Federal Lands Highway FLTP S&O Working Instructions 

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I. PURPOSE

The working instructions define Stewardship and Oversight (S&O) responsibilities, activities, 

and assessment processes that will be used to evaluate compliance with the administration and 

program delivery of the Federal Lands Transportation Program (FLTP). These instructions are 

not meant to cover every step in the process. Rather, they solely include the S&O related 

considerations. This document follows a simple, sequential process:

1. What are the steps for requesting FLTP funds for program administration?

2. When a Federal Land Management Agency (FLMA) identifies a new project to be 

funded with FLTP funds – what happens next? 

3. What are the S&O related roles, protocols, activities, and associated milestones 

required to advance the project to completion? 

The intent of this document is to implement an effective and efficient S&O process that 

includes:

• Simplifying and streamlining S&O processes for Federal Lands Management 

Agencies (FLMAs) and Federal Lands Highway (FLH).

• Providing clear roles and expectations for administration and selection of projects 

funded under the FLTP;

o Institutionalizing S&O related FLTP procedures supporting the development 

of a Program of Projects (POP).

o Memorializing S&O related FLTP procedures supporting the financial 

accountability of program funds used by FLMAs for project delivery and 

administration.

• Describing the POP development process and establishing the multi-year POP 

Database as FLH’s official program of projects system of record.

II. BACKGROUND

From 2018 to 2021, updated procedures on parent-child reporting by the child, (i.e., FLMA), 

were instituted after many coordination meetings between FHWA and FLMAs. The working 

instructions reflect the outcomes of those policy discussions and includes both established 

protocols used in FYs 2018-2021 in addition to new practices that reduce administration and 

oversight of FLTP FLMA-delivered projects. 
Federal Lands Highway FLTP S&O Working Instructions 

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III. SCOPE

The S&O working instructions apply to FLTP projects delivered by FLH and FLMAs and

supersede previous FLH S&O guidance issued in 20141

, 20162 and 20183.

IV. ACRONYMS

AA – Associate Administrator

AoF – Authorization of Funds

AOP – Aquatic Organism Passage

BLM – Bureau of Land Management

BOR – Bureau of Reclamation

CAP – Compliance Assessment Program

CBO – Chief of Business Operations

CE – Construction Engineering

CFL – Central Federal Lands

CN – Construction

CR – Continuing Resolution

DD – Division Director

DOT – Department of Transportation

EFL – Eastern Federal Lands

ERFO – Emergency Relief for Federally Owned Roads

ERM – Enterprise Risk Management

FA DO – Federal-Aid Division Office

FHWA – Federal Highway Administration

FIRE – Financial Integrity Review and Evaluation

FLAP – Federal Lands Access Program

FLH – Federal Lands Highway

FLH DO – Federal Lands Highway Division Office

FLMA – Federal Land Management Agency

FLPP – Federal Lands Planning Program 

FLTP – Federal Lands Transportation Program

1 Federal Lands Highway – Stewardship and Oversight Guidance, December 2, 2014. 2 Stewardship and Oversight Guidance: Supplemental Instructions for FLTP Partners, January 6, 2016.

3 Memorandum: New S&O Process for Programmatic Delivery of FLMA-Delivered Funded Projects, August 3, 2018
Federal Lands Highway FLTP S&O Working Instructions 

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FS – Forest Service

FTA – Federal Transit Administration

FTE – Full-time Equivalent

FWS – Fish and Wildlife Service

FY – Fiscal Year

GTC – General Terms and Conditions

HFL – Headquarters Federal Lands Highway

HFPD – Office of Federal Lands Highway Programs Director

HQ – Headquarters

LT – Leadership Team

MOA – Memorandum of Agreement (see also PA and PMP)

NPS – National Park Service

NPM – National Program Manager

O&M – Operations and Maintenance

PA – Project Agreement, interchangeable with MOA and PMP

PCS – Permanent Change of Station

PDC – Programming Decisions Committee

PE – Preliminary Engineering

PgM – Program Manager

PMIS – Project Management Information System 

PMP – Project Management Plan – interchangeable with MOA and PA

PMR – Procurement Management Review

POC – Point of Contact

POP – Program of Projects

PP&E – Planning, Programming, and Environment

PS&E – Plans, Specifications and Estimate

PT – Presidio Trust

ROW – Right of Way

SDOT – State Department of Transportation

SES – Senior Executive Service

SOP – Standard Operating Procedure

STIP – Statewide Transportation Improvement Program

S&O – Stewardship and Oversight
Federal Lands Highway FLTP S&O Working Instructions 

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TIP – Transportation Improvement Program 

USACE – US Army Corps of Engineers 

USBR - Bureau of Reclamation

WFL – Western Federal Lands

V. FLTP PROGRAM ADMINISTRATION

Program Administration eligible fund activities

Eligible activities include:

a) FTE government staff, inclusive of leave and benefits; 

b) Contractor staff supporting FLTP administrative functions; 

c) Program-related travel and PCS; 

d) Training directly related to implementing programmatic activities;

e) Program-related expenses for licenses and certifications;

f) Production and procurement of reports required by 23 U.S.C. Section 203 and /or 

requested by FHWA in support of Section 203 of title 23; 

g) Facility workspace; and, 

h) Office supplies, office equipment, and commercial software to support program 

administration functions. 

This list is subject to change per discussions between FLH and FLMA HQ offices on the 

eligible list. These activities are listed in Attachment 2 of the program administration 

allocation memorandum. Refer to Appendix 1 for an example of a program 

administration allocation memorandum including GTC (attachment 1), funded activities 

(attachment 2), and reporting requirements (attachment 3). 

Funds for program administration should support program level requirements, i.e., 

requested funds will not be approved to support project-specific activities; including but 

not limited to, project oversight, project management, project administrative activities, 

planning, technical training, and travel pertinent to project’s engineering activities, etc. 

FLTP funding for project support is addressed under the Program Management section 

later in the document. 

Roles of HFL and FLMAs 

The HFL roles include, but are not limited to:

a) Collecting FLMA’s annual program administration funding needs; 

b) Reviewing FLMA’s requests to ensure requested activities are consistent with 

program administration eligible fund activities; 
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c) Requesting and reviewing FLMAs’ quarterly reports and assets, reconciling and 

reporting inconsistencies with the original requirements documents submitted by 

the FLMA(s), and maintaining the reports in a centralized location; and, 

d) Coordinating recommended changes from the FLMAs with the HFPD. 

The FLMA HQ roles should include, but are not limited to:

a) Determining the FLMA’s national program administration needs; 

b) Collecting and prioritizing program administration needs from the FLMA’s 

regional offices, if applicable; 

c) Transmitting a single list of FLMA’s program administrative needs by electronic 

letter (e-letter) to the attention of the HFPD; 

d) Producing, submitting, and distributing quarterly reports on program 

administration obligations and expenditures; and, 

e) Addressing questions from HFL NPMs as needed. 

FLMA’s Request for FLTP Funds for Program Administration 

By June 15 of each FY, the HFL NPMs will request the FLMAs to submit their program 

administration fund needs for the upcoming FY. The FLMA’s HQ Programs staff are 

responsible for providing their agency’s program administration needs to HFL NPMs via 

e-letter by September 1st. The e-letter will be addressed to the HFPD and cc to HFL 

NPM. The communication of annual program administration needs will follow a 

template found in Appendix 2. 

HFL NPMs will communicate by e-letter the program administration funds approval to 

the FLMA within 10 business days of the receipt date by the requesting FLMA. The 

program administration announcement e-letter template can be found in Appendix 3

HFL will initiate the FLTP funds transfer to the FLMA for their entire annual program 

administration needs after October 1st, once the new authority funding becomes available. 

If Continuing Resolutions (CRs) restrict FLH’s ability to fund program administration in 

its entirety in a single allocation, FLH and the FLMA HQ offices will determine the 

program administration funds amount to be made available and the HFL will initiate the 

FLTP funds transfer to the FLMA(s).

Subsequent FLMA written requests to FHWA may be necessary throughout the fiscal 

year to react to changes in program administration needs (both additional funds and/or 

significant changes to the approved plans not needing additional funds). These requests 

should revise the program administration needs template that was originally provided on 

September 1, with clear explanations of why these additional mid-year program changes 

are necessary for timely, efficient execution of the program. For these supplemental 

requests, HFL NPMs will follow the same procedures as identified above. 
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Transfer of Program Administration funds

Once the HFPD approves the program administration funds and FLTP funding becomes 

available, the HFL NPM will communicate the amount to be transferred to the FLMA to the 

HFL Finance Team staff. The HFL Finance Team staff within two business days from receipt 

will draft the allocation memorandum and submit for signature. Once signed within one 

business day, the HFL Finance Team staff submits it to the FHWA Budget office by email 

with a copy to the HFL NPM and applicable FLMA. The FHWA Budget office will process 

the transfer request via the Parent – Child methodology using the FHWA Form 370 within 

three business days. 

FLMA’s management of FLTP funds for Program Administration

Following the FLMA’s receipt of FHWA’s allocation memorandum for program 

administration and posting of the Advice of Funds (Form FHWA-370), the FLMA is 

responsible for distributing (or assigning in a centralized FLMA system) the FLTP funds to 

their respective organizational units: regional, state, district, or field unit offices – 

collectively referred to here as regional offices. The FLMA has the flexibility to shift funds 

between regional offices as needed based on the requirements and needs of each agency (for 

example: as positions and other needs across the FLMA’s regional offices shift). 

Quarterly reporting 

Per the GTC in the program administration allocation memorandum, the FLMAs will submit 

the quarterly reports to the HFL NPMs. The FLMA’s quarterly reporting requirement to 

FHWA (Attachment 3 of the program administration allocation memorandum) satisfies 

FHWA’s internal accounting and program controls. The reports are due on: 

a) January 31st (status for FY quarter 1); 

b) April 30th (status for FY quarters 1-2); 

c) July 31st (status for FY quarters 1-3); and, 

d) October 31st (status for entire FY). 

The HFL NPMs are responsible for reviewing the reports (Appendix 4) and will be providing 

the FLMAs a written acknowledgement of receipt (by email). The HFL NPM will email a 

summary of their review within 10 business days of receipt, to the FLMA HQ representative 

with copy to the HFPD, FLH S&O Coordinator and HFL Finance Team Leader. 

If there are concerns, the HFL NPM and FLMA HQ staff will collaboratively solve 

discrepancies and/or issues. If the differences cannot be reconciled or there is a lack of an 

FLMA timely response, the HFL NPM will elevate the issue to the HFPD. The HFPD will 

follow up with and his/her counterpart in each FLMA, as appropriate. 
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Failure to provide complete and timely reports to FLH on the use of program administration 

funds may result in the delay of program administration funds in the subsequent FY until the 

current FY issues are reconciled and/or documentation, i.e., Attachment 3 in the allocation 

memorandum (Appendix 1), is provided by the FLMA. 

Reprograming program administration funds and end-of-year procedures 

If the FLMA determines the funds previously transferred for program administration are not 

needed and want to reprogram them for construction needs within the same FY, the FLMA 

needs to send the request to the HFL NPM. The HFL NPM will coordinate the administrative 

change (withdrawal memorandum for the program administration funds and allocation 

memorandum for construction projects, both memorandum with the updated attachment 2) 

with the HFL Finance Team staff. The HFL Finance Team staff will submit to the FHWA 

Budget office with a copy to the HFL NPM and the applicable FLMA within three business 

days. No new FHWA Form 370 will be issued by the FHWA Budget office. 

If the FLMA determines the funds previously transferred for program administration are not 

needed within the same FY, the FLMA needs to request the HFL NPM to withdraw the funds. 

The HFL NPM will request the HFL Finance Team staff to draft the withdrawal memorandum 

and request the HFL Finance Team Leader’s signature. Once signed, the HFL Finance Team 

staff submits the withdrawal memorandum to the FHWA Budget office with a copy to the 

HFL NPM and applicable FLMA within three business days. The FHWA Budget office will 

process the withdrawal request using the FHWA Form 370. 

