Tribal Transportation Program Delivery Guide A Guide for Tribes

Revised 03-17-2023

Tribal Transportation 

Program Delivery Guide 

A Guide for Tribes with an FHWA

Tribal Transportation Program Agreement 

 

 

March 17, 2023
Tribal Transportation Program Delivery Guide A Guide for Tribes

Revised 03-17-2023

Table of Contents

Chapter Number & Name Page

 Acronyms 1

Forward 3

I. Purpose of the Program Delivery Guide 4

II. Tribal Transportation Program (TTP) 5

2.1 Overview 5

2.2 Allowable Uses of TTP Funds 8

III. Tribal Transportation Program Agreement (TTPA) 11

3.1 Tribal On-Boarding Process for TTPAs 14

3.2 Referenced Funding Agreements (RFAs) 17

IV. TTP Reporting Responsibilities 20

V. Transportation Planning 23

VI. Preliminary Engineering - NEPA and Other Environmental Requirements 40

VII. Preliminary Engineering - Project Package 49

VIII. Preliminary Engineering - Right-of-Way (ROW) & Utilities 55

IX. Procurement, Construction Bid Advertisement and Award 60

X. Construction and Construction Engineering 63

XI. Maintenance of Transportation Facilities 73

XII. Tribal Transportation Program (TTP) - Bridge Program 76

XIII. Safety Programs 81

Appendix A – Glossary 85

Appendix B – Exhibits for the Chapters 88
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Acronyms 

Associate Administrator

American Association of State Highway and Transportation Officials 

Automated Clearing House 

Americans with Disabilities Act

Annual Average Daily Traffic 

Average Daily Traffic

Alaska Native Claims Settlement Act

Bureau of Indian Affairs 

Bureau of Indian Affairs Division of Transportation 

Bipartisan Infrastructure Law 

Bureau of Land Management 

Categorical Exclusion 

Council on Environmental Quality

Central Federal Lands 

Code of Federal Regulations 

Contract Modification 

Certified Public Accountant 

Department of Interior

Department of Transportation

Data Universal Numbering System

Environmental Assessment

Eastern Federal Lands 

Environmental Impact Statement

Emergency Relief for Federally Owned Roads 

Federal Audit Clearinghouse

Fixing America’s Surface Transportation Act

Federal Highway Administration 

FHWA Office of Federal Lands Highway

Finding of No Significant Impact 

Federal Transit Administration, Department of Transportation 

Fiscal Year

Highway Safety Improvement Program 

Interior Business Center of the U.S. Department of Interior 

Indirect Cost Rate

Infrastructure Investment and Jobs Act

Indian Reservation Roads 

Indian Self-Determination an Education Assistance Act

Integrated Transportation Information Management System

AA 

AASHTO

ACH 

ADA

AADT

ADT

ANCSA

BIA

BIADOT

BIL

BLM

CE

CEQ 

CFL

CFR or C.F.R. 

CM

CPA

DOI

DOT

DUNS

EA 

EFL 

EIS 

ERFO

FAC

FAST Act

FHWA 

FLH

FONSI

FTA

FY

HSIP

IBC

ICR 

IIJA 

IRR

ISDEAA

ITIMS

LRTP Long Range Transportation Plan 

MOA Memorandum of Agreement 

MOU Memorandum of Understanding 

MPO Metropolitan Planning Organization 

MSHA Mine Safety and Health Administration 
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Acronyms (cont’d.)

MUTCD Manual on Uniform Traffic Control Devices 

NACE National Association of County Engineers 

NEPA National Environmental Policy Act

NHTSA National Highway Traffic Safety Administration 

NMFS National Marine Fisheries Service 

NOFO Notice of Funding Opportunity 

NTTFI National Tribal Transportation Facility Inventory 

OIG Office of Inspector General

OMB Office of Management and Budget

OSG Office of Self Governance

OSHA Occupational Safety and Health Administration 

OTT FLH Office of Tribal Transportation 

PA Program Agreement; also known as a TTPA 

PDDM Project Development and Design Manual 

PFSA Program, Functions, Services, and Activities 

P.L. Public Law

POC Point of Contact

PORT Program Online Reporting Tool 

PS&E Plans, Specifications, and Estimates

RFA Referenced Funding Agreement 

RIFDS Road Inventory Field Data System 

ROD Record of Decision 

ROW Right-of-Way 

SAFETEA- LU Safe, Accountable, Flexible, Efficient Transportation Equity Act

SOW Statement of Work

SRTS Safe Routes to School 

STIP State Transportation Improvement Program 

STRA-21 Surface Transportation Reauthorization Act of 2021 

TC Tribal Coordinator (employee of FHWA) 

TERO Tribal Employment Rights Ordinance 

TFMMS Transportation Facilities Maintenance Management System 

TOSR Tribal On-Site Representative

TRB Transportation Research Board

TSR Title Status Reports 

TTAP Tribal Technical Assistance Program 

TTIP Tribal Transportation Improvement Program 

TTP Tribal Transportation Program 

TTPA Tribal Transportation Program Agreement 

TTPSF Tribal Transportation Program Safety Funding 

TTPTIP Tribal Transportation Program Transportation Improvement Program

UEI Unique Entity Identifier Note: Replaced DUNS numbers in 2022. 

US or U.S. United States

USC or U.S.C. The Code of Laws of the United States of America

USFWS United States Fish and Wildlife Service

WFL Western Federal Lands
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Forward

The TTP, originally known as the IRR Program, was established by the Surface Transportation Assistance 

Act of 1982, and addresses transportation needs of the 574 federally recognized Tribes1 by providing funds 

for planning, designing, construction, and maintenance activities. The program is jointly administered by 

FHWA and BIA in accordance with a memorandum of understanding. The regulations for carrying out the 

TTP are in 25 CFR Part 170. 

Any transportation facility that provides access to or is located within Tribal lands may be eligible for 

inclusion in the NTTFI. These roads, trails and other facilities provide transportation and public access to, 

within, and through Indian reservations and native communities for Native Americans, visitors, recreational 

users, resource users, and others, while contributing to the health, safety and economic development of 

Native American communities. There are currently more than 161,000 miles of roads in the NTTFI. 

Approximately 31,500 miles are BIA roads and another 27,000 are Tribal roads. All of the remaining 

mileage is owned by others including States, counties, townships, boroughs, or other Federal agencies. 

SAFETEA- LU (P.L. 109-59 (2005)) gave Tribes the option of working directly with FHWA in the 

administration of their IRR program. This option has continued through subsequent highway 

authorizations. 

The IRR Program Delivery Guide was first developed in 2008 to assist Tribes in the management of their 

IRR program. It was intended to explain the IRR Program Agreements while providing relevant technical 

assistance. The Tribal Transportation Program Delivery Guide is an updated version of the guide, and is 

intended for use by Tribes with FHWA Program Agreements. The Tribal Transportation Program 

Delivery Guide is an important reference and it provides assistance in delivering the Tribal Transportation 

Program. 

Roads, bridges, trails and other facilities are vital transportation links, and are of particular importance in 

Indian Country. FHWA looks forward to working with Tribes in the successful delivery of this important 

program. 

Timothy Hess 

Associate Administrator 

Office of Federal Lands Highway 

Federal Highway Administration

1

 Wherever “Tribe” appears in this document, “Consortium” also applies. FHWA will work with a Tribal 

Consortium the same as a Tribe.
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I. Purpose of the Program Delivery Guide

The fundamental purpose of this document is to provide guidance to eligible Tribes entering into, or already 

having, a TTPA with FWHA. 

The Tribal Transportation Program Delivery Guide clarifies the terms, roles and responsibilities, and 

provisions for the Tribes and FHWA as outlined in the TTPA. It assists Tribal governments in the 

administration of the TTP, and sets out the processes and procedures used by FHWA to carry out its 

program management and oversight responsibilities. 

In addition, the Tribal Transportation Program Delivery Guide may serve as a technical resource for Tribal

governments, Federal agencies, and State and local governments. 

Additional information on the TTP can be obtained from these websites:

• Office of Federal Lands Highway’s Tribal Transportation Program at 

https://highways.dot.gov/federal-lands/programs-tribal

• The BIA Division of Transportation (BIADOT) at 

https://www.bia.gov/bia/ois/division-transportation
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II. Tribal Transportation Program (TTP) 

2.1 Overview 

The TTP is an important component of a Tribe’s overall infrastructure investment strategy. The TTP is 

a Federal program, with requirements and responsibilities that each Tribe needs to fully understand.

A. Statutory/Regulatory Requirements. In administering its TTP, a Tribal government is required 

to comply with the provisions of Title 23 of the United States Code, and 25 CFR 170. A Tribal 

government is also required to comply with the terms of its most current executed TTPA with 

FHWA. See 25 CFR §§170.170.2 through 170.4 for policies and requirements that apply to the 

TTP.

Federal law gives hiring and training preferences to Indians for all work performed under the TTP

(25 CFR §§ 170.911-170.914). Under 25 U.S.C. § 5307(b), Indian organizations and Indian-owned 

economic enterprises are entitled to a preference in the award of contracts, subcontracts, and subgrants for all work performed under the TTP. 

The following is a list of key statutes and regulations related to the implementation and oversight 

of the TTP: 

• 25 CFR § 170 – TTP at 25 CFR 170

• 23 U.S.C. § 202 – Tribal Transportation Program 

• 23 CFR § 625 – Design Standards for Highways 

• 23 CFR § 630 – Preconstruction Procedures 

• 23 CFR § 650 – Bridges, Structures, and Hydraulics 

• 23 CFR § 661 – Indian Reservation Road Bridge Program 

• 23 CFR § 710 – Right-of-Way

• 23 CFR § 771 – Environmental Impact and Related Procedures 

• 29 CFR § 1910 – Occupational Safety and Health Standards 

• 25 U.S.C. § 5307(b) – Wage and Labor Standards 

B. Federal Agencies which administer the TTP. Federal agencies must work cooperatively together 

in a government-to-government relationship with Tribes to administer the TTP. Below is a short 

description of two Federal agencies that administer the TTP: FHWA and BIA. 

