1. Stewardship Agreement 2011 2011 Update

2. Stewardship Agreement 2011 Agenda Stewardship Agreement Background Goals For 2011 Review Updated Agreement Steps for Success

3. Stewardship Agreement 2011 Authority, Roles and Responsibilites Authority ISTEA 1991 TEA-21 1998 SAFETEA-LU 2005 FHWA Responsibilities Oversee Expenditure of Federal Funds Improve Transportation Project Delivery INDOT Responsibilities Perform FHWA Duties on State Oversight Projects Perform oversight of Sub-recipients

4. Stewardship Agreement 2011 Stewardship Definition Oversight vs Stewardship Oversight – Subset of Stewardship “Ensures Federal Aid Highway Program is delivered consistent with laws, regulations and policies” Accomplished through: - Document Reviews - Project Field Reviews - Attending Project Meetings - Interaction with Staff THINK PROJECT LEVEL REVIEW – FEDERAL OVERSIGHT PROJECTS

5. Stewardship Agreement 2011 Oversight Definition Oversight vs Stewardship Stewardship “Efficient and effective management of the public funds that have been entrusted to the FHWA and subsequently InDOT and their subrecipients, such as LPA’s and MPO’s” Accomplished through: - Process Improvement Initiatives - Technology Deployment - Performance Management - Sharing Best Practices THINK PROGRAM AREA REVIEWS

6. Stewardship Agreement 2011 Purpose of Agreement Maximize Federal Aid Flexibility Strategic Use of Resources/Risk Based Approach Ensure most Flexible use of Funding Delegated Responsibilities Coordinate Improvement Initiatives

7. Stewardship Agreement 2011 Purpose of Agreement Foster Partnership Between INDOT and FHWA Leadership Program Offices District Offices Conveys Interrelationship with Other Partners INDOT MPO’s LPA’s Other Federal Agencies

8. Stewardship Agreement 2011 Purpose of Agreement Improve Program Delivery Efficiency (i.e. Get More with Less) Internal Operations Cost Efficient Project & Program Delivery Shorten Project Delivery Time Improve Finance Management Accomplished Through Targeted Joint Reviews Technology Transfer

9. Stewardship Agreement 2011 Purpose of Agreement Improve Performance of the System Safety Asset Management Transportation Reliability Congestion Incident Management Technology Deployment Innovation, Materials, Processes

10. Stewardship Agreement 2011 Goals for 2011Stewardship Incorporate Performance Management Incorporate Risk Based Approach Communicate Agreement Implement and Follow Through on Agreement

11. Stewardship Agreement 2011 Plan Components -Overview Basic agreement structure Three Legs of Stewardship Performance Planning Program Oversight Project Oversight

12. Stewardship Agreement 2011 Performance Management Measure and monitor the performance of the Federal Aid Program Report and monitor 6 major enterprise performance measures Report and monitor 17 individual programs INDOT assist FHWA gather information for nationwide measures

13. Stewardship Agreement 2011 Performance Measures Annual Fiscal Year Budget Annual Budget versus Monthly Obligations Project Delivery on Time and Budget Planned construction contracts vs Actual monthly letting – dollars and # of contracts Asset Management – Roads – Percent roads of acceptable miles (IRI) – Bridges – Percent bridges acceptable bridges Highway Mobility Monthly congestion on selected metropolitan corridors in peak hours Traffic Safety Number and traffic fatality rate per 100 million miles driven. Customer Service Responsiveness to inquires from customers summarized monthly

14. Stewardship Agreement 2011 Program Oversight Monitor Performance Maintain Procedure and Control Documents Conduct Strategic Planning Program Assessments Risk Assessments Identify and Conduct individual and joint reviews to improve performance.

15. Stewardship Agreement 2011 17 Program Areas Planning and Programming Environment Finance Design Right of Way Safety ITS/Operations Structures Pavement/Materials Civil Rights/DBE Construction Contract Administration (Letting Process) Emergency Preparedness/Relief Local Program Administration Asset Management Air Quality Conformity

16. Stewardship Agreement 2011 Each Program has these features Overview Federal Regulations Controlling Documents Responsibility for Program Actions Program Performance Measures Program Commitment Measures Deployment, Monitoring and Follow-up

17. Stewardship Agreement 2011 Pavement Program Control Document example CONTROL DOCUMENT SUBMIT CHANGES TO FHWA FOR APPROVAL Design Manual, Chapter 52, 56All Changes pertaining to pavement design Standard SpecificationsAll Changes pertaining to pavement design and construction, and pavement materials Special ProvisionsAll Changes pertaining to pavement design and construction, and pavement materials Pavement Preservation InitiativePolicy and Procedural Changes Pavement Type Selection PolicyPolicy and Procedural Changes Pavement Steering Committee PolicyPolicy and Procedural Changes DARWinME InstructionsPolicy and Procedural Changes