In July, the FHWA Budget office reaches out to the FLMAs that received Federal funds and 

requests them to report the proposed amount to be returned to FHWA. Once received, the 

FHWA Budget office compiles and communicates this information to HFL. This process is 

known as August Redistribution. The HFL will proceed as needed. 

If unused funds are identified after the end of the fiscal year, the funds will be restated once 

the next year program needs are approved for either program administration or for 

construction projects. (See example located in Appendix 5) 

VI. FLTP PROGRAM MANAGEMENT - POP DEVELOPMENT PROCESS

Eligible program activities cited in 23 U.S.C. Section 203: 

(A) program administration, transportation planning, research, preventive maintenance, 

engineering, rehabilitation, restoration, construction, and reconstruction of Federal 

lands transportation facilities, and- 

(i) adjacent vehicular parking areas; 

(ii) acquisition of necessary scenic easements and scenic or historic sites; 

(iii) provision for pedestrians and bicycles;

(iv) environmental mitigation in or adjacent to Federal land open to the public- 

(I) to improve public safety and reduce vehicle-caused wildlife mortality while 

maintaining habitat connectivity; 
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(II) to mitigate the damage to wildlife, aquatic organism passage, habitat, and 

ecosystem connectivity, including the costs of constructing, maintaining, replacing, 

or removing culverts and bridges, as appropriate; 

(v) construction and reconstruction of roadside rest areas, including sanitary and 

water facilities;

(vi) congestion mitigation; and 

(vii) other appropriate public road facilities, as determined by the Secretary; 

(B) capital, operations, and maintenance of transit facilities; and 

(C) any transportation project eligible for assistance under this title that is on a public 

road within or adjacent to, or that provides access to, Federal lands open to the public. 

(D) not more $20,000,000 1

 of the amounts made available per fiscal year to carry out 

this section for activities eligible under subparagraph (A)(iv)(I). 

Roles of FLH DOs, HFL, and FLMAs

The FLH DOs roles include, but are not limited to:

a) Coordinating the meetings with the FLMA staff to discuss the proposed projects; 

b) Meeting with the appropriate FLMA leaders to discuss and reach agreement on 

the proposed projects, delivery entity, and/or any foreseeable mid-year 

programming requirements; 

c) FLH DDs with FLMA designee(s) jointly approving or disapproving projects; 

d) Generating an e-letter that reflects the joint approval/disapproval of projects and 

other issues discussed and agreed upon between the FLH DD (or designee) and 

FLMA leader; 

e) Distributing the e-letter to the FLMA counterpart and the HFPD;

f) Developing and maintaining the POP4

, updating projects, and tracking funding; 

g) Working with FLMA staff to identify projects to be funded in the FY Obligation 

Plan (Ob Plan)5, including move-up and shelf projects, in coordination with HFL 

NPMs and FLMA HQ PMs;

h) Communicating to the HFL NPMs the FLH DO funding needs; 

i) Ensuring all project documentation required under the PA has been received from 

the FLMA; 

j) Providing project roll-up status reports to the FLMAs and HFL NPMs; 

4 The POP is an FLH multi-year programming database tool that includes all projected projects (including ones not yet approved), projected 

budgets by project, phase (PE, CE, CN), FY, and by the agency getting the funding. 5 The FY Ob Plan provides all parties with a constrained snapshot of project budgets to be funded in the current FY. The FY Ob Plan includes 

projects administered by both FLMA and FLH to be funded in the current FY. FLH NPMs will use the FY Ob Plan to develop the allocation 

memorandum with the list of FLMA-delivered work and the AoF for FLH delivered work to allocate the FLTP funds.
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k) Provide end-of-year accomplishment report data to FLMAs for use in FLMA endof-year accomplishments report.

The HFL role includes, but is not limited to:

a) Being a liaison with FLMA HQ offices;

b) Reviewing the POP, coordinating regional ceiling amounts and reconciling 

concerns with the FLH DOs and FLMA HQ offices;

c) With FLMA HQ office, jointly establishing performance targets for the statutorily 

defined program metrics, and coordinating performance targets among FLMAs;

d) Discussing with FLMA how the proposed POP supports progress towards 

meeting the performance targets; 

e) Coordinating any proposed project or funding changes (e.g. loan/credits) 

suggested by FLH DOs with FLMA HQ, as needed; 

f) Coordinating the identification of projects to comprise the FY Ob Plan, including 

move-up projects, with the FLH DOs and FLMA HQ offices;

g) Being a facilitator for national level projects priority discussions and move-up 

projects strategy, as needed;

h) Requesting HFL Finance Team staff to process the allocation of funds to the 

FLMAs and to the FLH DOs;

i) Requesting, reviewing, and tracking both FLMA and FLH DOs quarterly reports, 

consolidating information, and reporting findings to FLMA HQ; and, 

j) Monitoring roll-up program information during and at the end of the fiscal year. 

The FLMA HQ6 office provides:

a) An official liaison to FLH;

b) FY ceiling amounts to their regional offices, if applicable; 

c) Proposed projects to the FLH DOs for coordination and approval as appropriate;

d) Performance targets for the statutorily defined program metrics that are jointly 

established with the HFL;

e) Assistance on how the POP demonstrates progress towards meeting the jointly 

defined performance targets; 

f) Baseline FY Ob Plan coordination with HFL NPMs and FLH DO staff as 

appropriate; and

6 The FLMA HQ office may delegate these duties down to FLMA regional offices (or equivalent) as necessary.
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g) Quarterly reports and end-of-year program accomplishments report to HFL NPM

on the funds allocated to FLMA’s. 

h) Scheduling and coordination for programming meetings; 

i) Project proposals, based on level of complexity, for inclusion on the Project List7

based on discussions with FLH DO; 

j) Prioritized Project List;

k) To the appropriate FLH DO staff, project information to discuss, develop and 

maintain the program through coordinated program meetings; 

l) Coordination for the annual approval/disapproval e-letter between FLH DD and 

FLMA designee, that reflects the agreed upon list of projects, delivery entity, 

and/or other issues, (e.g., midyear project programming needs); 

m) Project funding obligation and expenditure status to update the POP (and/or other 

financial systems) with FLH DO staff; 

n) Development and execution of PA or PMP for project level S&O in partnership 

with FLH DO staff, with both parties’ signature, and include the S&O checklist; 

and, 

o) All necessary project documentation, as determined by the project’s S&O level, 

to the FLH DO for their respective action in a timely manner. 

Project coordination, selection, and approval (see Figure 1 below) 

1. Meeting coordination: 

FLH DO or FLMA staff will schedule and coordinate programming meetings with the 

appropriate counterpart in their respective geographic areas to identify new proposed 

projects for the Project List and review the POP at least annually. The FLMA POC will 

lead the project scope discussion. The projects to be identified will be in accordance with 

the goals and priorities established in 23 U.S.C. Section 203, FHWA-FLMA MOU, 

FLTP Investment Strategy submission, FLMA’s Long-Range transportation plans8 and as 

applicable, asset and resource management plans. 

The following table (Table 1) shows the meeting coordination required between FLH 

DOs and FLMAs: 

7 The Project List is a comprehensive list of all projects programmed to use FLTP funding in the upcoming fiscal years. This report contains 

project summary information such as project type, brief description, complexity, proposed delivery agency, projected delivery year, estimated 

total project costs, and approval status. The FLH DD and FLMA leadership approves the proposed projects one-time only based on this list. 

The Project List is divided by region for NPS, FWS, or FS, and nationwide for USACE, BLM, BOR. 8 Long-Range Transportation plans are located at https://flh.fhwa.dot.gov/programs/flpp/lrtp/. 
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Table 1: FLTP Meeting coordination matrix 

FLTP Meeting Coordination matrix

FLMA FLH FLMA FLH

BLM HFL, CFL, WFL FWS – Reg 5 EFL

USBR HFL, EFL, CFL, WFL FWS – Reg 6 CFL, WFL

USACE HFL, EFL, CFL, WFL FWS – Reg 7 WFL

PT HFL, CFL FWS – Reg 8 CFL

NPS – Reg 1 (NER, NCR) EFL FS – Reg 1 WFL, CFL

NPS – Reg 2 (SER) EFL FS – Reg 2 CFL

NPS – Reg 3, 4, 5 (MWR) EFL, CFL FS – Reg 3 CFL

NPS – Reg 5, 6, 7, 8 (IMR) CFL, WFL FS – Reg 4 CFL, WFL

NPS – Reg 8, 9, 10, 12 (PWR) CFL, WFL FS – Reg 5 CFL

NPS –Reg 11 (AKR) WFL FS – Reg 6 WFL

FWS – Reg 1 CFL, WFL FS – Reg 8 EFL, CFL

FWS – Reg 2 CFL FS – Reg 9 EFL

FWS – Reg 3 EFL FS – Reg 10 WFL

FWS – Reg 4 EFL

Notes: For FLMAs with two or more FLH DOs, FLH will coordinate which office will take the lead.

All meetings not listing HFL as a required participant, may include HFL as an optional participant.

The FLH DOs or the FLMA, as appropriate, shall invite the applicable FLH DOs

and FLMA HQ PMs to the coordination meetings. For regional meetings with the NPS, 

FS, and FWS, HFL NPMs will participate at a minimum9 in three FLH Division- FLMA 

Region meetings per FLMA. For centrally managed programs (BOR, USACE, BLM and 

PT), the HFL NPMs will participate in all programming meetings.

2. Project discussions between FLH DOs and FLMAs: 

FLMA Regions and/or FLMA HQ offices and FLH DOs will discuss the proposed 

projects to be funded. Project discussions, at a minimum, must address the following key 

areas:

a) Project description: 

i. Scope 

ii. Location

b) Eligibility as per 23 U.S.C. Section 203(a)(1), 

c) Project merits: how does the proposed eligible project advance the statutorily 

defined program goals of: 

i. a state of good repair of transportation facilities;

ii. a reduction of bridge deficiencies; 

iii. an improvement of safety; 

9 The minimum of three meetings must span across the three FLH DOs to provide the HFL NPMs with an understanding of each FLH DOs 

programming approach. 
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iv. high-use Federal recreational sites or Federal economic generators; and, 

v. the resource and asset management goals of the Secretary of the respective 

FLMA over the eligible projects. 

d) Analysis to designate project S&O level based on the project complexity, 

e) Estimated total project costs: 

i. Preliminary Engineering (PE), Construction (CN), and Construction 

Engineering (CE) can be rolled-up into one estimated cost; and, 

ii. Historical percentages can be utilized to estimate PE and CE costs.

f) Options for delivery organization and method,

g) Funding for preliminary scoping purposes where: 

i. Partial funding can be provided for scoping purposes. The intent is to 

gather additional project information needed to understand the project’s 

complexity and identify the S&O project level and delivery agency. It 

shall not exceed $50,000 per project. 

3. Project approval: 

Once finalized, the Project List will be presented to the FLH DD and FLMA designee for 

joint project delivery approval with title 23 funds. 

The Project List is due by August 1st of each FY. 

Following the submission, the FLH DD and FLMA leader counterpart meet to evaluate 

the Project List and provide a final decision within 20 business days. The projects on the 

Project List will be approved or disapproved based on eligibility, and the projects’ merits 

per the statutorily defined FLTP program goals10. 

These FLMA working instructions support many areas, including: 

a) providing the FLMA Region/FLMA HQ office and FLH DO an opportunity to 

discuss and decide upon projects openly, candidly and collaboratively, 

b) precluding any surprises when the final decision e-letter is distributed, 

c) allowing the FLMA Region (or FLMA HQ) and FLH DO to identify alternative 

projects to be approved and obligated, and 

d) reducing any consternation by both parties and need for an appeals process that 

can linger well into the FY. 

By the first week of September, the deliverable will be a decision e-letter to the 

appropriate FLMA counterpart11 with the FLTP Project List with approval status 

10 Refer to the Performance Management section of the Implementation Guidance for the Federal Lands Transportation Program located at: 

https://highways.dot.gov/sites/fhwa.dot.gov/files/docs/federal-lands/programs/federal-lands-transportation-program/8186/fltp-guidancecleared.pdf 11 Note: The letter will be address to the FLMA Regional Director or to the FLMA HQ liaison for nationally centralized programs.
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attached. The e-letter will include the list of projects approved and disapproved, including 

a justification for disapproving a project. A copy of the e-letter will be distributed to the 

HFPD who will forward the e-letter to the appropriate HFL NPM and FLMA HQ PM 

counterpart(s). A template e-letter is provided at Appendix 6. 