1. FHWA has the broad responsibility of ensuring that America’s roads and highways continue 

to be safe and efficient. Although State, local, and Tribal governments own most of the 

Nation’s highways, FHWA provides financial and technical support for constructing, 

improving, and preserving the highway system. The FHWA’s funding is divided between two 

programs areas: (1) Federal-aid funding to State and local governments; and (2) FLH funding 

for the TTP and for transportation systems in National Parks, National Forests, Indian lands, 

and other land under Federal stewardship. 

a. Federal-aid Program. There are 52 Federal-aid division offices (one in each State, the 

District of Columbia, and Puerto Rico), located in the same city as the State Department of 

Transportation, usually the State capital. Federal-aid division offices provide Federal-aid 

program delivery and technical assistance to partners and customers in the highway 

transportation industry. 

b. Federal Lands Highway (FLH) Program. The OTT is part of FLH and is responsible 

for administration of the TTP for Tribes having TTPAs with FHWA. 
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Within FLH, there are also three FLH Divisions: EFL, CFL, and WFL, providing 

engineering related services (design, environmental, contract advertisement and award, and 

construction management), and engineering technology information to Federal, State, and 

local agencies/governments, and Tribes. 

• EFL is located in Sterling, Virginia serves the eastern United States, Puerto Rico, and 

the Virgin Islands. 

• CFL is located in Lakewood, Colorado serves the central United States, Hawaii, and 

American Samoa. 

• WFL is located in Vancouver, Washington serves the northwestern United States and 

Alaska.

The OTT is also included in FLH and is responsible for administration of the TTP.

Information on FLH is at https://highways.dot.gov/federal-lands

FHWA contact information and other TTP related information is at 

https://highways.dot.gov/federal-lands/programs-tribal/contact-info

Figure 2.1: Locations of the three FLH Divisions’ service areas

2. BIA is an agency of the US DOI, under the Assistant Secretary of Indian Affairs, with the 

primary responsibility for the administration and management of approximately 66 million 

acres of land held in trust by the United States for American Indians, Indian Tribes, and Alaska 

Natives. BIA is organized into 12 Regions, each with a TTP component that provides 

engineering, construction, and road maintenance services for roads on or leading to 

Reservations and Tribal lands or villages. See Figure 2.2 for a map of the BIA Regions.
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a. BIADOT is the Division of BIA overseeing the road maintenance and road construction 

programs for the TTP. BIADOT has two central offices (Washington, DC and 

Albuquerque, NM) that are responsible for policy coordination and budgeting. Staff 

members at BIADOT support the BIA Tribal Transportation Program. 

BIA contact information and other TTP related information is at 

https://www.bia.gov/bia/ois/division-transportation

Figure 2.2: Locations of BIA Regional Offices and boundaries 

C. TTP Coordinating Committee (See 25 CFR §§ 170.135 through 170.137). The TTP 

Coordinating Committee consists of 24 Tribal representatives (two from each BIA Region), and 

two non-voting Federal representatives (from FHWA and BIA). The principal duties of the 

Committee are:

• Provides input and recommendations to BIA and FHWA in developing TTP regulations, 

policies and procedures; and

• Supplements government-to-government consultation by coordinating with and obtaining 

input from Tribes, BIA, and FHWA. 
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2.2. Allowable Uses of TTP Funds

A. TTP Funding - Overview. The calculation and distribution of annual TTP funding shares to 

individual Tribes is described in 25 CFR §§ 170.200 through 170.205. The statutory funding 

formula is defined in USC § 202(b). 

B. Allowable Uses of TTP Funds. TTP funds are Federal funds that Tribes can spend only on 

allowable activities. See 25 CFR §§ 170.111, 170.112. Also, TTP funds provided to Tribes can 

only be spent on eligible projects and activities identified in an FHWA-approved TIP (see 25 CFR 

§ 170.204). 

Allowable uses of TTP funds are described in 25 CFR 170 Appendix A to Subpart B, 25 CFR 170

Subpart G, 25 CFR Part 170 Appendix to Subpart G, 25 CFR §§ 170.132-134, and 25 CFR § 

170.607. 

The most common allowable activities for Tribes to spend TTP funds on are:

1. Planning and Design Activities:

• Indirect general and administrative costs include, but are not limited to, computers, 

software, office furniture, and other equipment needed to administer the TTP. See the 

section on Indirect Cost in Chapter IV - TTP Reporting Responsibilities. 

• Transportation-related planning and programming activities (including but not limited to 

roadway, trails, transit, and safety planning and programming, and planning for tourism 

and recreational travel).

• Identification and evaluation of accident prone locations.

• Planning and design of Tribal transportation facilities.

• Engineering support studies (i.e. geotechnical, hydraulic, etc.) 

• Environmental studies, evaluations, and compliance activities. 

• Planning and design of mitigation for impacts to environmental resources (i.e. wildlife and 

their habitat, wetlands, cultural resources, water quality, air quality, etc.). 

• Architectural and landscape engineering services including lighting.

• Inspection of bridges and structures. 

• Public meetings and public involvement activities.

• TERO fees.

2. Construction and Maintenance activities:

• Construction, reconstruction, rehabilitation, resurfacing, restoration, and operational 

improvements of TTP facilities (i.e. roads, trails, bridges, structures, pedestrian and bicycle 

facilities, transit facilities, ferry facilities, rest areas, parking areas, etc.).

• Use of a Tribe’s allocation of TTP funds for contract support costs. 

• Road sealing and chip sealing. 

• ADA improvements. 

• Seasonal transportation routes including, but not limited to, snowmobile trails, ice roads, 

and overland winter roads (also see 25 CFR § 170.117). 

• Mitigation activities required by Tribal, State, or Federal regulatory agencies, and 42 

U.S.C. § 4321 et seq., NEPA. See 25 CFR Part 170 Appendix A to Subpart B for other 

environmental related allowable costs.
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• TERO fees.

• Maintenance of TTP facilities identified in the NTTFI (25 CFR § 170.805). Not more than 

25% or $500,000, whichever is greater, of the TTP funds allocated to a Tribe may be 

expended for the purpose of maintenance. This funding limit does not apply to road 

sealing (25 CFR § 170.800(c)). See Chapter XI - Maintenance of Transportation 

Facilities. 

• Development and negotiation of Tribal-State road maintenance agreements.

• Purchasing, leasing or rental of construction and/or maintenance equipment. See Chapter 

X - Construction and Construction Engineering and Chapter XI - Maintenance of 

Transportation Facilities. 

C. Spending Limits on TTP Funds. The amounts of TTP funds that Tribes can spend on particular 

TTP activities have limits placed on them. The spending limits are: 

• Planning – Up to 100% of Tribe’s TTP funds (25 CFR § 170.403) if identified as a priority on 

the FHWA-approved TTIP. 

• Preliminary Engineering – Up to 100% of Tribe’s total fiscal year TTP allocation minus any 

amounts from other areas (25 CFR § 170.138). 

• Construction – Up to 100% of Tribe’s total fiscal year TTP allocation minus any amounts from 

other areas (25 CFR 170 Appendix A to Subpart B). 

• Construction Engineering – Up to 100% of Tribe’s total fiscal year TTP allocation minus any 

amounts from other areas (25 CFR 170 Appendix A to Subpart B). 

• Transit – Up to 100% of Tribe’s total fiscal year TTP allocation minus any amounts from other 

areas (25 CFR 170 Appendix A to Subpart B). 

• Maintenance (including purchase of maintenance equipment) – Up to 25% or $500,000, 

whichever is greater, of Tribe’s total fiscal year TTP Tribal allocation (23 U.S.C. § (a)(8), and 

25 CFR § 170.800). See Chapter XI - Maintenance of Transportation Facilities. 

D. Administrative Facilities Constructed with TTP Funds.

The allowable uses of TTP funds listed in 25 CFR 170 Appendix A to Subpart B do not include the 

construction of facilities for administration of transportation programs. However, the list does 

include “Other eligible activities as approved by FHWA”. In 2009, FHWA approved the use of 

TTP funds for the construction of administrative facilities under the following conditions: 

1. The administrative facility is constructed for the administration of a Tribe’s transportation 

programs. (The construction of an administrative facility for other tribal programs is not an 

allowable use of TTP funds.)

2. If the facility is larger than required for administration of a Tribe’s transportation programs, 

other funds should be used to construct that portion of the facility that will be used for nontransportation related programs 

3. If the administrative facility is constructed with TTP funds and the Tribe then uses all or part 

of the facility for administration of other programs, the Tribe’s TTP must be reimbursed for 

the use of the facility. This reimbursement may be a full payment based on square footage or 

through rent. 

4. The reimbursement collected must be deposited into the Tribe’s TTP account and used in 

accordance with 25 CFR 170.
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E. Other Requirements on Use of TTP Funds. See Section C. Funding in Chapter III, Tribal 

Transportation Program Agreement (TTPA) and 25 CFR §§ 170.117 through 170.230. 

F. How can a Tribe Determine if a New Use of Funds is Allowable? A Tribe can propose to FHWA 

or BIA a new use of TTP funds that is not listed in 25 CFR 170. See 25 CFR § 170.113 for the 

process to follow.

G. TTP Coordinating Committee Recommendations (see 25 CFR § 170 (a)(33)). The TTP 

Coordinating Committee may recommend other activities not listed in 25 CFR § 170 to become an 

allowable use of TTP funds. These recommendations must be approved by the appropriate 

Secretary (of Interior or Transportation) to become an allowable use of TTP funds. 

