SCOH Technical Meeting
October 18, 2013
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Why the new approach?
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Risk-based Project Involvement
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Required Project Actions
Compliance Assessment Program (CAP)
Projects of Division Interest (PoDI)
Projects of Corporate Interest (PoCI)
Questions
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MAP 21 Changes
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Need to make more effective use our limited
resources
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Recent evaluations of our approach to
stewardship & oversight
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Risk-based: risk assessment is integrated
throughout the performance planning process
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Data-driven: decisions are grounded in objective
data and information to the extent possible
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Value-added: actions are taken with a primary
objective of improving programs and projects
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Consistent: actions are based on consistent
approach to planning, risk assessment, and S&O
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Project Involvement
 Required Project Actions
 Data-driven Compliance Assurance
 Risk-based Project Involvement
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Program Involvement
 Required Program Actions
 Risk-based Program Involvement
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1. Required Project Actions
 Prescribed in Federal law and can’t be delegated
 Examples include:
 Approval of environmental documents such as Record of
Decision or Finding of No Significant Impact
 Approval of non-competitive/force account contracting
 Participation in project costs incurred prior to FHWA
authorization
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2. Data-driven Compliance Assurance
FHWA Compliance Assessment Program (CAP)
 Cultural change regarding project oversight
 Statistical approach that is defensible and data
driven
 Allows conclusions to be inferred over entire
population of projects at national and local level
 One element of project involvement
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2. Data-driven Compliance Assurance
FHWA Compliance Assessment Program (CAP)
 Establishment of the project population
 FMIS as the data source
 Projects authorized for construction in last 12 months
 Random sampling from the Division population
 Sample size thru statistical criteria (90/10/5)
 CAP review guides
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3. Risk-based Project Involvement
a. Projects of Division Interest (PoDI)
 Informed by Division/State assessment of risk
 Selected based on a consistent set of project selection
criteria and target ranges
 Active engagement by DFSs for consistency
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3. Risk-based Project Involvement
a. Projects of Division Interest (PoDI)
 Documented approach to selecting PoDI projects
 Brief project-specific S&O plans (not detailed
agreements) outlining the specific areas involvement.
 Does not change the State’s administration of their
projects
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3. Risk-based Project Involvement
b. Projects of Corporate Interest (PoCI)
 Informed by FHWA assessment of risk
 Selected based on consistent set of criteria
 Project-specific S&O activities incorporated into
Division Unit Plans
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3. Risk-based Project Involvement
b. Projects of Corporate Interest (PoCI)
 The selection criteria for PoCI projects includes:
 NHS Projects w/significant impact on system
and/or
Projects w/significant influence on FHWA policy,
initiative or element (critical to FHWA performance)
 Sufficiently scoped thru NEPA (reasonable assurance of
advancement to implementation)
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3. Risk-based Project Involvement
b. Projects of Corporate Interest (PoCI)
 Examples of PoCIs includes:
 National Highway System projects that have significant
national or regional network impacts or benefit ( San
Francisco-Oakland Bay Bridge, Tappan Zee Bridge in NY,
I-93 thru NH)
 Projects that have significant elements that impact or
influence national goals, objectives or policies (Alaskan
Way Viaduct Replacement in WA, St Croix River Crossing
in MN, US36 in CO)
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Stewardship and Oversight Agreement Guidance
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Monitoring implementation in PY’14 to make it
better next year
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