Midyear project additions are permitted on an exception basis only. Extenuating, 

uncommon circumstances should be the filter for such an approval. The FLH DD and 

FLMA designee jointly retain the authority to approve midyear projects funded with title 

23. 

Note: Project approvals is a FLH DO role. HFL staff will not participate in meetings with 

FLMAs related to project approvals/denials. 

Multi-year POP and baseline FY Ob Plan 

Once the project approval process is completed, staff attention is directed toward the 

multi-year POP and the next fiscal year obligation plan. 

The multi-year POP Database is FLH’s official program of projects system of record. It 

will serve as FLH’s official repository of approved projects, including the delivery 

agency, and FLMAs are encouraged to use it, to promote greater consistency and 

accuracy. To encourage its use, FLH will fund FLMA efforts to interface with the POP 

database. 

1. POP Development and Updates: 

The FLH DD and FLMA approved Project List is included in the POP by the FLH 

Division staff. 

The FLH Division staff is responsible for following-up with the FLMA region and/or 

FLMA HQ staff (depending on the FLMA) to address any/all questions/concerns and 

updating the project information in the POP throughout the year. FLMAs and FLH DOs 

should focus on opportunities for efficient and effective delivery of program (ex. 

leveraging CE staff, advantages of building shelf, FLMA and FLH workload capacity, 

etc.). The participants should collaboratively discuss and develop a strategy to identify 

approved move-up projects, strive for full utilization of available funds, develop a fiscally 

constrained program, and utilize loan/borrow flexibilities as needed. 

To fiscally constrain12 the program, by March 15th of each FY the HFL NPMs will 

provide the anticipated total program funding distribution to the FLMA HQ POCs. The 

anticipated total program funding will be based on the FLMA Regional funding 

distributions calculations communicated to the HFL NPM by April 1st of the previous 

FY. For example, by March 15th of FY 2022, HFL NPMs will inform FLMAs the 

12 Fiscally constrain: means that the TIP includes sufficient financial information for demonstrating that projects in the TIP can be implemented 

using committed, available, or reasonably available revenue sources, with reasonable assurance that the federally supported transportation 

system is being adequately operated and maintained.
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estimated amount of funding to expect for FY23. The HFL NPMs will provide the 

information to the FLH DO. The FLH DO shall collaborate the regional funding 

distribution with their FLMA representative as appropriate. 

Loan/credit flexibilities between FLTP programs and/or and the Federal Lands Access 

Program (FLAP) are permitted under a Transportation Bill authorization period, but not 

during the last year or any Extension Act of a Transportation Bill because repayment is 

not guaranteed. HFL NPMs will communicate to the FLH DOs and FLMAs when 

loan/borrow flexibilities are not allowed between FLTP/ FLAP programs. FLMA internal 

FLTP funds loans between regions to advance projects are an FLMA prerogative and not 

restricted. 

All project changes delivered either by FLH or FLMA should be noted in the POP. The 

FLH Division staff should include a comment describing the approval rationale if the 

FLH DD project approval occurred off schedule. The HFL NPMs will support the FLH 

DOs efforts as needed, but the ultimate responsibility to develop and update the POP lies 

with the FLH DO. HFL NPMs will not be communicating directly with FLMA regional 

staff – that is the role of the FLH DO. 

2. Baseline FY Ob Plan:

The HFL NPMs will extract the baseline FY Ob Plan from the POP and distribute by eletter to the FLMA HQ counterparts and FLH CBO for a final review by the last business 

day of the second week of September of each FY. FLMA HQ and the FLH CBO have 10 

business days to communicate any concern. If no responses are received, it will be 

considered acceptance. 

If the FLMA HQ requests project changes to the baseline FY Ob Plan, the HFL NPMs 

will communicate the changes to the FLH DOs for their action. 

By October 1st of each year, the HFPD will send an e-letter listing the projects being 

funded the next FY to the applicable FLMA HQs staff and cc the FLH DO. 

 FLTP funding allocation 

FLH will transfer the full amount of funding for FLMA work at the beginning of the FY 

or as soon as funding becomes available. If applicable, the funds allocations will be 

capped at the CR levels at the time of the transaction. The FLH DOs and the FLMA (HQ 

and/or Regions as applicable) will jointly decide how to divide funds between approved 

projects delivered by the FLMA vs FLH that have been identified on the POP during a 

continuing resolution. For FLH delivered projects, the AoF template (Appendix 7) will be 

used. For FLMA delivered project the allocation memorandum template, including GTC 

and Reporting requirements (Appendix 8) will be used. 
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Quarterly reporting 

To ensure FHWA’s S&O role is satisfied, FLMA HQ is required to provide quarterly 

project status reports to HFL NPMs using the template provided on the allocation 

memorandum, attachment 3, titled “Project Funds and Performance Status Report.” 

Similarly, the FLH DOs will generate and distribute project roll-up reports to HFL NPMs 

and FLMA HQ staff so transparency is supported on the whole program. The end of year 

report will clearly show the allocation, obligations, expenditures, and carryover for the 

life of the project so that the POP can be appropriately updated to reflect project 

carryover. 

This allows the NPMs at both agencies to have the full breadth of project and 

performance information needed to manage the program. The quarterly project status 

reports template and instructions are in Appendix 9. 

The quarterly project status reports are due by both FLMAs and FLH DOs: 

a) January 31st (status for FY quarter 1); 

b) April 30th (status for FY quarters 1-2); 

c) July 31st (status for FY quarters 1-3); and, 

d) October 31st (status for entire FY). 

The HFL NPMs will distribute the FLMA quarterly reports to the FLH PP&E Branch 

Chief. 

Discrepancies and/or issues are to be reconciled collaboratively between FLH DO and 

FLMA HQ programs staff. If no response is received within 5 business days, the HFL 

NPMs will elevate to the HFLP Director who will contact the appropriate FLMA and/or 

FLH DO counterpart to reconcile. 

Failure to provide complete and timely project reports may result in the delay of future 

funds allocation. 

Reprograming Program Management funds and end-of-year procedures

The HFL NPM will execute administrative changes on the allocation memorandum if the 

FLM A determines the funds previously transferred for construction projects are not 

needed within the same FY. The FLMA needs to coordinate the POP changes with the 

FLH DOs. Similarly, the FLH DOs need to communicate with the FLMA on funds 

previously transferred for construction projects that are no longer needed the same FY 

and update the POP accordingly. 
Federal Lands Highway FLTP S&O Working Instructions 

1

Figure 1: FLTP- Program Development General Process

Development Approval Funds Allocation

Execution

Closeout/Reporting

FLTP - Program Development General Process

Program 

Funding 

Availability

Program Discussions

(FLMA and FLH Divisions

programming staff)

POP Database

FLMA leadership

and 

FLH DD

project approval

Approval letter

(programmed 

projects list 

attached)

FY Baseline 

Ob Plan

Draft

Financial and 

Delivery 

Reports

Project Execution

AoF Funds 

to FLH

Attachment 2 

Funds to FLMA 

FY Baseline

Ob Plan

Final

Projects uploaded by FLH Divisions and 

verified by FLMA

Programming

FLMA and FLH HQ 

validation of FY 

program

Acceptable for 

allocation

Inconsistencies

are resolved trough program discussions 

between FLMA Regions and FLH Divisions

Approved

Not 

Approved

Data Input Report decision Database Output

Legend

New projects

To be added during the 

execution year after FLMA 

leadership and FLH DD approval

Overarching transportation priorities annual discussion

(FLMA leadership and FLH DD)

Project List

Note: FLMA regional leadership or national leadership for centralize managed programs.
Federal Lands Highway FLTP S&O Working Instructions 

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VIII. FLTP S&O PROCESS FOR FLMA DELIVERY

These procedures, protocols, and tools represent S&O processes and expectations on the 

administration of the FLTP when both; FLH and FLMAs, deliver projects. 

1. S&O Level Determination

To help guide the discussion and determination between the FLMA and FLH DO on the 

proper S&O level and to encourage consistency, Table 2 was developed to list common 

project components and their typical S&O Level. These are intended to provide typical 

project scenarios; it is not an all-inclusive list. After joint project discussions it may be 

determined that a project requires a different S&O level from what is suggested in Table 2. 

FLH will coordinate with FLMA staff to determine the S&O level of the project based on 

discussions and/or scoping visit reports. Additional information can be requested or gathered 

by FLH before making an S&O level determination. 

If the FLMA and FLH DO cannot come to an agreement on the appropriate S&O level, the 

FLH DO and the FLMA should use the following process: 

1. Collaboratively complete a FLTP Project Discussion Questionnaire (see Appendix 10). 

2. The FLH DO and FLMA will use their professional judgment on how to address outlier 

projects and, where appropriate, err on the side of collaboration. 

3. If agreement cannot be reached, it should be elevated internally within the FLH DO and 

the FLMA. The DD has final delegated FLH authority to discuss and reconcile 

disagreements with FLMA staff regardless if FLMA staff are located regionally or in the 

HQ office. 
Federal Lands Highway FLTP S&O Working Instructions 

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Table 2 – Typical FLTP S&O Levels based on Project Components 

Project 

Component

Programmatic Level S&O Project Level S&O

1 Transit Equipment

and Services (via 

Concessionaire)

Including purchase of driver-led buses and 

shuttles owned by FLMA. 

Includes highway and water transit 

services, charging stations

Purchase of autonomous 

vehicles/buses/shuttles owned by the FLMA

Purchase of Ferryboats by FLMA

2 Transit related 

Capital 

Improvements

Transit Shelters / Public Stops / EV 

Charging stations

3 Docks and Boat 

Ramps

Rehabilitation or replacement of boat 

ramps including adjacent parking lot 

rehabilitation, associated trail work, and 

restroom facilities as needed

New construction, replacement, 

rehabilitation, preservation of water dock 

facilities

4 Parking Lots New construction, reconstruction, rehab. 

preventative maintenance, signing and/or 

striping

Complex parking lot and safety issues

5 Realignment and 

Widening

Trail realignment Roadway realignment or substantial 

widening

6 Design Exceptions Minor design exceptions Major design exceptions related to safety

7 Geotechnical Structural foundations that meet 

geotechnical site requirements (bridges 

without special/complex substructures) 

Embankments with certain heights or soil 

conditions that have a high level of risk

Major retaining walls (cut or fill side) with 

certain heights or in soil conditions that 

have a high level of risk

8 Hydraulic Minor culvert replacements <48” Major hydraulic analyses

Major culvert replacements >48”

Scour analysis for bridge foundations

9 Structures/Bridges Standardized/prefabricated timber and trail 

bridges with standardized substructures 

Cyclical maintenance activities

Bridge construction and replacement

Major work required to restore the 

structural integrity of a bridge, as well as 

work necessary to correct major safety 

defects.

Condition-based Maintenance Activities13

on bridge components in response to known 

defects

10 Paved or Gravel 

Surfaces

Paved - Preservation and preventative 

maintenance activities including; asphalt 

crack sealing, chip sealing, slurry or 

micro-surfacing, thin and ultra-thin hotmix asphalt overlay, concrete joint sealing, 

diamond grinding, dowel-bar retrofit, and 

isolated, partial and/or full-depth concrete 

repairs to restore functionality of the slab; 

e.g., edge spalls, or corner breaks only.

13 Condition-based maintenance activities are performed on bridge components or elements in response to known defects. Condition-based 

maintenance improves the condition of that portion of the element but may or may not result in an increase in the component condition rating.
Federal Lands Highway FLTP S&O Working Instructions 

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Gravel - Preservation, preventative 

maintenance, and rehabilitation work 

performed on the road which generally 

involving loosening of a significant 

amount of material, adding aggregate 

material, and changing part of, or much of 

the cross section of the roadway, including 

foreslopes and ditches. 