H. Requirements on Tribe’s Management of NTTFI Facilities. See 25 CFR §§ 170.114 through 

170.117.
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III. Tribal Transportation Program Agreement (TTPA)

A. Overview. Prior to SAFETEA-LU, Indian Tribal governments worked directly with BIA or the DOI 

Assistant Secretary of Indian Affairs in implementing the TTP. 

Since SAFETEA-LU, Indian Tribal governments have a choice in administration of the TTP. In 

accordance with 23 U.S.C. § 202(a)(2), the Secretary of Transportation is authorized to enter into a 

TTPA with an Indian Tribal government to carry out a transportation program and projects. This allows 

Tribes the option of working directly with the FHWA in the administration of their TTP. See Figure 

3.1 below.

Figure 3.1: TTP Delivery Options Available to Tribal Governments

A Tribe with a TTPA administers its own TTP as authorized by Chapter 2 of Title 23, as amended by:

P.L. 114-94, current applicable legislation and regulations,; and, P.L. 109-59, Safe, SAFETEA-LU. 

The purpose of a TTPA is to:

• Transfer to the Tribe all the functions and duties that the Secretary of the Interior would have 

performed with respect to a program or project under Chapter 2 of Title 23, other than those that 

cannot be legally transferred.

• To carry out the statutory requirements pursuant to the current applicable legislation and 

regulations.

• To provide the Tribe or its designee, under an RFA, its share of TTP funds pursuant to the current 

applicable legislation and regulations and 25 CFR 170.

TTP activities transferred to a Tribe through a TTPA may include:

 Transportation Planning
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 Construction Management

 Program Administration

 Design

 Construction 

 Road Maintenance (25% of TTP funds or $500,000, whichever is greater) 

 Develop Tribal-State Maintenance Agreements

 Other TTP-eligible activities (including TTP Safety and Bridge) 

B. Beginning and ending dates of the TTPA. The TTPA is put into effect on the date that it is approved

and executed by the authorized representatives of the Tribe and FHWA. 

When a new Federal Transportation Authorization is approved, FHWA will begin negotiations with a 

Tribe for a new TTPA to replace the Tribe’s existing TTPA. 

Until that occurs, a Tribe’s TTPA remains in effect unless:

• The TTPA is amended in writing and signed by authorized representatives of the Tribe and 

FHWA. See Article V, Section 11 of the TTPA. After the TTPA with a Tribe is approved and 

executed, it may be amended later by FHWA to address changed program conditions or other 

factors. A TTPA amendment goes through the same review, signature by the Tribe and agency, 

and approval process as the initial TTPA.

• The TTPA is terminated by the Tribe or FHWA. See Article V, Section 9 of the TTPA. Upon 

termination of a TTPA, FHWA will allocate the funds to the Secretary of the Interior. 

The two ways a TTPA may be terminated are:

o Voluntary termination. A Tribe which already has a TTPA with FHWA may voluntarily 

terminate its TTPA (23 U.S.C. § 202 (b)(7)(J)). The Tribe submits to its TC a request contained 

in a letter signed by the Tribal signatory or a Tribal resolution, to terminate the Tribe’s TTPA 

with FHWA. FHWA uses the “Off-boarding” letter template shown in Appendix B - Exhibit 

3.6 to acknowledge receipt of the Tribe’s letter/Tribal resolution. 

o Involuntary termination. FHWA may terminate a TTPA if FHWA determines a Tribe is no 

longer eligible to receive TTP funds (Article V, Section 9 of the TTPA). Generally, a Tribe that 

has a TTPA involuntarily terminated would not be eligible for a TTPA with another agency at 

that time.

C. Funding. TTP funding provided through a TTPA is sent to a Tribe as an annual lump sum payment, 

subject to the availability of funding and as identified in the RFAs provided to the Tribe. See Chapter 

3.2 - Referenced Funding Agreements (RFAs). 

TTP funds obtained by a Tribe through a TTPA are subject to the following requirements: 

• Funds shall be used by the Tribe as permitted under 23 U.S.C. § 202(a)(1), the current applicable 

legislation and regulations, 25 CFR 170, other applicable laws, and as authorized under the TTPA. 

See Chapter 2.2 – Allowable Uses of Tribal Transportation Program (TTP) Funds. 

• The Tribe may reallocate funds among eligible projects and activities identified on the FHWA

approved Tribal Transportation Improvement Program (TTIP) (see 25 CFR § 170.204).

• Funds may not be reprogrammed for other purposes. Funds shall be placed in a savings, checking 

or investment account and tracked independently (see TTPA–Article II, Section 2).

• Savings and checking accounts must be insured by an agency or instrumentality of the U.S., or 

fully collateralized to ensure protection of the funds, even in the event of a bank failure (see TTPA–

Article II, Section 2). 
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• If the Tribe invests these funds, they shall be invested only in the following types of accounts:

obligations of the U.S; obligations or securities guaranteed or insured by the U.S.; or mutual (or

other) funds (see TTPA–Article II, Section 2).

• The Tribe may accumulate multiple allocations of funds, and shall deposit these in savings,

checking, or investment accounts subject to the above requirements. Funds not expended by the

Tribe within the fiscal year in which they were allocated shall remain in the custody of the Tribe

and used for the purposes authorized under the TTPA (see TTPA–Article II, Section 2).

• Interest and investment income that accrue on the funds become the property of the Tribe in

accordance with the provisions of 25 U.S.C. § 5324(b) and may be used on projects identified on

the FHWA approved TTIP (see TTPA–Article II, Section 2).

• A Tribe can use flexible financing for TTP projects according to 25 CFR §§ 170.227 through

170.230. These include:

o Issue bonds or enter into other debt financing instruments (see 25 CFR § 170.227(a) and

TTPA–Article II, Section 2).

o Obtain agreement of the Secretary of Transportation for secured loans or lines of credit for 

TTP projects meeting the requirements in 23 USC (see 25 § CFR 170.227(b))

o Use TTP funds as collateral for loans or bonds to finance TTP projects (see 25 CFR §

170.227(c)).

o Use TTP funds to leverage other funds (see 25 CFR §§ 170.228(a))

o Pay back loans or other finance instruments for a project (see 25 CFR § 170.228(b) and TTPA–

Article II, Section 2).

• The Tribe may use TTP funds to meet matching or cost participation requirements for most Federal

or non-Federal transit grant or program (see 25 CFR § 170.133, and TTPA–Article II, Section

2)(See the Notice of Funding Opportunity for the specific grant or program.)

D. Powers / Dispute Resolution / Construction of Agreement.

• Tribes shall have all the powers the Secretary of the Interior would have in administering the TTP

funds provided to the Tribe under a TTPA, except for powers that cannot be legally transferred (see

TTPA–Article II, Section 3).

• In the event of a dispute, the Tribe and FHWA agree to use mediation, conciliation, arbitration, and

other dispute resolution procedures authorized under 25 CFR § 170.934 (see TTPA–Article II,

Section 4).

• The TTPA shall be construed to facilitate and enable the transfer of programs authorized by 23

USC § 202, as amended by the current applicable legislation and regulations(see TTPA–Article II,

Section 5).

E. Limitation of Costs (see TTPA–Article II, Section 7).

• A Tribe will not be required to continue performance under the TTPA if it requires an expenditure

of funds greater than that awarded under the TTPA or RFA.

• If the Tribe believes this to be the case, the Tribe shall provide reasonable notice to FHWA.

• If FHWA does not increase the amount of funds, the Tribe may suspend performance under the

TTPA until such time as additional funds are made available.
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3.1 Tribal On-Boarding Process for TTPAs

A. Overview. The Tribal on-boarding process is the procedure for a Tribe to request and potentially gain

approval for a TTPA with FHWA. 

The same process is followed for a Tribal consortium. 

B. Steps in the On-Boarding process. The following are the steps that a Tribe and FHWA follow during 

the On-Boarding process:

Step 1. Tribe learns about the TTPA: FHWA provides information to help a Tribe answer these 

questions: "What is a TTPA?”; and “Is a TTPA the right program delivery method for my Tribe's 

Tribal Transportation Program?"

Step 2. Tribe submits a Notice of Intent. After reviewing the information provided, the Tribe may 

decide to pursue a TTPA for the administration of its Tribal Transportation Program. If so, the 

Tribe submits a Notice of Intent to FHWA, which is an official letter or Tribal resolution from the 

Tribal government notifying FHWA of its desire to enter into a TTPA with FHWA. See Appendix 

B - Exhibit 3.2 for an optional Tribal resolution template that a Tribe may choose to use. Tribes 

submit the Notice of Intent to an FHWA TC. FHWA assigns a TC to work through the on-boarding 

process with the Tribe. The designated FHWA TC notifies the BIA Regional Road Engineer of the 

Tribe’s intent to enter into a TTPA with FHWA

Step 3. FHWA sends to the Tribal government an e-mail response or letter (copied to the Tribe’s 

Transportation Director or similar position). The letter may be in the format shown in Appendix B 

- Exhibit 3.5. The e-mail response or letter will usually contain the following information:

• Confirmation of receipt of the Notice of Intent. 

• A description of the On-Boarding process steps.

• A copy of the TTPA template (see Appendix B - Exhibit 3.1). 

• A copy of the Referenced Funding Agreement template (see Appendix B - Exhibit 3.3).

• A copy of the FHWA TTPA Orientation presentation.

• A copy of the FHWA on-boarding orientation checklist (see Appendix B - Exhibit 3.7). 

• The internet link to the Tribal Transportation Program Delivery Guide.

Step 4. Tribe provides additional material (see 23 U.S.C. § 202(b)(7)(F)). If the Tribe wishes to 

continue to pursue a TTPA, FHWA requests the following documentation that the Tribe must 

provide (also listed in the letter format in Appendix B - Exhibit 3.5): 

• Notice of Intent, if not previously submitted by the Tribe. FHWA may provide the Tribe with 

a Sample Tribal Resolution which expresses the desire of a Tribe to enter into a TTPA (see

Appendix B - Exhibit 3.2).