18. Stewardship Agreement 2011 Contract Administration Program Actions example Approval Action AGENCY RESPONSIBLE NHS PROJECTS (FHWA Oversight) NHS PROJECTS (INDOT Oversight) Non-NHS PROJECTS PIF Approval for Force Account Road work FHWA Reduced Advertisement Period of 2 weeks re-scheduled within 75 days INDOT Reduced Advertisement Period of less than 3 weeks FHWA Major Contract Addenda FHWAINDOT Bid Analysis INDOT Rejection of low bid and Award to second low bidder FHWAINDOT Rejection of all bids FHWAINDOT

19. Stewardship Agreement 2011 Bridge Program Commitments example Commitment Activities AGENCY RESPONSIBLE FHWAINDOT Notification of Unusual or non-routine Structure At NEPA or project initiation stage Hydraulics Report Comment/approve by approval date Submit 2 weeks before approval date Geotechnical Report Comment/approve by approval date Submit 2 weeks before approval date Structure Size and Type Report (30% Design) Comment/approve by approval date Submit 2 weeks before approval date Final Design Approval Comment/approve by approval date Submit 2 weeks before approval date Annual NBI Submittal Submit to FHWA HQ by April 1 Annual Bridge Construction Unit Cost Submit to FHWA by March 20

20. Stewardship Agreement 2011 Construction Performance Measures example % of Contracts Substantially Complete by completion date. Goal 90%. Reported Quarterly % of contracts completed within 5% of original awarded amount. Goal 90%. Reported Quarterly Materials: % of contracts that comply with testing requirements. Goal 100%. Reported Quarterly

21. Stewardship Agreement 2011 Responsibility of Program Leads Develop and maintain control documents, program performance measures and commitment measures Program leads will develop and implement reviews and initiatives for improvements Leadership team will do periodic review of program areas monitoring performance and specific commitment measures

22. Stewardship Agreement 2011 Program Leads Program Area FHWA LeadINDOT Lead Planning and ProgrammingJoyce NewlandBrad Steckler EnvironmentMichelle AllenLaura Hilden FinanceMark NewlandGary Eaton DesignKen LeuderalbertJohn Wright Right of WayKen Woodruff (Woody)David Holtz SafetyRick DrummBrad Steckler ITS/OperationsKaren StippichRyan Gallagher StructuresKeith HoernschemeyerAnn Rearick Pavement/MaterialsTom DuncanDave Andrewski Civil Rights/DBEKen Woodruff (Woody)Tiffany Mulligan ConstructionBren GeorgeMark Miller Contract AdministrationEryn FletcherBob Cales Emergency Preparedness/ReliefKeith HoernschemeyerTom Vanderpool Local Program AdministrationDan KeeferAudra Blasdel Asset ManagementDan KeeferBrad Steckler Air Quality ConformityLarry HeilLawrence Brown

23. Stewardship Agreement 2011 Project Oversight Oversight is accomplished through: Project document reviews Project field reviews Attending project meetings Interaction with staff

24. Stewardship Agreement 2011 Consideration for FHWA Oversight Major corridors with all costs ≥ $500M Interstate Projects: – With design exceptions to the 13 controlling criteria – New or modified interchanges – Substantial Reconstruction or Replacement contracts Earmarks Innovative Contract and Special Experimental Projects – SEP-14 approval for alternative contracting methods – SEP-15 approval for public-private partnerships Projects with an EIS Complex or controversial or Congressional interest projects Major, unique, or unusual structures

25. Stewardship Agreement 2011 Oversight Project Determination A representative sample of projects varying in project size and scope Goal 5% to 10% of active projects based on number Goal 20% to 40% of active projects based on obligation 6 month review of project list Not all phases maybe oversight Low risk projects delegated to INDOT

26. Stewardship Agreement 2011 Update Plan Components Strengths of Current Agreement Joint Effort Easily Understood Document Clearly Defines Oversight Responsibilities

27. Stewardship Agreement 2011 Steps for Success Communicate the Agreement Implement the Agreement Monitor Results

28. Stewardship Agreement 2011 Stewardship Implementation Conduct strategic planning to identify for improvements based on performance measures – Leadership team implements program improvements – Program Leads monitor performance and stewardship oversight for program areas

29. Stewardship Agreement 2011 Stewardship Implementation Conduct program assessments – – Insure programs operate effectively, in compliance with federal regulations and to ensure project oversight. Conduct program risk assessments- – Quantify risks and understand the magnitude and likelihood of the risk. – Identify the top ten risks to the FAHP Monitor and report Enterprise performance measures, Program performance and commitment measures Monitor strategic performance initiatives Annually update this stewardship agreement

30. Stewardship Agreement 2011 Questions