Dust abatement

Stockpiling of gravel for maintenance use

is not eligible under title 23

11 Environmental Routine Categorical Exclusions or EA’s

Routine environmental mitigation

EIS

Complex environmental mitigation?

12 Right of Way Transfer or formalizing a Highway 

Easement Deed with local agency

Purchase of non-federal ROW

13 Miscellaneous Restrooms

Roadside safety hardware (guardrail, crash 

cushions, breakaway signs/lighting, etc.) 

in compliance with SDOT standards and 

details

Wildlife crossings

EV Charging Stations

Roadside safety hardware NOT in 

compliance with SDOT standards and 

details

New Emerging Technologies/ Initiatives

NOTE: In addition to the project attributes listed above that are used to determine the project 

complexity and the S&O level, the total cost of the project is also a consideration – the higher the 

cost, the higher the potential risk to the program. Therefore, FLH determined that a two-milliondollar mark will be used. The two-million-dollar mark is not to be used to identify delivery agency 

and should not automatically cause projects to be assigned to a higher S&O level but instead to

ensure collaborative discussions regarding potential risks and delivery mitigation factors occur when 

this mark is reached. The intent is for the S&O level to be jointly determined based on the content of 

the discussion. 

2. S&O Requirements

2.a Programmatic S&O Requirements

The title 23 requirements and FHWA’s expectations of the FLMA are included in FLH’s 

Allocation Memorandum GTC and reporting requirements. These provisions satisfy the S&O 

requirements. FLH staff may also elect to request project documentation on any FLMA 

delivered Programmatic S&O Level projects at any time, if desired. Moreover, this subset of 

FLMA delivered projects may be included in program and/or project reviews led by HFL

program staff. 
Federal Lands Highway FLTP S&O Working Instructions 

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Projects determined to only need Programmatic level S&O typically do not require a separate 

project agreement. Project documentation should not differ from that of a Project Level S&O 

project. The only difference is that a Programmatic Level S&O project does not require FLH 

action to advance. When the FLH DD approves FLMA delivered projects and the FLTP funds 

are transferred to the FLMA, FLH transfers the project S&O responsibility to the FLMA, while 

retaining the overall program S&O responsibility. Therefore, the GTC requirements contained in 

the FHWA’s allocation memorandum apply. 

2.b Project Level S&O Requirements

Projects identified as Project level S&O require the development of an S&O checklist (Appendix 

11) and a project agreement (Appendix 13) describing the project documentation to be submitted 

throughout the life of the project for FLH action. The FLMA is responsible for timely submittals 

of the project documentation to the applicable FLH DO at the different project phases for FLH 

action for funding allocation. Similarly, the FLH DO is responsible for concurring, reviewing 

and/or approving submittals in a timely manner so funding for the next phase of the project can 

be provided to the FLMA. The following Project Level S&O requirements apply throughout the 

life of the project. When a FLMA elects to deliver a title 23 funded project, FLH must ensure the 

delivery processes used by the FLMA meet requirements of the title. A PA will be used to 

document the specific roles of the FLH DO and the FLMA as well the deliverables, funding 

sources, project specific requirements, etc. Please note, for some agencies the term “agreement” 

carries certain legal requirements. The title of the document may be changed to make it more 

applicable for its intended use. Accordingly, the following procedures and tools described 

below: 

a. The FLH DO Point of Contact (POC) will generate an S&O checklist jointly with the 

FLMA. (See Appendix 11). The S&O checklist includes documentation and deliverables 

expected from the FLMA, information needed for the terms of the PA, and defines 

actions required by both parties. The items selected on the checklist will be included as 

part of the written PA with the FLMA. The checklist will be tracked by the FLH DO 

POC and the FLMA. 

b. Specific items to consider for inclusion in the PA are cited in Appendix 12. The FLH DO 

POC and the FLMA, will collaboratively determine how to leverage the items listed 

and/or amend the list based on project requirements in writing. For construction funds, a 

jointly signed PA between the FLMA and the appropriate FLH DO must be completed 

before the funding allocation occurs by the HFL NPM. The PA will reflect the FLH DO 

and FLMAs’ S&O role. A sample PA can be found in Appendix 13. 

c. During the life of a project, the FLH DO POC and the FLMA will co-manage the 

required actions identified in the PA. The FLMA will provide deliverables to the FLH 

DO POC and the FLH DO POC will ensure deliverables in the written PA and identified 
Federal Lands Highway FLTP S&O Working Instructions 

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in the S&O checklist are being received, reviewed, concurred upon, and/or approved as 

necessary. 

i. The following documents must be approved (*not just reviewed) by FLH DOs

before the next phase of project development commences: NEPA document, 

design exceptions, ROW/utility certification, Plans, Specifications, and Estimates 

(95%). 

d. Funding for projects will be allocated by phase (PE, CE/CN) once the FLH DO approves 

the respective documentation provided by the FLMA per the PA. The HFL NPM will 

allocate funds to the FLMA after the FLH DOs POC provides confirmation of approval 

of the appropriate deliverables from the FLMA.

i. If the project deliverables are not received in accordance with the timeline 

outlined in the PA, the FLH DO will follow the escalation process/conflict 

resolution matrix in the PA to obtain project documentation and/or deliverables 

from an FLMA. If attempts are not successful, the request should be elevated 

internally between the FLH DO and the FLMA counterpart to achieve resolution.

Likewise, if the timely reviews are not received from the FLH DOs, the matter 

will be elevated accordingly. 

e. All FLMA delivered, Project Level S&O project documentation, including the executed 

PA, will be stored and maintained by FLH in a single location accessible by all FLH 

staff. The single location will be the official FLH repository for conducting S&O 

assessments. The project documentation stored in this location must be kept current by 

the FLH Divisions. This practice supports efficient business practices and easy access to 

project information to support S&O activities by HFL NPMs and potential auditors. The 

FLH Divisions will store these files on their respective servers as official records. 

f. It is the discretion of the FLH Divisions to visit FLMA delivered project sites and 

observe the delivery practices of Project Level S&O projects. Any planned project visits 

at the DD level will be coordinated with the appropriate FLMA HQ office and 

communicated to the applicable HFL NPMs for their situational awareness. The subset 

of visit findings and/or recommendations that relate to the FLMA HQ must be 

coordinated through the HFL NPM.

3. FLH Delivered Project Requirements

Projects delivered by FLH Divisions will follow the roles and responsibilities established in the 

PA between FLMA and FLH. These roles and responsibilities include similar requirements to the 

FLMA delivered Project Level S&O requirements described above. The FLH DO and the 

FLMA will collaboratively define their roles, responsibilities, terms and actions required by both 
Federal Lands Highway FLTP S&O Working Instructions 

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parties in the PA. Although the complexity level of the project may vary, all project 

documentation is required to be shared and reviewed with the FLMA facility owner throughout 

the life of the project, including detailed design information upon request from the FLMA. 

4. Agency Force Account14 

Per 23 USC 203 (a)(5), FLTP projects are to be performed by contracts awarded by competitive 

bidding. As an exception, agency force account can be used only when the DOT Secretary or the 

Secretary of the appropriate Federal land management agency affirmatively finds that, under the 

circumstances relating to the project, a different method is in the public interest. A “public 

interest” finding (PIF) must be approved by the Secretary (or official designee) of the appropriate 

FLMA, and FLMAs shall provide the PIF and Secretarial approval to FLH. Please note, 

delegation letters are not required. Elements and factors of the PIF may include but are not 

limited to the following: 

i. Availability of commercial sources, including small businesses, in the project area, 

ii. Effect on the Small and Disadvantage Business Utilization Goals, 

iii. Whether the agency typically has federal employees performing the work, 

iv. Estimated cost of federal employee performance versus contractor performance,

v. Project Complexity,

vi. Size of the project,

vii. Location of the project, 

viii. Urgency of the need for the project, 

ix. Benefits to the agency for using agency force account, 

x. Other internal Federal agency considerations/requirements used to justify use of 

agency force account.

FLH does not approve FLMA agency force account requests. Upon receipt of the PIF and 

Secretary-approval from the FLMA, the FLH DD (or delegated designee) has the 

responsibility to determine that the PIF has addressed the agency force account request 

satisfactorily. FLTP project funds will be made available by HFL to FLMAs only after 

agency force account documentation has been received, reviewed, and concurred on by the 

FLH DD. 

IX. COMPLIANCE ASSESSMENT PROGRAM REVIEWS 

The purpose is to provide reasonable assurance that projects funded with FLTP funds comply 

with key title 23 federal requirements. 

1. The biennial review will be performed on FLH and FLMA Delivered projects by HFL 

NPMs, in collaboration and coordination with FLH DOs and FLMA’s. 

2. At the beginning of May every other FY, the HFL NPMs will randomly select up to four 

(4) projects from the POP for each program. The project sample will consist of up to 2 

14 The term “agency force account” shall mean the direct performance of transportation construction work by using federal labor, equipment, 

materials, and supplies, in place of a construction contract awarded by competitive bidding. The term shall also include other non-competitive 

bid scenarios for transportation construction projects funded in whole and/or in part with FLTP resources
Federal Lands Highway FLTP S&O Working Instructions 

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projects each per FLMA, and FLH DO that have gone to construction during the previous 

12 months. There may be cases where more projects may be reviewed if the program 

size warrants an increased review. The project file information, stored in a location TBD,

will be reviewed for compliance by the HFL NPMs. 

3. The HFL NPMs will use the template located in Appendix 14 to conduct the CAP review. 

These reviews consist of checking documentation against the S&O check list and 

PA/PMP/MOA to ensure the federal requirements have been met. No travel or site visits 

are needed for these recurring, biennial CAP reviews by HFL NPMs. HFL reserves the 

right for a more detailed program or partner delivery review on site. To reiterate, it is 

important all project file information is stored in the single repository. This is the 

responsibility of FLH DOs. 

4. If a selected project falls within the Programmatic S&O level category, the HFL NPM 

will request the project documentation to the FLMA HQ.

5. The HFL NPMs will compile the information into a single report and provide a draft of 

the report to the FLMA HQ for comment. If needed, the FLMA will develop a Plan of 

Corrective Action (PCA).

6. After FLMA comments are incorporated and PCA developed (as needed), the HFL NPM 

will brief the FLH CBO and PP&E Branch Chiefs on the results. Thereafter, the 

information will be shared with the FLH SES LT. 

7. The HFL NPMs will communicate the CAP review results and applicable PCAs to 

FLMA HQ.

All CAP review results will be stored and maintained in the single file repository, along with 

project file information, at a location TBD. Any follow-on actions associated with the 

review will be tracked and monitored accordingly by the HFL NPMs. All information will 

be accessible to FLH DOs. Partner-specific information will be shared, as appropriate. 

X. ANNUAL ASSESSMENTS ON PROGRAMS, PROJECTS, AND PROJECT 

ENGINEERING FUNCTIONS

FLH will perform annual assessments and will continue to apply Enterprise Risk Management 

(ERM) principles and practices to the program office’s evaluation of program and project 

delivery including S&O activities. The annual assessments are intended to generate cross-unit 

discussions and analyses on business operations and document notable practices for wider 

FLTP program use, including FLH and FLMA delivery areas. 
Federal Lands Highway FLTP S&O Working Instructions 

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The general process is as follows: 

1. HFL will coordinate annually with FLMA HQ on the analysis of data and information, 

solicit feedback from internal and external stakeholders, discuss potential review areas 

during the Annual Business Meeting, and develop one or more proposed review areas for 

the FLH SES LT’s approval. The HFL S&O Coordinator will be responsible for the 

generation and vetting of candidate program assessment topics and/or project delivery 

engineering practices with staff and leadership. 

2. The proposed review assessment area(s), for the following FY, will be coordinated and 

align with the agency’s program assessment area selection process which generally 

occurs in July of the current FY. The scope of the review/assessment may vary, e.g. it 

may look at only specific phases such as environmental compliance or transportation 

planning or it could be more overarching e.g. focus on holistic view of program. 