• Audits:

o Copies of the Tribe’s Single Audits covering the past three fiscal years if the Tribe 

expended $750,000 or more of Federal funding during each of those years (see Chapter 

IV – TTP Reporting Responsibilities, Section C). Although FHWA doesn’t necessarily 

need the full audit report, any findings and discussions related to the Tribe’s DOT program, 

as well as for its other Federal programs should be included. Copies of auditor’s letters 

attesting to any internal controls or compliance findings or lack thereof should also be 
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included. The Tribe should also include corrective action plans/implementation schedules 

that were developed for any material findings identified in the Single Audits. 

o If the Tribe expended less than $750,000 of Federal funding during a Tribal fiscal year, the 

Single Audit requirement does not apply. In these cases, FHWA asks the Tribe to provide 

copies of any internal or external financial review/audits that may have taken place over 

the past three fiscal years as well as any corrective action plans and implementation 

schedules that were developed. If audits were not carried out, the Tribe should provide 

copies of the “Certification of Non-Audit Requirements letter” that was previously 

provided to BIA for the past three fiscal years.

• The Tribe’s organizational charts for their Transportation and Financial Departments; and 

• Copies of the Tribe’s written Financial, Procurement, and Property Management Procedures, 

if available. 

Step 5. FHWA reviews the material submitted in Step 4, to determine any issues related to: 

• financial and procurement management; 

• reporting; 

• program administration; 

• contract deliverables or sanctions; and 

• historic construction project performance. 

Step 6. FHWA performs a Risk Assessment. The purpose of the Risk Assessment is to determine 

a Tribe's eligibility to enter into the TTPA. See 23 USC § 202(b)(7)(F).

Step 7. FHWA determines Tribe’s eligibility for a TTPA. 

• If the Tribe is disapproved by FHWA for a TTPA, FHWA sends a letter to the Tribe

describing the reasons for denial, and recommended actions for future approval to enter into a 

TTPA. 

• If the Tribe is approved by FHWA for a TTPA, the Tribe is notified. The approval may 

include stipulations that may include alternative reporting schedules, additional monitoring 

activities, limits on distribution of funding, or other stipulations.

Step 8. If the Tribe has been approved for a TTPA, FHWA conducts a webinar/conference call 

with the Tribe’s representatives The intent of this contact will be to discuss with the Tribe the 

orientation presentation; review the language of the TTPA template (including each party’s roles 

and responsibilities, and remedial actions for non-performance); establish a primary POC for future 

correspondence; and answer any questions that the Tribe may have regarding the On-boarding 

process or the Tribal Transportation Program. If the webinar/conference call is conducted by 

FHWA, the FHWA representative completes the On-Boarding orientation checklist (see Appendix 

B – Exhibit 3.7) to document this discussion. 

Step 9. The TTPA document is prepared. FHWA prepares the TTPA (see Appendix B –Exhibit 

3.1). The TTPA is the official record of the programmatic agreement between the Tribe and the 

U.S. government. 

Changes to the standard TTPA template should only be made to address issues identified during 

the Risk Assessment process, or for other circumstances of the Tribe that need to be addressed. 

When the TTPA is completed, FHWA emails it to the Tribe for completion and signature by the 

Tribal leadership. 
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The Tribe must have an active UEI number. The Tribe should verify that its UEI number is active 

in SAM.gov, and provide the 5 digit CAGE code associated with the bank account for depositing 

Transportation Funds. 

Step 10. The Tribe returns the signed TTPA and verification of their UEI and CAGE Code in 

SAM.gov to FHWA. 

Step 11. FHWA signs the TTPA and a copy of the executed TTPA is provided to the Tribe. 

Step 12. A TC is assigned by FHWA as the primary point of contact for future TTP coordination. 

Step 13. The newly assigned TC coordinates with the Tribe, the BIA Regional Office, and the OTT 

financial specialist to determine:

• What are the prior years and current year TTP funds currently held by the Tribe; and 

• What are the prior years and current year TTP funds that are currently held by BIA (e.g. through 

638 contracts or direct service agreements)?

If the Tribe has 638 contracts, the Tribe (in coordination with the FHWA TC and BIA) decides 

whether to continue each contract through completion, or close them out with BIA. The 

information gathered in this Step will be used to develop the first RFA under the TTPA. See 

Chapter 3.2 - Referenced Funding Agreements (RFAs). 
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3.2 Referenced Funding Agreements (RFAs) 

A. Payment Process. This section describes the steps for obligation and payment of TTP (and other) 

funds to Tribes with an approved TTPA. 

Step 1. FHWA Prepares an RFA. The RFA sets forth specific conditions for Fiscal Year funding 

under the TTPA, and identifies the specific PFSAs to be performed, the funds to be provided, the time 

and method of payment, and other provisions to which the Tribe and the agency agree. See RFA 

templates in Appendix B - Exhibit 3.3.

Each FY FHWA prepares a new RFA for each Tribe that has a TTPA. FHWA may also need to 

prepare RFA Amendments (see Appendix B - Exhibit 3.4). These amendments will be needed as 

portions of TTP funding become available during the FY, or to convey to the Tribe funding from other 

allowable sources (see Section B below). 

A Consortium will be addressed the same way as if working with one Tribe: one RFA is used for the 

Consortium. The Tribes in the Consortium do not have individual RFAs. 

Step 2. The TC forwards the RFA to the Tribe for their signature. The Tribe should have already 

completed and submitted the ACH Form. It is recommended that the Tribe also check that the account

and the DUNS number are active when it signs the RFA. FHWA cannot obligate funding to the Tribe 

until it has completed these activities.

Prior to approval of the RFA, the Tribe must have an FHWA-approved TTIP. Tribes recently onboarded with FHWA may still have TTIP(s) approved while they were with BIA that remain valid until 

a new TTIP is approved by FHWA.

Step 3. The Tribe returns a signed copy of the RFA to the RFA email address at

TTPRFA@dot.gov. 

Step 4. FHWA approves (“executes”) the RFA. The RFA (or RFA Amendment), previously signed 

by the Tribe, is signed and approved by FHWA.

The RFA may not be approved if the Tribe does not have a current FHWA-approved TIP (see Chapter 

V-Transportation Planning). If the Tribe has an FHWA-approved TIP that addresses the planned 

TTP expenditures for the upcoming fiscal year, the Tribe is not required to submit an updated TIP with 

their signed RFA. However, if the Tribe's current TIP does not include all of the projects and activities 

covered by the new RFA, then the Tribe is required to submit a new TIP and obtain FHWA approval

before the RFA will be signed. If a Tribe is unsure about whether it should submit a new TTIP, the 

Tribe should contact its TC for guidance. 

Step 5. The funds shown on the RFA are paid. The Federal government electronically deposits 

the funds shown on the approved RFA into the Tribe’s bank account. The Tribe can now fund projects

and activities in its FHWA-approved TTIP(s) using the funding provided through the RFA. 

B. Types of Funding that may be Included in an RFA. 

1. TTP funding. This amount includes TTP Funds and TTP Transportation Planning Funds (2%), 

and is based on the current FY Tribal shares. TTP funding from previous FYs not yet conveyed to 

the Tribe may also be included on the RFA.
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TTP funding is available for obligation in the FY for which it is authorized plus three additional 

FYs. After that point, the funds lapse and are no longer available. When the funds are provided to 

the Tribe through the RFA, the funds are deemed obligated and do not lapse. 

2. TTP Bridge Program Funds. 

3. Tribal Transportation Program Safety Funding. 

4. 202(a)(9) Fund Transfers. 

Overview. State, county, or local transportation-related funds may be transferred from the State to 

FHWA, and then from FHWA to a Tribe through an RFA. See 23 USC § 202(a)(9), 23 USC § 

104(f)(3)(A), and 25 CFR § 170.627. For additional information, see the FHWA information sheet 

at https://highways.dot.gov/federal-lands/programs-tribal/finance

Requirements for the 202(a)(9) fund transfer: 

o Funds to be transferred must be for a specific project.

o The project must be eligible under the initial source of funding. The transferred funds 

must be used for the purpose originally agreed to between the State and the Tribe. 

o Funds shall retain their match requirements. The transferred funds keep the match 

requirements from the original funding source or program. 

o The State is relieved of oversight responsibilities. FHWA assumes oversight. The Tribe 

administers the project in accordance with the transfer agreement and TTP provisions.

o An Intergovernmental Fund Transfer Agreement shall be developed by the Tribe, in 

coordination with the State and the FHWA TC. When finalized to the satisfaction of all the 

signatories, the Agreement shall be signed by the Tribe, State, and FHWA. See Appendix B

– Exhibit 3.8 for the template to use for the Agreement. In some cases, other templates may 

be used according to the State the project is located in. Portions of this document will need to 

be modified further by FHWA if non-Federal funds are being transferred. 

o The Addendum to the Intergovernmental Fund Transfer Agreement shall be developed by 

the Tribe in coordination with the State and the FHWA TC. This identifies the project, funding, 

expectations, roles and responsibilities, etc. The Addendum shall be attached to the 

Intergovernmental Fund Transfer Agreement. See Appendix B - Exhibit 3.9 for the 

required template to use for the Addendum. Portions of this document will need to be modified 

further by FHWA if non-Federal funds are being transferred.

o Complete Form FHWA-1576. The State DOT shall complete and submit this form to the 

FHWA Division Office in the respective State, in order to transfer the funds to FLH

Headquarters. The information entered on Form FHWA-1576 shall include the following: 

• Clearly define the type of funds being transferred; 

• Specify that the funds are transferred to FLH Headquarters for the TTP in accordance with 

23 U.S.C. § 202(a)(9); 

• Identify the purpose (a specific project) for which the funds are being transferred, the 

name of the receiving Tribe; the specific project.

