individual Federal-aid project files that will include documentation of all required FHWA actions and FDOT’s assumed project approvals as set forth in the S&O Agreement. FDOT will provide FHWA with access to the project files when requested. FHWA and FDOT program and project managers are expected meet regularly to discuss program status, new initiatives, innovative opportunities, program risks, and areas of improvement.
Appears in 1 contract
Samples: Stewardship and Oversight Agreement