3. The approved review area(s)/topics will inform the composition of the assessment review 

team (aka review team or assessment team). The HFPD in coordination with the FLH 

SES LT will determine who will be leading the different assessment review teams. The 

HFL S&O Coordinator can assist on coordinating the development of assessment teams 

and participate on the review teams as warranted. 

4. The assessment review team may be comprised of HFL and FLH DO staff; other FHWA 

offices; and/or FLMAs to ensure the proper expertise and experience of team members 

exists. The team will seek opportunities to leverage resources that promote independence 

and unbiased review. 

5. The assessment review team will develop a review plan and submit to the HFPD for 

approval. The HFPD will coordinate with the FLH SES LT, FLH CBO and FLMA HQ 

Leadership as applicable. 

6. The review team will conduct Entrance and Exit meetings with the host 

offices/organizations (e.g. FLH DOs, and/or FLMAs leaders.) The scope and target 

timeline of a typical assessment is approximately 1-2-week period but could span longer 

if field reviews are needed. Information will be requested and collected based upon the 

assessment focus area. Host offices/organizations of assessment review team 

representatives should plan for 80 business hours, including any travel. 

7. The assessment review team will generate a report to help improve processes, ensure 

compliance and to provide consistency. The audience of assessment reports are the FLH 

SES LT, FLH CBO and FLMA HQ Leadership. 

8. An initial draft report will be shared with the FLH DO and FLMA within 30 days from 

the initiation of assessment, last site visit or virtual outreach to clarify information. The 
Federal Lands Highway FLTP S&O Working Instructions 

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FLH DO and FLMA will have 10 business days to provide clarifying comments to the 

assessment review team. In the absence of comments, the team will move forward to 

finalize the report. 

9. Within 60 days after the assessment initiation, a final report will be generated and 

presented to the FLH CBO, FLH Chief of Engineering and/or FLMA directly with a 

courtesy copy provided to the FLH SES LT, Directors of Finance/Data Integrity and 

A&E/Construction Acquisitions and Special Assistant. The assessment team leader will 

coordinate a final briefing with both FLH and/or FLMA leadership. 

10. Once the report is finalized, the approval authority to share report results outside FLH 

(for privacy purposes) resides solely with the FLH AA. One predictable exception may 

be an external auditor’s request for past program assessment information. In this case, 

relevant assessment report materials will be provided to an auditor by the HFPD. In 

consideration of this scenario, the authors of future, annual assessment reports will be 

instructed to draft their team findings and recommendations in a constructive and 

professional manner. The written narrative will describe notable practices and 

improvement opportunities thoughtfully and judiciously. In the unlikely event that 

serious compliance issues are observed during the assessment review, they will be 

communicated by the assessment team leader to the HFPD before the final report is 

drafted. Further instructions to the team will be forthcoming by the HFPD following 

consultation with applicable FLH business council members and executive leaders.

11. If the assessment finds opportunities for improvements and/or corrective actions, a

process improvement/corrective action plan will be generated by the host division/office 

and/or FLMA within 45 days of the final report date. The FLH CBO, FLH Chief of 

Engineering and/or FLMA will identify which findings and recommendations will be 

acted upon. Follow through will be monitored by the FLH DOs leadership first and 

foremost followed by the appropriate HFL NPM and/or FLMA HQ program manager(s) 

(if applicable) and HFL S&O Coordinator.

12. As this process develops fully, the HFL S&O Coordinator will perform an analysis of 

report findings, approved recommendations, and follow-up actions to help the program 

office and FLMAs ascertain if progress is being made and/or if trends are starting to 

appear that require closer examination. Analysis will also assist in defining subsequent 

scope(s) of reviews. 

13. Review reports and corresponding process improvement/corrective action plans will be 

posted on an FLH secure server. This internal FLH site will serve as a central repository. 

 
Federal Lands Highway FLTP S&O Working Instructions 

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XI. APPENDICES

APPENDIX 1 – PROGRAM ADMINISTRATION ALLOCATION MEMORANDUM

APPENDIX 2 – PROGRAM ADMINISTRATION REQUIRMENT NEEDS TEMPLATE

APPENDIX 3 – FLTP PROGRAM ADMINISTRATION ANNOUNCEMENT E-LETTER 

TEMPLATE

APPENDIX 4 – FLMA FLTP PROGRAM ADMINISTRATION QUARTERLY REPORT 

REVIEW PROCESS

APPENDIX 5 – EXAMPLE: PROGRAM ADMINISTRATION CARRYOVER FUNDING 

RESTATEMENT

APPENDIX 6 – FLTP PROJECT LIST APPROVAL STATUS E-LETTER TEMPLATE

APPENDIX 7 – AUTHORIZATION OF FUNDS (AoF) (FLH Delivered Work)

APPENDIX 8 – FLTP PROGRAM MANAGEMENT FUNDING ALLOCATION 

MEMORANDUM

APPENDIX 9 – INSTRUCTATIONS: FLTP PROGRAM MANAGEMENT QUARTERLY 

REPORT PROCESS TEMPLATE

APPENDIX 10 – FLTP COLLABORATIVE PROJECT SELECTION DISCUSSION 

QUESTIONNAIRE TEMPLATE 

APPENDIX 11 – FLTP STEWARDSHIP AND OVERSIGHT CHECK LIST – FLMA 

DELIVERED PROJECT LEVEL S&O PROJECTS

APPENDIX 12 – SAMPLE PROJECT AGREEMENT ELEMENTS

APPENDIX 13 – PROJECT AGREEMENT (TEMPLATE) with STEWARDSHIP AND 

OVERSIGHT

APPENDIX 14 – CAP REVIEW TEMPLATE
Federal Lands Highway FLTP S&O Working Instructions 

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APPENDIX 1: PROGRAM ADMINISTRATION ALLOCATION 

MEMORANDUM
Federal Lands Highway FLTP S&O Working Instructions 

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Federal Lands Highway FLTP S&O Working Instructions 

13 
Federal Lands Highway FLTP S&O Working Instructions 

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APPENDIX 2: PROGRAM ADMINISTRATION REQUIRMENT NEEDS 

TEMPLATE 
Federal Lands Highway FLTP S&O Working Instructions 

15

APPENDIX 3 – FLTP PROGRAM ADMINISTRATION ANNOUNCEMENT 

E-LETTER TEMPLATE
Federal Lands Highway FLTP S&O Working Instructions 

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APPENDIX 4 – FLMA FLTP PROGRAM ADMINISTRATION QUARTERLY 

REPORT REVIEW PROCESS

1. The FLH NPM will send the FLMA HQ POC a reminder a week prior to when the 

quarterly report is due in accordance with the reporting schedule below:

• January 31st (1st FY quarter) 

• April 30th (1st - 2nd FY quarters) 

• July 31st (1st - 3rd FY quarters) 

• October 31st (1st – 4th quarters) 

2. The FLH NPMs will communicate to the FLMA acknowledging receipt (by email) of the 

report. This will begin the 10 business days timeframe for the program administration 

review process.

3. The FLH NPM will communicate to the HFPD once the report is received. If the report 

is not received by the due date, the FLH NPM will communicate to the HFPD for further 

instructions.

4. The review process includes:

a) Comparing the program administration support positions (FTEs) cumulative 

actual cost amounts against the FLMA annual FLTP program administration 

budget submitted on September 1st.

b) Comparing the budget vs cumulative actual costs for travel expenses and other 

related costs: 

• Travel 

• Training 

• Materials 

• Supplies/Equipment 

• Contracts supporting Program Administration 

• Facility (office) Space 

Note: The FLH NPM needs to keep in mind the FLMA program administration 

needs submitted by the FLMA on September 1st are estimated budget amounts. 

The costs reported quarterly are cumulative actual costs. 

5. If there are concerns with the report regarding these comparisons, such as:

• Added program administration costs not included in the original submission; or

• Any other changes in the program administration costs previously approved.

The FLH NPM will communicate to the FLMA HQ the concerns and schedule a meeting 

as needed. If the differences can’t be reconciled or there is a lack of an FLMA timely 

response, the FLH NPM will elevate the issue to the HFPD. The HFPD will follow up 

with and his/her counterpart in each FLMA, as appropriate.
Federal Lands Highway FLTP S&O Working Instructions 

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6. The FLH NPM will provide a summary of their review to the FLMA, with copy to 

HFPD, FLH’s S&O Coordinator, and HFL Finance Team Leader.

Email template requesting the FLMAs quarterly reports:

To: FLMA HQ POC

CC: HFPD Director, FLH S&O Coordinator, HFL Finance Team Leader and other FLMA staff as applicable

Good Morning or Afternoon:

As a reminder, the FLTP quarterly report is due (insert January 31st (1st FY quarter); April 30th (1st – 2nd FY 

quarters); July 31st (1st – 3rd FY quarters); or October 31st (1st – 4th quarters). 

Please populate the template provided as attachment 3 of the allocation memorandum with the latest information and 

provide your agency’s response by (insert same due DATE as above). Failure to provide complete and timely 

reports to FLH may result in the fund transfers delays until issues are reconciled and/or documentation is received.

If you have any questions, please contact (insert FLH NPM name).

Thank you. 

Electronic Signature
Federal Lands Highway FLTP S&O Working Instructions 

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APPENDIX 5 – EXAMPLE: PROGRAM ADMINISTRATION CARRYOVER 

FUNDING RESTATEMENT

The HFPD Director authorizes $100.00 in FY20 for “FLMA” program administration needs. In 

August Redistribution, the “FLMA” reports and request the withdrawal of $15.00 based on 

actual costs and projected needs through the end of FY20. The total program administration 

funds in FY20 to be reported by the “FLMA” is $85.00. 

For FY21, the “FLMA” previously submitted (September 1st) their program administration 

needs for $100.00. Once approved by the HFPD Director, the FLMA shall receive the $100.00 

approved for FY21, not $115.00. The FLH NPM can provide the $100.00 approved as a 

combination of carryover and or new authority, but not transfer more than the $100.00 approved. 

Please note the $15.00 returned on August Redistribution, or carryover as applicable, will be 

returned to the “FLMA” FLTP program balance to be allocated and distributed based on the 

approved POP distribution and program administration needs.
Federal Lands Highway FLTP S&O Working Instructions 

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APPENDIX 6 - FLTP PROJECT LIST APPROVAL STATUS E-LETTER 

TEMPLATE
Federal Lands Highway FLTP S&O Working Instructions 

20

EXAMPLE: FLTP-NPS PROJECT LIST APPROVAL STATUS E-LETTER TEMPLATE
Federal Lands Highway FLTP S&O Working Instructions 

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Federal Lands Highway FLTP S&O Working Instructions 

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Federal Lands Highway FLTP S&O Working Instructions 

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APPENDIX 7 – AUTHORIZATION OF FUNDS (AoF) (FLH DELIVERED 

WORK)
Federal Lands Highway FLTP S&O Working Instructions 

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Advice of Funds for FLH - NPS Date: Fiscal Year: 2020

FLH

Total

 AK NPS DENA 10(47) Repair and Rehabilitate Two Park Road Bridges WFL WFL NPS-AKR DENA AK 3R Approved 09/13/2019 $540,000

AK NPS DENA 10(45) Pretty Rocks Investigation/Reducing Risk of 

Pretty Rocks Slump WFL WFL NPS-AKR DENA AK Study Approved 09/13/2019 $45,000

AK NPS DENA 10(46) West District Culvert Replacement MP 62.7 & MP 

63 WFL WFL NPS-AKR DENA AK 3R Approved 01/09/2020 $175,000

AK NPS DENA 10(48) Rockfall Mitigation MP 52.9 & Low Water 

Crossing MP 52 WFL WFL NPS-AKR DENA AK 3R Approved 09/13/2019 $3,015,000

AK NPS DENA 10(49) Polychrome Pass Alternatives Analysis WFL WFL NPS-AKR DENA AK Study Approved 01/09/2020 $620,000

AK NPS KATM 10(4) Resurface Last Five Miles of the Valley of 10,000 

Smokes Road WFL WFL NPS-AKR KATM AK 3R Approved 09/13/2019 $105,000

AK NPS KEFJ 10(5) Exit Glacier Road Bridge Rehabilitation WFL WFL NPS-AKR KEFJ AK 3R Approved 01/09/2020 $5,000