Attach supporting Agreements with the Tribe, or other related documentation. 

Form FHWA-1576 is available for download at 

https://www.fhwa.dot.gov/legsregs/directives/policy/att1c.xls
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o The transferred funds must be obligated in same Federal FY as the transfer. The

transferred funding (and associated obligation limitation) will be obligated through the same 

process as TTP funding. The TTP formula obligation limitation is available for a single FY. 

Therefore, if the transfer is of apportioned funds and formula obligation limitation, the funds 

and formula obligation limitation must be obligated within the FY of the transfer. 

o Funds tracked separate from TTP funds. FLH should track the transferred funds separately

from the Tribe’s TTP funds, to ensure that obligation deadlines are met. The Tribe should also 

track the funds separately from their TTP funds to satisfy the terms of the transfer agreement.

o Unused funds returned to the State. When the project is complete, any remaining balance 

of the transferred funds must be returned by the Tribe to the State that originated the transfer, 

unless further agreements are reached for eligible projects.

5. Other Chapter 2 (FLH Program) Funds, as described. 

6. Tribe’s share of Program/Project-related administrative funds as authorized by section 

202(b)(7)(E) of title 23. This amount has typically been $0.00.

C. Statutory/Regulatory Requirements for funding provided through an RFA:

• 23 U.S.C. § 202(b) and 25 CFR 170, Subpart C regulate distribution of TTP funds;

• 23 USC § 104(f)(3)(A), 23 USC § 202(a)(9), and 25 CFR § 170.627;

• SAFETEA-LU, Pub. L. 109-59, 119 Stat. 1144 (Aug. 10, 2005);

• ISDEAA, Pub. L. 93-638;

• 25 U.S.C. § 5301 et seq.;

• 49 CFR § 1.48(b)(29).
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IV. TTP Reporting Responsibilities

A. Overview. Tribes that have a TTPA with FHWA are required to provide reports and documents which 

describe the Tribe’s TTP activities, income and expenditures. The reporting process is a cooperative 

effort between the Tribe and FHWA, and enables Tribes and the agencies to work together for the 

success of the Tribe’s TTP. 

Tribes report their TTP activities by submitting to FHWA the following reports and documents: 

• Annual TTP Reports (see Section D below). 

• The Tribe’s TTIP (see Chapter V - Transportation Planning).

• The final stamped PS&E prior to project construction (see Chapter VII - Preliminary 

Engineering – Project Package).

• The project construction closeout report (see Chapter X – Construction and Construction 

Engineering). 

In addition, single audits may be required (see Section C below). 

FHWA personnel also perform the following activities to provide technical support to the Tribes, and 

to perform stewardship and oversight of the Tribes’ TTP activities and projects: 

• The TC performs on-site visits to Tribes for TTP stewardship and oversight, technical assistance 

and project reviews (see Section B below). 

• FHWA performs Program Reviews of Tribes (see Section E below). 

FHWA may initiate remedial actions with a Tribe in certain cases of a Tribe’s noncompliance with the 

TTPA. See Appendix A – Glossary for definition of remedial actions.

B. On-Site Visits to Tribes. The TC makes periodic visits to Tribes in order to provide: 

• Stewardship and oversight of a Tribe’s TTP, including the Tribe’s management of their TTP budget 

and TTP projects. 

• Technical assistance to the Tribe on elements of the TTP (planning, design, environmental 

processes, construction functions, transportation safety, maintenance, and transportation funding 

opportunities). 

• Project construction reviews (see Chapter X – Construction and Construction Engineering). 

The TC needs to complete the Trip Inspection Report (see Appendix B - Exhibit 10.1) for all on-site 

visits to Tribes. The OTT Trip Inspection Reporrt identifies the items and activities that will be 

reviewed and documented during each Tribal site visit. 

During all on-site visits to Tribes, the TC should review with the Tribe the Tribe’s records and 

documents relating to these areas:

• TTP Reports are current and on file;

• The TTIP is current, on file, and approved by FHWA; and

• TTP financial accounting records in the office are current, and using acceptable accounting 

procedures

The TC evaluates the Internal Tribal office cooperation and communications (i.e., Finance and 

Transportation). 

For all on-site visits to Tribes, the TC will also complete a trip report, using the format specified by 

FHWA, and provide a courtesy copy to the Tribe. 
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C. Single Audits. A Tribe must perform a single audit if it expends, in a Tribal fiscal year, more than 

$750,000 total of Federal financial funds it has received from various Federal programs (see 25 CFR 

§§ 200.501 and 514). 

The Single Audit must be performed according to 2 CFR 200, Subpart F - Audit Requirements. The 

single audit is typically performed by an independent CPA, and encompasses both financial and 

compliance operations of the Tribe. Tribes shall submit their Single Audits to the FAC (see link below) 

according to 2 CFR § 200.512(c). 

The OTT may request from a Tribe the documentation required by FHWA to demonstrate that the Tribe 

is carrying out the corrective actions plans and implementation schedules developed for the TTP 

related material findings in the Audit. 

Links and resources: 

• 2 CFR 200, Subpart F - Audit Requirements located at http://www.ecfr.gov/cgi-bin/textidx?SID=97ebca48d0b9d506d9420348fe2f0ab1&node=pt2.1.200&rgn=div5#sp2.1.200.f 

• The FAC at https://harvester.census.gov/facweb/default.aspx/

D. Annual TTP Reports. Tribes must use the PORT online reporting system to submit their annual TTP 

reports (see Article III, Section 7 of the FHWA TTPA and 25 CFR § 170.240). The website explaining 

how PORT works is at https://highways.dot.gov/federal-lands/programs-tribal/annual-report

The TC will provide each Tribe with the internet links (“keychains”) to complete their annual TTP 

reports using the PORT online reporting system. The annual TTP PORT reports shall include:

• Financial Report. The Tribe must complete all the required fields of the online Financial Report. 

See blank copy of report in Appendix B – Exhibit 4.1. See Section F below in this chapter for 

explanation on how Tribes should calculate indirect costs. 

• Non-Construction Activities Report. This report includes the Tribe’s data on jobs, and 

administrative, planning, safety, maintenance, transit, and other non-construction activities. See 

blank copy in Appendix B – Exhibit 4.2 . 

• Report on Each Project for the Tribe’s active TTP funded projects. See blank copy of report in 

Appendix B – Exhibit 4.3. 

Reporting Schedule. Tribes must submit their annual TTP reports by the required due date shown in 

the following table. FHWA may establish additional monitoring and reporting requirements while 

discussing with a Tribe the terms of the TTPA during the On-Boarding process (see Chapter 3.1 - 

Tribal On-Boarding Process for TTPAs), or as the result of other findings. 

Reporting Schedule for Tribes 

Report Reporting Period Due Date

Annual TTP Reports 

(using the PORT online 

reporting system)

October 1 through 

September 30

Within 90 days of conclusion of 

reporting period (no later than

December 31

E. Program Reviews. FHWA conducts formal Program Reviews of a Tribe’s TTP as needed based on 

risk management, in accordance with FHWA Program Review procedures (25 CFR §§ 170.703-704). 

FHWA also conducts Program Reviews of a Tribe as requested by external sources. For example,

FHWA is responsible for conducting Program Reviews as requested by the OIG.
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During a Program Review, FHWA focuses on the Tribe's processes in the following areas: (1) financial 

management, (2) procurement, (3) planning, (4) program, management, (5) project development, (6) 

construction , and (7) maintenance, . Tribes should be able to provide accurate records of program 

expenditures upon request. In addition to helping FHWA to monitor compliance with program 

requirements, these reviews allow FHWA to identify effective practices among Tribes, which they can 

share with other Tribes. 

FHWA documents the Program Review in the Program Review Summary Report and submits it to the 

Tribe for its records. It is recommended that the Tribe file the Program Review Summary Report in 

its system of record. This documentation will assist the Tribe in preparing for its upcoming TTP reports 

submittal or its next Program Review. 

F. Indirect Cost.

1. Definitions. 

“Indirect cost” is the cost of Tribal operations that cannot be tied directly to a particular grant, 

program, contract, project function, or activity. In theory, indirect costs like utilities, rent, 

insurance, taxes, finance/typing pool, motor pool vehicles, etc. could be charged directly to each 

individual funding source or program of a Tribe, such as the TTP, if they could be measured. 

However, it is not possible or desirable to perform that kind of measurement. Therefore, indirect 

cost rates are used to fairly distribute those costs among the various programs that a Tribe 

administers.

“Program Administration costs” consist of: 

• The TTP funded portion of the salaries and fringe benefits of Tribal employees who 

perform administration, planning, maintenance, or construction work; and 

• Travel and miscellaneous supplies directly related to the Tribal Transportation Program. 

“Pass-through costs” consist of: 

 TTP funds that the Tribe paid to contractors or subcontractors (through a contract); 

 TTP funds that the Tribe paid to a City, County, State or Borough through an MOU or 

MOA that the Tribe has with that entity; and

 Cost of equipment and materials, paid directly by the Tribe, for construction or 

maintenance projects carried out by the Tribe. 

2. Use of Indirect Cost Funds. The portion of its annual TTP funds that a Tribe calculates and sets 

aside as “indirect cost” should be used by the Tribe to help pay for the overall operation of the 

Tribal government, including costs such as utilities and other operating costs that can’t be tied 

directly to the TTP. 

3. How a Tribe Calculates its TTP Indirect Cost. A Tribe’s TTP indirect cost includes: 

a) The Tribe’s “Program Administration costs” multiplied by the IBC negotiated ICR. If a 

Tribe has never received a negotiated indirect cost rate, then the Tribe may use an ICR of 10% 

(see 2 CFR 200.414 (f)); 

b) The Tribe’s “Pass-through costs” multiplied by the IBC negotiated ICR for pass-through 

costs. If there is no such negotiated rate, then Tribes may use an ICR of not more than 3% for 

pass-through costs. 