AK NPS KEFJ 2018(1) Exit Glacier Area Summer Transportation 

Feasibility Study WFL WFL NPS-AKR KEFJ AK Study Approved 09/13/2019 $4,000

AK NPS KLGO 2017(1) KLGO Dyea Area Transit Feasibility Study NPS WFL NPS-AKR KLGO AK Study Approved 09/13/2019 $1,000

AK NPS SITK 2018(1) Sitka NHP Transportation Master Plan WFL WFL NPS-AKR SITK AK Study Approved 09/13/2019 $4,000

AK PRA AKRO ES(3) AKRO Engineering Studies/Collect baseline road 

soils data to facilitate out-year project designs WFL WFL NPS-AKR DENA AK Study Approved 09/13/2019 $12,000

AK PRA DENA 10(35) Repave Denali Park Road MP 0 T0 3.4 /Replace 

Failing Pavement on the Denali Park Road WFL WFL NPS-AKR DENA AK 3R Approved 09/13/2019 $305,000

AK PRA DENA 10(36) Removal of Ghiglione Bridge/Replace Bridges 

That Cannot Be Seismically Retrofitted, WFL WFL NPS-AKR DENA AK 4R Approved 09/13/2019 $180,000

TBD 17-AKR Reconstruct Roadway Across the Pretty Rocks 

Landslide (mile 45.4) WFL WFL NPS-AKR DENA AK Spot Approved 01/09/2020 $823,520

TBD 21 Parks Highway Corridor Study - PEL (Planning and 

Environmental Linkages) WFL WFL NPS-AKR DENA AK Admin Approved 01/09/2020 $187,500

TBD 24 Address Parking Congestion at Exit Glacier for 

Improved Visitor Access WFL WFL NPS-AKR KEFJ AK 4R_New Approved 01/09/2020 $200,000

TBD 25 Frontcountry Multimodal Transportation Study WFL WFL NPS-AKR GLBA AK Study Approved 01/09/2020 $135,000

AZ FTNP CAGR 10(2) ENTRANCE ROAD CFL CFL NPS-IMR CAGR AZ 3R Approved 09/17/2019 $1,919,788

AZ FTNP GLCA 409(2) LEES FERRY RANCH HOUSE ACCESS ROAD CFL CFL NPS-IMR GLCA AZ Spot Approved 09/17/2019 -$25,528

AZ FTNP GRCA 11(4) DESERT VIEW CFL CFL NPS-IMR GRCA AZ 3R Approved 09/17/2019 -$349,705

AZ FTNP PEFO 10(7) MAIN PARK ROAD CFL CFL NPS-IMR PEFO AZ 3R Approved 09/17/2019 $850,821

AZ NPS PP 2019(1) Pavement Preservation Southern Arizona WFL WFL NPS-IMR MULTI AZ 1R Approved 09/13/2019 $345,000

AZ NPS PP GRCA 2019(2) Pavement Preservation Grand Canyon WFL WFL NPS-IMR GRCA AZ 1R Approved 09/13/2019 $9,440,000

CFL Technical AssistanceIMR TBD, as needed CFL CFL NPS-IMR Varies CO Study Approved 09/17/2019 $50,000

CO FTNP BLCA TBD ENTRANCE ROAD NPS CFL NPS-IMR BLCA CO 3R Approved 01/23/2020 $25,000

CO FTNP FLFO 900(1) VISITOR CENTER PARKING LOT AND ROAD CFL CFL NPS-IMR FLFO CO 3R Approved 09/17/2019 -$79,526

CO FTNP GRSA 10(2) CULVERT REPAIR ON MAIN ROAD CFL CFL NPS-IMR GRSA CO Spot Approved 09/17/2019 $30,000

CO FTNP MEVE 100(1) & 

101(1) CLIFF PALACE & MESA TOP LOOP ROADS CFL CFL NPS-IMR MEVE CO 3R Approved 09/17/2019 $5,458,708

CO FTNP ROMO 11(4) BEAVER MEADOWS ROAD CFL CFL NPS-IMR ROMO CO 3R Approved 09/17/2019 $692,152

CO FTNP ROMO PRES 1(19) ROCKY MOUNTAIN NP PAVEMENT PRES CFL CFL NPS-IMR ROMO CO 1R Approved 09/17/2019 $65,000

MT NPS GLAC 11(3) Camas Road Slumps/Repair Camas Road Slumps 

and Resurface Remaining 4 Miles WFL WFL NPS-IMR GLAC MT 3R Approved 09/13/2019 $40,000

MT NPS GLAC 2017(1) Glacier Pavement Preservation /Pavement 

Preservation Program (PPP) GLAC Roads and WFL WFL NPS-IMR GLAC MT 1R Approved 09/13/2019 $185,000

MT NPS GRKO 2018(1) Grant Kohrs Parking Lot 

Rehabiliation/Reconstruct Visitor Center and WFL WFL NPS-IMR GRKO MT 3R Approved 09/13/2019 $25,000

MT NPS YELL 11(2) North Entrance/North Entrance Road-Gardiner 

Gateway Project WFL WFL NPS-IMR YELL MT 3R Approved 09/13/2019 $4,602,000

MT PRA GLAC 10(30) West Entrance Road to Avalanche, Phase 

X/Rehabilitate GTSR Phase X WFL WFL NPS-IMR GLAC MT 3R Approved 09/13/2019 $10,000

MT PRA GLAC 10(40) GTSR Rising Sun to St Mary, Phase 

13/Rehabilitate GTSR Phase XIII WFL WFL NPS-IMR GLAC MT 3R Approved 09/13/2019 $15,000

MT PRA GLAC 10(42) GTSR Final Phase/Rehabilitate the GTSR Final 

Phase WFL WFL NPS-IMR GLAC MT 3R Approved 09/13/2019 $205,000

MT PRA GLAC 10(44) Lake McDonald Utility Relocation/Replace 

Utilities Along Lake McDonald WFL WFL NPS-IMR GLAC MT 3R Approved 09/13/2019 $32,500

 l d ( d k)/ h b l 

 

 

 

 

 

 

 

 

 

 

 

6/22/2020

Date Approved 

by FLH

FLH Approval 

Status FLMA Unit State Project Type Project ID Project Name (Delivery Agency Name/NonDelivery Agency Name if Different)

Delivery 

Agency

FLH 

Division

 FLMA 

Region
Federal Lands Highway FLTP S&O Working Instructions 

25

APPENDIX 8 – FLTP PROGRAM MANAGEMENT FUNDING ALLOCATION 

MEMORANDUM
Federal Lands Highway FLTP S&O Working Instructions 

26 

APPENDIX 9 – INSTRUCTIONS: FLTP PROGRAM MANAGEMENT 

QUARTERLY REPORT PROCESS TEMPLATE

Overview

Attachment 3 of the FLTP Construction Program allocation memorandum includes two tables: 

Table 1: Funding reporting, and 

Table 2: Project Infrastructure information

Table 1: Funding reporting 

Project Description

Funding

Project Budget Obligation Expenditures

Current 

Total 

Projected FY 

Budget

Project 

ID

Project 

Name

State

Congressional District

Project Type Project 

status

Total to 

date YTD Total to date YTD Total to date YTD YTD

AK 

PFH 

10(1) 

Repave 

Denali 

Park 

Road

AK AK-1 Rehabilitation C $5,000,000 $4,000,000 ($2,000,000) ($1,000,000) ($900,000) ($500,000) ($2,500,000)

Notes:

• Table 1 is to be submitted quarterly to the FLH NPM on the following due dates: January 31st, April 30th, July 

31st, and October 31st.

• The table above is intended to track cumulative amounts. Negative values are obligations/expenditures. 

Positive values are de-obligations

• Total to date - Total amount for the project across multiple fiscal years by project phases: PE, CE, CN and 

Other.

• Year to Date (YTD) - Total amount within a Fiscal year.

• Project status: P- in pre-construction, C- in construction, F – final allocation for completed projects. This is the 

project status at the time of the report. 

• Current Total Projected FY Budget: New total project budget amount. It does not require to divide the costs per 

project phases.

Table 2: Project Infrastructure information

Project Description

Project Infrastructure

Surfacing Deliverables Bridge Deliverables Other 

Deliverables

Project 

ID

Project 

Name

Project 

Status

Latitude

Longitude

Lane Miles

Lane Surfacing type

Trail Miles

# Parking Lots

# New

Roadway Bridges

# Rehab Roadway Bridges

# New

Trail Bridges

# Rehab

Trail Bridges

# Tunnels

(Rehab and new)

# Transit Vehicles

(purchased or O&M)
Federal Lands Highway FLTP S&O Working Instructions 

27 

AK PFH 

10(1) 

Repave 

Denali Park 

Road

C 63.2928 -143.6796 2.25 Pavement 1.5 0 0 1 0 1 0 0 

Notes:

• Table 2 is to be completed annually and submitted on the 4th quarter or October 31st due date.

• Project status: P- in pre-construction, C- in construction, F – final allocation for completed projects. This is the 

project status at the time of the report. 

• Lane Surfacing type: Type of surface corresponding to lane miles: pavement (all pavement types including 

concrete and asphalt), aggregate (includes gravel) and native.

• Latitude and Longitude in decimal degrees.

Process:

1. The FLH NPM will send the FLMA HQ and cc the FLH PP&E Branch Chiefs a reminder 

a week prior to when the quarterly report is due in accordance with the reporting schedule 

below (email example included below): 

• January 31st (1st FY quarter) 

• April 30th (1st - 2nd FY quarters) 

• July 31st (1st - 3rd FY quarters) 

• October 31st (1st – 4th quarters) 

2. The FLH NPMs will communicate to the FLMA and FLH DO acknowledging receipt (by 

email) of the report. This will begin the 10 business days timeframe for the program 

management review process.

3. The FLH NPM will communicate to the HFPD once the report is received. If the report 

is not received by the due date, the FLH NPM will communicate to the HFPD for further 

instructions. 

4. Once received, the FLH NPM will distribute a copy of the FLMA report submission to 

the FLH PP&E Branch Chief and upload a copy on the SharePoint site (location TBD). 

5. For Table 1: 

a) The FLH NPM will report to HFPD and cc the HFL Finance Team Leader the 

total amount obligated/expended per FLMA accounting for the FLH and FLMA 

cost amounts. 

b) The FLH NPM will provide a copy of the FLH DO consolidated project report to 

the FLMA HQ PM and cc the HFL Finance Team Leader. 

c) The FLH DO staff will: 

i. Verify the projects budget per project against the Regional POP. 

ii. Identify if move-ups were funded and verify with FLMA project status.

iii. Modify project budgets in the POP, as needed. 

iv. Discuss with the FLMA to reprioritize projects on the POP, as needed.
Federal Lands Highway FLTP S&O Working Instructions 

28

v. Prepare a project consolidated report outlining the project funding 

differences between the POP and the FLMA reports and include FLH 

delivered work within 10 business days from receiving the FLMA project 

report.

d) On the 3rd quarter the “Projected Obligation/Expenditures through the end of FY” 

column, will provide information that will be utilized to plan end of the FY 

adjustments. In conjunction with the data submitted during the August 

Redistribution process, the FLH NPM will coordinate with the FLMA HQ PM 

and the FLH DO to allocate or withdraw funding, as applicable. 

6. For Table 2:

a) The FLH DO will collect the project infrastructure information during the initial 

project discussions.

b) The FLH DO will log this information in the SharePoint site (location TBD)

c) By September 20th, the FLH NPM will download a copy of the spreadsheet with 

the information gathered during the FY for FLMA delivered projects and submit 

it to the FLMA for validation. The FLH NPM will request the FLMA to complete 

any missing information, update the project status, validate the project 

infrastructure values and submit to the FLH NPM by October 31st.

d) Once submitted, the FLH NPM will upload the report in the SharePoint site 

(location TBD).

e) The HFL Program Management Analyst will utilize Table 2 in conjunction with 

FLH data to report FLH annual metrics. (How FLH collects FLH delivered 

project infrastructure data is outside the scope of this document). 

7. If applicable, the FLH NPM will communicate to the FLMA HQ PM concerns and 

schedule a meeting as needed. If the differences can’t be reconciled or there is a lack of 

an FLMA timely response, the FLH NPM will elevate the issue to the HFPD. The HFPD 

Director will follow up with and his/her counterpart in each FLMA, as appropriate.

8. The FLH NPMs will report the annual accomplishments to FLH AA.
Federal Lands Highway FLTP S&O Working Instructions 

29 

APPENDIX 10 – FLTP COLLABORATIVE PROJECT SELECTION DISCUSSION QUESTIONNAIRE TEMPLATE

FLTP Collaborative Project Selection Discussion Questionnaire 

 FLMA tracking ID: Date:

 Project Name: FLH Project ID:

 

 

Project Description:

 

Project Location:

 

Latitude Longitude

 

State Congressional District

 FLMA Project POC:

Line 11 Pre-screening Project Identification (High level scope, budget and FLMA priority)

Line 12 Is the project eligible per 23 U.S.C. Section 203 (a)(1)? 
Federal Lands Highway FLTP S&O Working Instructions 

30 

Line13 Is this a study directly related to a project? 

Line 14 Factor Project details & information Discussion notes Resolution 

Line 15 Project objective 

Line 16 Improvement type 

Line 17 What are the project 

components? 

Line 18

What's the anticipated level of 

NEPA Documentation? 

(Environmental complexity)

 

Line 19 What is the estimated project 

cost? 

Line 20

Does the project include other 

funding sources that require 

match or other requirements?

 

Line 21

How does the proposed project 

advance the statutorily defined 

program goals?

 

Line 22 Delivery Agency Determination - Select one below
Federal Lands Highway FLTP S&O Working Instructions 

31 

Line 23 Based on the project pre-screening discussion, both parties have jointly agreed that FLH will deliver. 

Line 24 Based on the project pre-screening discussion, both parties have jointly agreed that the FLMA will deliver. Complete Complexity Assessment 

below to determine complexity and S&O requirements.

Line 25 The delivery agency is undecided. Complete Complexity Assessment below to recommend the complexity and S&O/Documentation requirements. 

Line 26

Line 27

Initials of FLMA Representative Initials of FLH Representative

Line 28 Complexity Assessment (Additional project information; Refined scope, schedule and budget; Stakeholders and political interest; project 

complexity level and project delivery agency considerations)

Line 29 Factor Project details & information Discussion notes Resolution 

Line 30

Is this project included on the 

FLMA asset management plan? 

preventive maintenance plan? 

or other improvement plan?

 

Line 31 ROW required 

Line 32 Utility easements 

Line 33 Railroad involvement 
Federal Lands Highway FLTP S&O Working Instructions 

32 

Line 34 Safety

implications/ design exceptions 

Line 35

Complex scheduling 

(Construction season 

limitations, FLMA events)

 

Line 36 Complex engineering

features 

Line 37 Complex geological features 

Line 38 Remote location / 

access limitations 

Line 39

Multiple construction sites 

(bundle projects into one 

contract)

 

Line 40

Is this project dependent on 

another project (partially or 

fully) for sequencing? 

 

Line 41

Are there environmental 

mitigation components (like 

wildlife-vehicle mortality) to 

track?

 
Federal Lands Highway FLTP S&O Working Instructions 

33 

Line 42 Project urgency 

Line 43

Are there state and local 

stakeholders? 

What is the stakeholder level of 

interest? 

 

Line 44 Political interest 

Line 45 Tribal involvement - delivery, 

funding, oversight, etc. 

Line 46 Partnering complexity 

Line 47 What public communication 

protocols are needed? 

Line 48 What is the proposed 

contracting method? 

Line 49

How will NEPA be handled? 

-Roles, and responsibilities, 

payment, level of involvement 

with one Federal decision

 
Federal Lands Highway FLTP S&O Working Instructions 

34 

Line 50 Is the right contracting method 

being proposed? 

Line 51

Does the delivery agency 

understand Title 23 contracting 

requirements?

 

Line 52

Does the delivery agency have 

expertise delivering Title 23 

projects?

 

Line 53

Does the delivery agency have 

the capacity and technical 

expertise to complete the 

project?

 

Line 54 Other criteria at FLH discretion 

(what questions would be?) 

Line 55 Final determination

Line 56 S&O Level 

Line 57 Recommended delivery agency 

Line 58 

Line 59 We certify that the FLTP Collaborative Project Decision Discussion questionnaire was jointly completed and agreed upon the results:

Line 60

Line 61
Federal Lands Highway FLTP S&O Working Instructions 

35 

Line 63 Initials of FLMA Representative Initials of FLH Representative 
Federal Lands Highway FLTP S&O Working Instructions 

36 

 INSTRUCTIONS:

Questions for FLMA and FLH to discuss project at different stages of the programming lifecycle. There is not a quantitative assessment. The objective is to identify 

project considerations. The outcome is a mutual understanding of the project’s complexity to inform the appropriate project oversight, to be documented in the project 

agreement as applicable. The questionnaire is divided in three sections: Pre-screening, Complexity Assessment and Final Determination. 

 S&O levels:

Programmatic S&O – FLMA delivered Low complexity projects whereby the S&O responsibility has been delegated to the FLMA. The FLMA is responsible for 

storing and maintaining S&O documentation. 

Project level S&O – FLMA delivered high complexity projects. The FLMA will be required to submit project documentation for FLH action per the S&O checklist 

attached to the project agreement or project management plan.

FLH Delivery – Projects delivered by FLH. The project complexity may vary, but FLH will maintain and request FLMA action as required per the comprehensive 

project agreement or project management plan throughout the life of the project.

Project complexity is defined as:

Low complexity project - clear requirements, relatively low costs, preservation/preventative maintenance type projects.

High complexity project - larger project, or unclear requirements, and/or FLMA has limited expertise (or lack of resources) for this type of project. It can also be a 

project with clear requirements but with nuances that require mitigation. (Note: the determination can be based on one or a combination of factors previously 

described).

 

 

 Project Name: It can be the Recreation Area Name, Bridge Name or general name. Use the same project name in the Project List. 

FLH Project ID: Identifier to be used in the POP. Can be updated later once known.

FLMA tracking ID: Number or code used by the FLMA to identify the project. Can be updated later once known.

Project Description: High level description indicating the type and size of asset, treatment, and degree of complexity. 

Project Location: Road number, mile post, etc.

FLMA Project POC: Please provide name, title, office, phone and e-mail. 

Additional Clarifications

Line 11 Pre-screening discussion is not sufficient to add the project into the FLH "State" TIP report.

Line 12 Yes No

No - no need to discuss further. Project rejected

Line13 Yes No

No - no need to discuss further. Project should be funded with 

planning funds (FLPP)

Line 14 Low Complexity High Complexity Resolution - include the outcome of the concerns raised 

during the discussion.
Federal Lands Highway FLTP S&O Working Instructions 

37 

Line 15 What do we want to accomplish with this project? 

e.g. safety concerns, improve mobility, improve rideability

Line 16 Pavement preservation, trail, 

rehabilitation, transit

Bridge, 3R, New construction 

(structures), replacement

Line 17 e.g. pavement preservation, bridge, retention wall, slope stabilization, safety 

improvements, AOP, etc.?

Line 18 Cat. Ex. E.A or E.I.S. For NPS only: NEPA classification determined first by NPS and then 

FHWA

Line 19 <$2M >$2M

Line 20 No Yes Different funds may have restricted uses, tracking/reporting 

requirements, and availability to be combined with other sources. 

Line 21

⸰ a state of good repair of transportation facilities;

⸰ a reduction of bridge deficiencies; 

⸰ an improvement of safety;

⸰ high-use Federal recreational sites or Federal economic generators; and

⸰ the resource and asset management goals of the Secretary of the respective FLMA. 

Line 22 

Line 23

Agreement is reached for FLH delivery, therefore no need to continue. The additional project information will be gathered following FLH processes (example project 

agreement development). If delivery agency is undecided, then continue with the discussion to obtain additional project details.

Line 24
Federal Lands Highway FLTP S&O Working Instructions 

38 

Line 25

Line 26 Please initial here in there has been a joint decision on FLH delivery and no need to continue filling the questionnaire.

Line 27

Line 28 Do we have sufficient information to continue the assessment? If no, then stop here? If the discussion stops here, the project can't be

submitted for FLH DD approval.

Line 29 Low Complexity High Complexity Resolution - include the outcome of the concerns raised 

during the discussion.

Line 30 

Line 31 None, or only a small number of 

landowners to deal with

Many landowners, possible 

condemnation

Includes consideration of temporary construction easements.

Line 32

Above ground phone & power, only 

temporary

relocation needed

Main trunk fiber optic line buried 

within construction limits

Determination by FHWA and FLMA if major effort is required; may 

involve multiple phases of construction to complete utility work and 

then transportation component.

Line 33 None Crossing or building above an active 

line

Complicated overlap of other transportation systems may require 

special consultation and cooperative solutions.

Line 34 Minor Will require

design exceptions

Line 35 Single season Overlapping

work window restrictions expected

Multiple construction seasons can mean more complex mobilization 

and/or demobilization and multiple projects contracted in same 

geographic area can complicate management.
Federal Lands Highway FLTP S&O Working Instructions 

39 

Line 36 Nothing unusual Customized components or 

specialized work effort required.

Material or supply source may be limited or costly, there may be a 

limited pool of contractors who can do the work, or the construction 

is extremely unique.

Line 37 Nothing unusual

Area has slide challenges, unstable 

slopes, riverine or coastal flooding, 

or wetlands or permafrost are present 

that will require specialized work

Line 38

Have public or legal access without 

any legal obstacles.

For transit: Typical multimodal 

access 

Limited access - Isolated road or 

geographically remote where 

mobilization by air or barge is 

required.

For transit: Isolated road or 

geographically remote where special 

access or operation is required.

Advance scheduling and construction timing critical; adds complexity 

to scheduling deliveries; may require special knowledge of FLMA 

unit staff.

For transit: purchase timing adds complexity to scheduling start up or 

revised operations; may require special knowledge of FLMA unit 

staff

Line 39 No Yes

Line 40 No Yes

Line 41 No Yes

Line 42 Normal project

timelines

Pressure to

have the

project expedited

Two types of circumstances contribute to urgency; 

a) external pressure by others to complete a project or 

b) an imminent environmental or public use impact that requires 

immediate attention.
Federal Lands Highway FLTP S&O Working Instructions 

40 

Line 43 Low interest High interest

Line 44 Local interest only

Statewide,

regional, and/or Congressional 

interest

A project that transcends state and Federal boundaries or that affects a 

nationally significant landmark or feature could pose interest.

Line 45 Tribal entity not involved Tribal entity involved, explain 

involvement.

Line 46 None or

one transit partner

Multiple or multiple

transit partners with possible 

complex negotiations

For transit projects: State, regional, or local systems with their own 

operational requirements or needs may pose challenges in coordinated 

interface.

Line 47 Not required Required

Line 48 Sealed bids Has elements of cost reimbursement

(e.g. Force Account)

Design build or selection of contractor based on more than sealed bid 

only is more involved. Has the FLMA successfully completed this 

contracting method? 

Line 49 

Line 50 
Federal Lands Highway FLTP S&O Working Instructions 

41 

Line 51 Yes No

Line 52 Has delivered projects of similar 

size/complexity successfully

First time or

previously had problems Determination of expertise mutually decided by FHWA and FLMA.

Line 53 Yes No

Line 54 

Line 55 

Line 56 FHWA and FLMA program managers make recommendation to FHWA FLH Division Director and FLMA leadership on project complexity level: 

Low, medium or high complexity.

Line 57 FLMA and FLH based on complexity level propose a delivery agency. The final delivery agency determination will be included with the FLH DD 

approval determination.

Line 58

Line 59

Line 60

Line 61 Please initial here once the discussion is complete.