Reporting the TTP Indirect Cost. A Tribe reports the sum of the Indirect costs described in 

paragraph a) and b) above, in their PORT reports submitted to FHWA. 
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V. Transportation Planning

A. Overview (see 25 CFR §§ 170.400-447). 

A Tribal government performs transportation planning to analyze existing and future transportation 

facilities serving the Tribal community under changing conditions to make informed investment 

decisions. Transportation facilities are multimodal and generally include streets, highways, sidewalks, 

trails, boardroads, bike lanes, public transit systems, buildings for vehicle storage/repair, airports, 

helipads, marine facilities and terminals, and ferry systems. 

B. Roles and Responsibilities of Transportation Planning (see 25 CFR § 170.402). 

1. Tribes. Tribal governments administering the Tribal Transportation Program (TTP) have 

ownership of their transportation planning activities by determining what long-range transportation 

planning areas benefit their community’s vision and goals and are then included in their long-range 

transportation plans (LRTPs). Tribal governments have the authority over their LRTPs by 

approving them. The following are Tribal government functions in TTP planning: 

• Develop the Tribe’s LRTP;

• Develop the Tribe’s TTIP or priority list;

• Coordinate with States, their political subdivisions, appropriate planning authorities, and local 

governments on regionally and locally significant projects;

• Prepare and enter updates in the NTTFI maintained by BIA;

• Facilitate public involvement;

• Perform traffic studies;

• Mapping;

• Participate in transportation planning and other transportation related meetings;

• Perform transportation planning for operational and maintenance facilities;

• Develop Program budgets including transportation planning cost estimates;

• Conduct special transportation studies as needed;

• Research rights-of-way documents for project planning; and

• Perform pre-project planning.

2. FHWA: 

• Conduct mid-point review of Tribal LRTP during development;

• Review TTIPs developed by the Tribe;

• Approve TTIPs developed by the Tribe;

• Make the TTIPs available to the States so they can append them to their STIP.

3. BIA and FHWA. Roles and responsibilities of the BIA DOT or FHWA Program Planning 

Specialist, and the BIA POC or FHWA TC are described in detail in the following sections of this 

chapter. A key role of the BIA DOT or FHWA Program Planning Specialist is to provide technical 

expertise and assistance throughout the transportation planning processes described herein. The 

BIA POC or FHWA TC should coordinate with the BIA DOT or FHWA Program Planning 

Specialist when working with a Tribe on transportation planning activities.
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Depending on which TTP Delivery Option(s) a Tribe utilizes, either BIA or FHWA is responsible 

for completing the following transportation planning activities: 

• Conduct a midpoint review of LRTPs developed by the Tribe; 

• Review TTIPs developed by the Tribe; 

• Provide technical assistance to Tribal governments;

• Support Tribal, State, regional, and/or local government coordination, as requested by the 

Tribe; and

• Support coordination with other Federal agencies, as requested by the Tribe.

C. Tribal LRTP

1. Overview. The Tribe develops its LRTP, which is a long-range (20+ year) strategy and capital 

improvement program developed to guide the effective investment of TTP funds in multimodal 

transportation facilities. The Tribe may amend its LRTP as a result of changes in projected Federal, 

State, and Tribal funding, major improvement, project, corridor justification, or environmental 

impact studies, and major changes in Tribal goals, vision, and mission. The LRTP provides the 

context from which the Tribe develops its TTIP. 

The Tribe must review its LRTP every year and update it every 5 years (25 CFR § 170.414). LRTP 

development, updates, amendments, and adoption are described in 25 CFR §§ 170.409-414. 

2. Steps to develop or update an LRTP. The following Figure 5.1 shows the steps for a Tribe to 

develop or update an LRTP as part of transportation planning per 25 CFR §§ 170.409-414. 

However, there is no one way of developing a LRTP. Tribal governments utilizing TTP funds 

should ensure necessary TTP requirements are met, but carry out a transportation planning 

process that supports their communities, state of transportation infrastructure, and land areas. See 

Appendix B Exhibit 5.1 for another example of the TTP planning process.
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Figure 5.1 - Transportation planning - Steps to develop or update an LRTP

The Tribe needs to provide early and continuing public involvement when developing or updating 

an LRTP. See 25 CFR §§ 170.413 and 170.435-441 for details. 

The steps for a Tribe to develop or update an LRTP according to 25 CFR §§ 170.409-414 are 

listed as follows. While integrating TTP requirements, Tribes should develop their LRTPs for 

their unique circumstances and plan for transportation systems that address their community goals 

and objectives.

Step 1. Establish the vision, goals, and/or objectives. 

• First create a vision for the future of the Tribe’s community. Involve the community 

in this discussion, before any public meeting for the LRTP occurs. This may require:

o Researching and documenting reservation, Tribal, and community history

• Establish transportation related goals that support the vision using community input. 

Goals may pertain to, but not limited to:

o Improved access to lands and uses; 

o Housing development (new subdivision);

o Economic development (barge access, jobs);

o Access for Law Enforcement; 

o Safe routes to school;

o A healthy environment (correcting situations impacting community health such 

as dust from dirt or gravel roads);
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o Access to healthcare;

o Environmental improvement;

o General Tribal Transportation Program administration and delivery.

• Develop objectives. These objectives support the overall goals and express the 

purpose of the study. Objectives may: 

o Address current and future transportation needs;

o Be consistent with applicable Tribal, Federal, and State government policies;

o Consider the existing and future land uses, economic development, traffic 

demand, public safety, health, and social needs;

o Consider all modes of transportation including vehicle, transit, pedestrian, 

bicycle, freight, and as appropriate, rail, air, and water;

o Include developing a road maintenance plan; and

o Include an access management plan.

Step 2. Take stock of existing and future conditions. Look at the existing and future 

transportation system serving the Tribal community. This involves performing the 

following:

• Evaluate land use and socioeconomic conditions;

• Examine the conditions and document characteristics such as location and adequacy 

of the existing transportation facilities including roads, boardroads, bridges, trails, 

barge facilities, transit, etc.;

• Use community input to obtain information about the condition and performance 

issues of the facilities; 

• Conduct a comprehensive facilities inventory, including collecting missing data;

• Assemble the safety and accident data and perform crash data analysis using both 

interviews and records (25 CFR §§ 170.101(a)(1) and 170.128);

• Determine existing and future traffic conditions including levels of service and access;

• Identify existing material sources including ownership and types;

• Identify the modes of travel on each facility: foot travel, ATVs, snow machines, boats, 

bicycles, school buses; 

• Review previous Tribal and neighboring transportation, economic development, landuse, and general community studies/plans; and

• Organize and analyze the information using mapping, graphs, charts, and tables.

Step 3. Identify transportation needs (what is needed).

• Identify the gap between your vision, goals, and objectives and compare to the 

existing and future conditions = NEEDS.

o Community input on transportation needs is very important. Discussion with the 

community should begin before the public meeting.

o Consider developing some high-level evaluation criteria to quantify the benefits 

of each potential transportation improvement option based on the results from 

Step 2 and the goals and objectives that were established at the beginning of the 

study.

• When identifying transportation needs/improvements:
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o Consider developing a detailed evaluation and prioritization table/tool to use for 

each recommended improvement/need category. The detailed evaluation criteria 

may differ for each mode, but should include all the high-level criteria developed. 

See Figures 5.2 and 5.3.

o Consider all 4 seasons (Fall/Winter/Spring/Summer). Each season may have 

different transportation needs;

o Consider safer routes to school or public facilities; employment opportunities; 

public health/safety facilities; subsistence or cultural access; and

o Consider land uses.

• Identify projects or activities for each transportation need. Examples are:

o Construction or reconstruction of roads and boardroads;

o Trail construction or reconstruction; 

o Trail marking projects (for safety);

o Trail wayside shelters;

o Trail hardening (plastic grid, boardwalks, gravel);

o Bridge repair or replacement;

o Transit: vehicles, shelters, storage/maintenance building;

o Water, barge access roads;

o Ice roads;

o Road and trail maintenance, dust control; 

o Training for Tribe’s people to work on “force account” construction projects or 

maintenance;

o Functional classification; and

o Tribal Transportation Program administration and delivery.

• For each project or activity, identify the following:

o Planning level cost estimate (25 CFR §§ 170.402(b)(10) and 170.415);

o Funding sources, existing or potential (25 CFR §§ 170.411(j) and 170.415(a)(1)); 

o Who will maintain the facility;

o Affected environmental areas such as archeological and cultural sites, and other 

environment factors (25 CFR § 170.415(a)(5));

o Right-of-way difficulty and other risks; and

o Coordination with agencies (BLM, USFWS, USFS, NPS, State) on or near a 

project. Identify existing and future transportation routes to be added or changed 

on the NTTFI (25 CFR § 170.442-447).

Step 4. Develop Short, Mid, and Long-term Priorities. Using the evaluation process from Step 

3, identify projects or activities that provide the greatest benefits and classify into the 

short, mid, or long-term timeframes (25 CFR § 170.411). A sample prioritization may 

look like the following.
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Figure 5.2. Example High-level Evaluation and Prioritization Criteria:

Evaluation 

Criteria Objective Measure Benefit Scale

Safety

Improve overall modal 

safety * 

Continuous reduction 

in lives lost High Med Low

Enhance kids’ safety at 

bus stops/pullouts * 

50% reduction in 

traffic incidents High Med Low

Other Criteria - - Yes - No

* Note: Carry these example objectives to the next Table (Figure 5.3) as headers, as shown.

Figure 5.3. Example Detailed Evaluation and Prioritization for Roadway:

Road Location Description Length Existing 

AADT

Existing 

LOS

Improve 

overall 

modal 

safety

Enhance 

kids’ safety at 

bus 

stops/pullouts

Project 

Phase Cost

Kind 

Road 

MP 64 to 

MP 68

Reconstruction 4.0 <100 B Med Low Mid $6M 

School 

Road 

MP 20 to 

MP 22 Widening and 

restriping

2.0 <100 C High High Short $2M 

When prioritizing, use the same criteria to see how projects measure up against each other. 

Prioritizing is an important step because: 

• The cost of all the projects and activities added up may be more than the available 

funding; and

• Prioritizing projects makes the LRTP a do-able and visionary document, not just a 

"wish list".

Other considerations when prioritizing projects and activities include:

• The needs, goals, and ideas expressed by members of the community, which should 

be incorporated when developing the evaluation criteria; 

• The “bang for the buck”; that is, how much good does a project do for the cost; 

• Availability of funding for a project and feasibility of actual implementation; 

• Degree of community support for a project; and 

• Risk items that could stop or significantly delay a project: right-of-way problems, 

environmental issues, etc. 

Performing this process should result in a prioritized list of do-able, fundable projects, and 

activities for (25 CFR § 170.411): 

• Short range: 3 - 5 years;

• Medium (mid) range: 5 – 10 years; and 

• Long range: 10 – 20 years. 
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Step 5. Develop an implementation plan. Perform an analysis of funding sources and 

alternatives to carry out the LRTP improvement recommendations and identify 

implementation actions to execute the projects and/or activities.

Identify the existing and proposed funding sources (local, State, Federal, Tribal, and 

private) and the funding expected from each source (25 CFR §§ 170.411(j) and 

170.415(a)). Research and learn about funding source requirements and limitations to 

realistically assess the potential of utilizing a funding source for project implementation. 

For example, learn about the eligible uses of TTP funds (25 CFR §§ 170.111-113).

Perform a reality check by comparing the project cost to the expected funding. Identify 

any shortages in funding needed to implement the projects and/or activities in the LRTP.

Develop the Tribe’s unique approach to implementation with specific actions. This may 

involve establishing and/or strengthening partnerships, creating project implementation 

sheets to carry into pre-project planning for short-term timeframe projects, develop 

policies and procedures, and conduct further research for potential funding sources.

Step 6. Finish up the LRTP. The following steps are needed before the LRTP is complete:

• Public involvement. Tribes must perform public involvement activities (25 CFR § 

170.413). To create an opportunity for an all-inclusive exposure to the plan, public 

involvement should occur to collect input on needs and then again to gain feedback 

on recommended improvements during the LRTP process.

• Tribe makes draft LRTP available to the public and agencies. The Tribe will make 

the draft LRTP available to the public (i.e. stakeholders, private citizens, major public 

and private entities, etc.) through appropriate methods (i.e. public meetings and/or 

public notice). The Tribe should send an electronic copy of the draft LRTP to their 

BIA POC or FHWA TC, and any other State or local organizations interested in 

coordinating transportation projects with the Tribal government. The Tribe should 

further refine the LRTP to address any issues identified during the public review 

process. The Tribe then finalizes and approves the LRTP and submits a copy to their 

BIA POC or FHWA TC. 

• LRTP approval. The Tribal government approves the LRTP per 25 CFR § 

170.412(c). Although BIA or FHWA does not approve a Tribe’s LRTP, BIA or 

FHWA will jointly conduct a midpoint review with the Tribe during the development 

of the LRTP to ensure conformity with the TTP planning requirements and to offer 

technical assistance The BIA or the FHWA Program Planning Specialist will be 

available for technical assistance to the BIA POC or FHWA TC and Tribe during the 

plan development, update, or amendment prior to adoption by the Tribal Council. 

Once the Tribe adopts the plan, the Tribe’s POC provides a courtesy copy of the final 

LRTP to BIA or FHWA. 

Step 7. Implement and Monitor. The LRTP must be reviewed annually (25 CFR § 170.414) due 

to factors such as changing visions and goals, conditions, progress and setbacks, and 

unforeseen circumstances, and as a result, priority of projects and activities on the TTIP 

often change.In addition to maintaining consistency between the LRTP and TTIP (25 CFR 

§ 170.421(a)(1), reviewing the LRTP on a frequent basis provides pre-project planning 

information for upcoming projects and aids as a reference to information that supports 

partner collaboration. 

3. LRTP Resources. The following are resources that can assist a Tribe to develop or update their 

LRTP: 
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Web links: 

• FHWA Office of Tribal Transportation Planning 

https://highways.dot.gov/federal-lands/programs-tribal/planning/resources-guidance 

• FHWA Tribal Transportation Planning 

https://www.fhwa.dot.gov/planning/processes/tribal/index.cfm 

• Regional National Tribal Transportation Facilities Inventory Reports

https://itims.bia.gov/reports.shtml

• Tribal Technical Assistance Program (TTAP) 

https://ttap-center.org/ 

Books/Manuals: 

• Manual on Uniform Traffic Control Devices (MUTCD) 2009 Edition, DOT, FHWA. 

https://mutcd.fhwa.dot.gov/kno_2009r1r2.htm. 

• Trip Generation, Institute of Transportation Engineers. 

• Parking Generation, Institute of Transportation Engineers. 

• Developing a Long-Range Transportation Plan, FHWA Tribal Transportation Planning 

Modules 

https://www.fhwa.dot.gov/planning/processes/tribal/planning_modules/lrtp/

• Practitioner's Handbook #10: Using the Transportation Planning Process to Support the 

NEPA Process, American Association of State Highway and Transportation Officials

https://environment.transportation.org/wpcontent/uploads/2021/05/practitioners_handbook10.pdf 

D. Pre-Project Planning and project identification studies (25 CFR § 170.415) 

Pre-project planning is a necessary part of transportation planning. Pre-project planning needs to be 

performed by the Tribe before projects can be placed on the Tribe’s TIP (TTIP) because the process 

evaluates the viability of actual project delivery by exploring associated risks and defining a specific 

approach to project execution. The pre-project planning process provides the Tribe with a more realistic 

scope, schedule, and budget before deciding whether or not the project would go onto the TTIP and, in 

doing so, increases Program success. 

Pre-project planning looks at the following items: 

• The various alternatives to a project (for example: roundabout vs. intersection);

• Preliminary cost estimate of a project (25 CFR §§ 170.402(b) (10) and 170.415(a)); 

• If the project warrants a public hearing (25 CFR §§ 170.435); 

• The regional significance of the project;

• Public involvement; 

• Right of way clearance requirements; and 

• The project’s need for preliminary environmental and archeological reviews. 

The pre-project planning process helps to further filter which projects are proposed to end up on the 

TTIP. Proposing projects for the TTIP should be made only after the Tribe thoroughly analyzes all the 

relevant information, including the project’s preliminary environmental and archeological reviews. The 

Tribe can decide whether or not the project is suitable to proceed after the preliminary environmental 

process review is completed. Comparing the environmental requirements and/or impacts to the planned 

scope of the project helps the Tribe effectively program a TTIP. 
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The Pre-Project Planning Worksheet (see Appendix B – Exhibit 5.5) may be used by the Tribe when 

performing pre-project planning. 

Pre-project planning activities may include, but not limited to:

• Preliminary needs assessments. Two questions should be asked: (1) What is the problem you are 

trying to solve with this project? (2) What are the consequences of not addressing the problem? 

o The needs statements should be specific enough to be measurable. The discussion should set 

the stage to conclude that the project is needed. How many fatalities (supported by data)? 

How much flooding (supported by data)? How much maintenance effort is needed? How 

much congestion? The discussion should make a convincing case that a solution to a problem 

is needed and that the purpose of the proposed project is to provide a solution that best solves 

the transportation problem.

o For example, "As Maple Street’s ADT has increase by 15% in last two years, a need to widen 

the road for a left-hand turn lane is warranted according to applicable standards. If the 

increase in ADT is not addressed, safety issues such as decelerating vehicles causing an 

impediment on traffic flow will increase.” 

o Descriptions such as "dangerous", "hazardous", or "this curve caused six accidents" that are 

not supported by data and facts should be avoided. These may be interpreted as opinions that 

do not add value to the determination of a need.

o Preliminary environmental and archeological reviews. Document what and where your 

environmental and archeological resources are related to your project prior to construction. This 

can be done by working with your Tribal Natural Resource Department, Tribal Historical 

Preservation Office or the Federal/State agencies in your area (see 23 CFR § 450.322(g) for further 

guidance). 

The process provides a sound basis for commitment of resources necessary to conduct 

environmental studies and other activities with respect to the proposed project. 

See Chapter VI - Preliminary Engineering - NEPA and Other Environmental Requirements

to determine the level of NEPA analysis that will be needed for the proposed project.

• Concepts of possible alternative strategies that could satisfy the identified deficiencies and 

purpose and need. This should not be an all-inclusive list, but factors to be considered for 

programming a project. A complete list of all reasonable alternatives will be identified in the 

environmental process.

• Preliminary project cost estimates. This looks at alternative concepts for the project, and the 

approximate cost associated with each concept. Examples of alternative concepts would be a 

roundabout versus a normal intersection, or a two-lane road versus a one lane road with turnouts. 

When doing a cost estimate for the alternative concepts, it is important to identify and estimate all 

the known items of work that would occur during construction. Not all projects will have each and 

every item listed on the worksheet (see Appendix B – Exhibit 5.5. In many cases, it is not possible 

to list all of the items at this preliminary stage, so it is recommended that an appropriate contingency 

factor (from 5% to 25%) be added to the cost estimates to reflect other possible items.

• Consultation and coordination with States and/or MPOs for regionally significant projects. 

A “regionally significant project” is one that occurs on a facility serving regional transportation 

needs, and that would normally be included in the modeling of a metropolitan area’s transportation 

network (25 CFR § 170.5). This type of project includes work on principal arterial highways and 

all fixed guideway transit facilities that offer a significant alternative to regional highway travel. 