Line 62
Federal Lands Highway FLMA S&O Working Instructions TBD

42 

APPENDIX 11 – FLTP STEWARDSHIP AND OVERSIGHT CHECK LIST – 

FLMA DELIVERED PROJECT LEVEL S&O PROJECTS

Notes: Phases or Activities marked with an asterisk (*) must be included in every Project Level 

S&O check list and project agreement.

FLH’s role is not to perform regular, in-depth technical/engineering review to critique the 

FLMAs work. It is an S&O review to ensure the requirements of title 23 are being met. 

Phase or Activity Project 

Level 

S&O 

Projects

FLMA

Role

FLH 

Role

Comments

Planning & 

Programs

Evidence that project 

is on an approved 

program of projects

X Provide Review/concur For funds disbursed by 

a division, they may 

know this already

*Evidence of being on 

a TIP or STIP

X Provide Review/concur 

Design 

Standards/Geometric

s to be used identified

X Provide Review/concur Generally, standards 

used by transportation 

agencies will be 

acceptable.

Evidence of funding 

allocation

X Provide File copy

Project agreement 

with scope, schedule, 

& budget

X Provide Approve FLH would be a 

signatory. Would be 

involved in the drafting 

to define what S&O 

deliverables it will 

receive

Maintaining agency 

identified

X Provide File copy Many times, the entity 

doing the work is also 

the maintainer

Identify when funds 

will be de-obligated 

and returned (x days 

from project closeout)

X Provide File copy

Environment
Federal Lands Highway FLMA S&O Working Instructions 

43 

Phase or Activity Project 

Level 

S&O 

Projects

FLMA

Role

FLH 

Role

Comments

Lead Federal agency 

identified

X Provide concur FHWA must be a colead agency on an EIS

Anticipated NEPA 

action

Copy of/review of 

Draft documents

X Provide Review/concur FLH should review to 

insure they can be 

adopted by FLH 

Copy of proposed 

level of NEPA 

documentation

X Provide File copy (CE, EA, or EIS)

Evidence of permits X Provide File copy

Review of Public 

Notices

X Provide File copy 

Attend public 

meetings

Schedule, 

invite

Attend FLH should attend if 

serving as a co-lead on 

an EIS regardless of 

project risk designation

* NEPA document X Provide Adopt or develop 

parallel 

document

FHWA approval 

needed

Design

Review 30% PS&E Provide Review/concur

Review 70% PS&E X Provide Review/concur

Review 95% PS&E X Provide Review/approve Are required contract 

provisions included – 

Common Rule or Fed 

Aid?

Review or approve 

design exceptions

X Provide Review/approve

*Review ROW 

certifications

X Provide Review/approve If ROW is acquired, it 

must follow Uniform 

Federal Relocation Act
Federal Lands Highway FLMA S&O Working Instructions 

44 

Phase or Activity Project 

Level 

S&O 

Projects

FLMA

Role

FLH 

Role

Comments

*Utility/Railroad 

Agreements

X Provide Review/approve FLH needs certification

Acquisitions

Approval of 

proprietary products

X Provide Review/approve State DOT’s already 

have approved lists. 

FLMA must follow 

FARs

*Concur in award of 

contract

Provide Review/concur Generally, would only 

get involved if 

additional funds 

required

Receive copy of 

award package 

X Provide File copy FLH should have a copy 

of the package in its 

files in case inquiries 

are received 

Review or approve 

contract 

modifications

Provide Review depends 

upon nature of 

CM

Need to assure noneligible work is not 

being paid for with 

program funds

Construction

Attend PreConstruction meetingSchedule Attend

Project Inspections Schedule Attend Define which ones you 

will be doing.

Monthly Is there a full time 

employed public 

employee in 

responsible charge for 

administering the 

project?

Mid-construction X

Final X Projects above $xxx or 

type FLH should attend 

the final regardless of 

risk level. Final could 
Federal Lands Highway FLMA S&O Working Instructions 

45 

Phase or Activity Project 

Level 

S&O 

Projects

FLMA

Role

FLH 

Role

Comments

be done electronically 

with photos.

Copy of As-built Provide File copy Generally only request 

these if project 

adjacent to or along a 

corridor FLH is working 

on or if FLH does asset 

management. Used 

for updating system 

info

Materials Testing 

QA/QC Plan

X Provide Review/concur If doing a field review, 

be sure to verify it is 

being followed. 

Copy of final voucher Provide File copy

Contract Dispute 

(Claim)

Notify Provide 

assistance if 

requested

Need to be aware if 

additional funds are 

needed
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APPENDIX 12 – SAMPLE PROJECT AGREEMENT ELEMENTS

(Elements required will vary depending upon project scope.)

• Project name(s) • Other project nomenclature

• Who is a party to the agreement • Design standards/geometrics

• Signature/date block • ROW/railroad/utilities

• Project background/description • Construction

• Authority for agreement • Roles/responsibilities of participants

• Purpose of agreement • Maintenance of facility

• Scope • Agreement amendment process

• Schedule/milestones • Identify points of contact

• Deliverables • Dispute resolution/escalation process

• Budget(PL, PE, CE, CN) • Any agency standard provisions

• Funding sources identified • Agreement duration

• Funding match type (Access Program) • Project closeout process & timeframes
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APPENDIX 13 – FLTP PROJECT AGREEMENT (TEMPLATE) WITH 

STEWARDSHIP AND OVERSIGHT 

(This template is designed for a FLTP project) 

Project Name: (may have several names)

Project Route: (may have several routes #)

State: 

Park, Forest, Refuge, County: (where is the work being done)

Type of Work: (repair/rehabilitation, 4R, Category 1, 3R ...)

Length: (overall length of the work)

Parties to this Agreement: (list Division office, county, state, refuge, park, forest, FLMA, 

DSC, road district, ... who owns the road or is involved in delivering, funding, or maintaining of 

the project of the project) 

This agreement describes specific project requirements to be fulfilled and duties to be performed 

by all parties to produce or supply the services and products as agreed to below. 

AGREED:

 

Federal Land Management Agency Date

(may have multiple lines, signatories) 

 

Division Director or Chief, Business Operations (FLH division) Date

(may be their acting “For” if they are out of the office) 

PROJECT AGREEMENT AUTHORITY

By what authority are we allowed to enter into this agreement? 

PROJECT BACKGROUND

Short history of the road or why is the project being done? 

OVERALL PROJECT SCOPE
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The purpose of this project is to do what? Better define project location, - mileposts, intersection 

to intersection... Should expand upon the description on the signatory page.

The scope of this project consists of: (can insert a table with a preliminary listing of quantities 

and cost estimate if available– see example below. Want to get a feel for the major items and 

project estimate. Entity doing the work will provide this information. This could be provided 

separately as part of the documentation requested in the last section of this document.) 

DESIGN STANDARDS

Criteria Comments

Standard Ex. AASHTO Very 

Low Volume

Add if needed

Functional Classification

Surface Type

Design Volume vpd

FUNDING 
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Fund Source Amount Comments

Title 23 program funds-what type? Add if needed

Other funds-type? May not have any

Other funds-type?

TOTAL 

POINTS OF CONTACT

The following table provides the points of contact for this project. They are to be the first 

persons to deal with any issues or questions that arise over the implementation of each parties 

role and responsibility for this agreement. (this table would list the representatives of the entities 

that signed the agreement. It may not be the same individuals who signed the agreement.)

Organization Name / Phone Number

FLMA

FLH DO This is the person who will receive the 

requested documents and do/ensure the FLH 

role.
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APPENDIX 14 – CAP REVIEW TEMPLATE

FLH Compliance Assessment 

Program (CAP) Questionnaire 

FLH DIVISION ID# DATE OF 

REVIEW 

FEDERAL PROJECT # 

STATE PROJECT #

 FLTP

 FLAP 

 If FLAP, State________________

 STATE ADMINISTERED

 LOCALLY ADMINISTERED

PROJECT DESCRIPTION

 

INDIVIDUAL (S) CONDUCTING REVIEW

 

SUPERVISOR REVIEW

NAME: 

DATE: 

ADDITIONAL CAP REVIEW GUIDE(S) USED ON THIS REVIEW (LIST ALL)

Instructions

1. Complete all questions in the CAP Core Question Form for all CAP reviews. Do not modify questions.

2. Provide comments for each of the NO, N/A or Don’t Know answers.

3. Directly verify all answers with source documentation.

4. Ensure source documentation is retained by the Division or State and available as necessary for quality assurance 

reviews or audits.

# CORE QUESTIONS CITATION ANSWER COMMENT

CQ1 Was the project included 

in the Transportation 

Improvement Plan (TIP) 

prior to the obligation of 

funds? 

23 CFR 

450.220(d) 

Yes, the project was included in the 

FLH approved TIP prior to the 

obligation of funds 

No, the project was not included in 

the FLH approved TIP prior to the 

obligation of funds. (comment 

required)
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N/A, requirement does not apply

(comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required)

CQ2 Was the appropriate 

NEPA action completed 

within appropriate 

timeframes via USC23, 

i.e. Record of Decision 

(ROD), Finding of No 

Significant Impact 

(FONSI), or Categorical 

Exclusion (CE) 

determination?

23 CFR 771 Yes, the appropriate NEPA action 

was completed within required 

timeframes, i.e. ROD, FONSI, or CE 

determination

No, the appropriate NEPA action 

was not completed within required 

timeframes, i.e. ROD, FONSI, or CE 

determination (comment required)

N/A, requirement does not apply

(comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required)

CQ3 Did the FLMA provide a 

statement regarding the 

status of all ROW, utility, 

and railroad work and 

provides copies of 

include all applicable 

permits?

23 CFR 635.309 

(b)

Yes, the FLMA provided a statement 

that all right-of-way clearance, utility, 

and railroad work has been 

completed prior to the date of 

authorization and applicable permits. 

Yes, the partner provided a 

conditional statement for right-ofway clearance, utility, and railroad 

work that necessary arrangements 

have been made for it to be 

undertaken and completed for 

proper coordination with the physical 

construction 

No, the FLMA did not provide a 

statement that all right-of-way 

clearance, utility, and railroad work 

has been completed prior to the date 

of authorization and/or applicable 

permits. (comment required)

N/A, requirement does not apply

(comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required) 

CQ4 Were the Plans, 

Specifications and 

Estimates (PS&E) 

submitted and approved 

at 95% by FLH? 

23 CFR 

630.1012(b) 

23 CFR 

630.1012(c)

Yes, the PS&E were submitted by 

the FLMA and approved by FLH. 

No, the PS&E were not submitted by 

the FLMA and/or approved by FLH. 

N/A, requirement does not apply

(comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required)

CQ5 Is there a full-time public 

employee administering 

the project?

23 CFR 635.105

FHWA Guidance 

Memo

Yes, a full time employed State 

engineer is in charge
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Yes, a full time employed Local 

Public Agency employee is 

administering the project

No, there is no full-time public 

employee responsible for 

administering the project (comment 

required)

N/A, requirement does not apply 

(comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required)

CQ6 If applicable, did the 

project require a contract 

change order or extra 

work order and if so, was 

a cost analysis 

performed and submitted 

to FLH for approval? 

23 CFR 635.120 Yes, the FLMA followed the contract 

modification process properly and 

secured FLH’s approval. 

No, the FLMA did not follow contract 

modification processes properly 

and/or did not secure FLH’s 

approval. 

N/A, requirement does not apply

(comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required)

CQ7 Was the project delivered 

within the project 

agreement’s scope? 

Citation or policy Yes, the project was delivered within 

the project agreement’s scope.

No, the project was not delivered 

within the project agreement’s 

scope. (Comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required)

CQ8 Was the project delivered 

within the schedule? 

Citation or policy Yes, the project was delivered within 

schedule. 

No, the project was not delivered 

within schedule. (Comment 

required)

Don’t Know, could not be verified at 

the time of review (comment 

required)
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CQ9 Was the project delivered 

within budget? 

Citation or policy Yes, the project was delivered within 

budget.

No, the project was not delivered 

within budget. (Comment required)

Don’t Know, could not be verified at 

the time of review (comment 

required)