(“Regional transportation needs” includes access to and from the area outside of the region; major 

planned developments such as new retail malls, sports complexes, etc.; or transportation 
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terminations, as well as most terminals themselves). The State DOT can assist in modeling or 

providing clarification on regionally significant projects for an area.

E. TTIP

1. Overview. The TTP transportation planning process requires the Tribe to develop a TTIP. The 

TTIP is a list of fiscally constrained transportation projects and activities eligible for TTP funding 

covering a period of 4 years. These projects and activities must be included on an approved TIP 

prior to expenditure of TTP funds (25 CFR § 170.204). The TTIP must be updated every 4 years 

(23 USC 134(j)(1(D)), however, to better align with changing priorities, it is recommended that

Tribes review and update their TTIP every year (170.421(a)(3)). TTP funds can be withheld if a 

TTIP is out of the 4-year compliance. As described in the Tribal Transportation Program 

Agreement, FHWA approves the TTIP developed by the Tribe, and the Tribe implements the 

projects and activities from the FHWA-approved TTIP. 

Figure 5.4 illustrates that the development of the TTIP requires a review of the LRTP to determine 

progress and revisit priorities based on the Tribe’s transportation goals. TTIP development also 

involves preliminary evaluation and analysis of short-term projects and activities. These activities 

require public outreach and possible public hearings on specific project (s).

Figure 5.4. Relationship between pre-project planning and the TTIP

2. Guidelines/Procedures 

• The TTIP must be “financially constrained” (also called “fiscally constrained”). This 

means that a Tribe cannot show projects and activities in their TTIP that will cost more than 

the funds committed, available, or "reasonably expected to be available" (see 23 CFR §§ 

450.104 Definitions, and 25 CFR §§ 170.5 and 170. 421(a)(2)) to cover the cost of design and 

construction, as well as the cost of future operation and maintenance of the proposed project 

(23 CFR §§ 450.104 Definitions). Financial constraint/fiscal constraint applies to each of the 

four program years. Please refer to the “Financial Planning and Fiscal Constraint for 

Transportation Plans and Programs Questions & Answers” from FHWA Office of Planning, 

Environment and Realty located at http://www.fhwa.dot.gov/planning/fsclcntrntques.cfm
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• Projects that are not financially constrained in the TTIP will be considered a part of an 

“illustrative” list, as long as they are consistent with the LRTP or included on the approved 

Tribal priority list. The unconstrained projects will not be considered for approval on the TTIP, 

nor will they be forwarded to be included into the State DOT STIP. Once funds become 

available for any project identified on the illustrative list, the Tribe should revise the TTIP 

showing the project as funded and programmed, and submit it to their BIA POC or FHWA 

TC.. If the Tribe does not have a TTIP modification or amendment guide or policy, then the 

BIA POC or FHWA TC will determine if the revision is an administrative modification or an 

amendment (23 CFR §§ 450.104 Definitions). An amendment will require public review and 

comment and a re-demonstration of fiscal constraint. See Section TTIP 8. TTIP Amendments 

and Administrative Modifications for further guidance.

• The TTIP needs to be consistent with the Tribe’s planning documentation. The projects 

listed on the TTIP must be consistent with the LRTP or priority list (25 CFR § 170.421(a)(1)). 

• Facilities Official on the Inventory and consistent with the LRTP. Tribal governments 

utilize their LRTP to document and justify the Tribe’s updates to the NTTFI (170.414 and 

170.446(a)). For those projects funded under the TTP, the route and section (s) must be listed 

in the National Tribal Transportation Facility Inventory (25 CFR § 170.442) and certified as 

“Official” or eligible for TTP funding. 

• Project Funding. The TTIP needs to document the anticipated or available funding source(s) 

to be used to implement each transportation project and other activities shown on the TTIP. All 

of the funded transportation projects must be listed on an FHWA-approved TTIP. 

• Coordination. The Tribe should coordinate with and inform the State DOT, and as appropriate 

any MPO, on all regionally significant projects when developing its TTIP (25 CFR § 

170.107(a)(1)). This is to ensure the regionally significant project (s) are included in the State

programs (23 U.S.C 201(c)(3)) and encourages entity coordination on plans and collaboration 

on resources to implement the project (s) for mutual benefit.

• Planning Requirements for Development of the TTIP. The TTIP must comply with all the 

relevant provisions in 25 CFR § 170. The BIA POC or FHWA TC in coordination with the 

Program Planning Specialist will provide technical assistance to the Tribe to ensure that all 

Federal planning requirements have been met in the development of the TTIP. 

• Public Involvement. The public must be provided the opportunity to review and comment on 

the TTIP, according to 25 CFR § 170.422. 

A public hearing must be held if a project: 

(a) Is a new route or facility; 

(b) Would significantly change the layout or function of connecting or related roads; 

(c) Would cause a substantial adverse effect on adjacent property; or 

(d) Is controversial or expected to be controversial in nature (25 CFR § 170.435). Topics 

that may generate controversy include removing inventory routes, changing ownership 

or maintenance responsibility.

The Tribe should keep in their files the following documents related to public involvement for 

the TTIP: announcement of meeting, notice, or hearing; the meeting sign-in sheet; minutes 

and/or recording of hearing; and other documentation that provide records of public 

involvement.

• Categories the Tribe needs to include in the TTIP. The following table shows the seven 

categories to include in the TTIP (25 CFR §§ 170.421). 
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Categories in a TTIP 

Category Guidance

Administration

Costs associated with Administration may be direct and/or indirect cost related to 

Tribal transportation department operating costs. Indirect costs should match the 

indirect costs reported by the Tribe in the semi-annual financial report, and 

follow the indirect cost policy (25 CFR § 170.931, and 25 CFR Part 170 

Appendix A to Subpart B). See Indirect Cost in Chapter IV - TTP Reporting 

Responsibilities.

Planning 

Costs associated with Planning are those activities conducted during the Long 

Range Transportation Planning process (see 25 CFR §§ 170.400-447) such as 20 

year LRTP, TTIP development, pre-project planning, etc. Up to 2% of total fiscal 

year TTP funds as shown on RFA (23 U.S.C. § 202(c)), and up to 100% of TTP 

funds, if identified as a priority on the FHWA-approved TTIP (25 CFR § 

170.403). 

Preliminary 

Engineering 

Costs associated with developing a project package (see 25 CFR § 170.460) such 

as surveying, design, NEPA, technical engineering, ROW acquisition, etc. 

Budgeted costs are usually between 10-25% of the overall project costs. Funds 

used for preliminary engineering can be up to 100% of Tribes’ total fiscal year 

allocation minus any amounts from other areas. 

Construction 

Costs associated with construction activities include, but not limited to new 

roadway construction or reconstruction, utility relocation, bridge construction, 

drainage improvements, etc. Budgeted costs are usually between 60-90% of the 

overall project cost. Funds used for construction can be up to 100% of Tribes’ 

total fiscal year allocation minus any amounts from other areas.

Construction 

Engineering 

Costs associated with construction engineering include but not limited to, 

managing the project on/off site, inspection, material testing, etc. Budgeted costs 

are usually between 10-15% of the overall project costs. Funds used for 

construction engineering can be up to 100% of Tribes’ total fiscal year allocation 

minus any amounts from other areas.

Transit

Costs associated with transit are documented in the LRTP and include, but not 

limited to, administration, operations, personnel, etc. Costs should be coordinated 

with the FTA if used as match for FTA projects. Funds used for transit can be up 

to 100% of Tribes’ total fiscal year allocation minus any amounts from other 

areas.

Maintenance

Activities identified as maintenance are located in 25 CFR § 170.805. Funds used 

for maintenance can be up to 25% of total fiscal year TTP Tribal allocation or 

$500,000, whichever is greater (23 U.S.C. § 202(a)(8); 25 CFR § 170.800), 

except for road sealing, which is not subject to any limitation. 
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• TTIP Timeline. The following table shows the timeline for the development, delivery, and 

approval of a TTIP (25 CFR § 170.423). 

 

TTIP Timeline (Fiscal Year)

Action Item Authority /

Reference

Frequency /

Due Date

Responsible

Party

Tribes notified of the opportunity to update TTIP. 

Tribe receives 1) estimated TTP funding amounts 

for FY; 2) copy of previously approved TTIP; and 

3) instructions for submitting the annual update. 

25 CFR §§ 

170.423(b) 

FY Annually 

–1st Quarter

(October

through 

December) 

BIA POC or 

FHWA TC

Review any new transportation planning 

information, priority lists, and previous approved 

TTIP to draft a new one. 

Draft TTIP - Public Review – Tribe puts TTIP 

out for public review

25 CFR §§ 

170.423(c) 

25 CFR § 

170.422

FY Annually 

–2nd Quarter

(January

through 

March) 

Tribe (unless 

delegated to 

BIA through 

an RSA)

 

Complete and forward an updated TTIP package 

consisting of the following:

1) TTIP forms for each project and/or activity, 

2) Tribal resolution or Tribally authorized 

government action, and/or a signed and dated 

TTIP Certification Statement to the TC, and 

3) If requested, a copy of the public participation 

notice to the BIA POC or FHWA TC. 

Internal 

Tribal

process 

FY Annually 

– 3rd Quarter

(April through 

June) 

Tribe (unless 

delegated to 

BIA through 

an RSA)

Compile TTIPs and make TTPTIP available on 

OTT planning website. 

25 CFR §§ 

170.424(b) 

FY Annually 

– 4th Quarter

(July through 

September) 

FHWA 

Program 

Planning 

Specialist

3. Process for Development and Review of the TTIP. The Tribe develops the TTIP from the Tribal

priority list or the Tribe’s LRTP (see 25 CFR §§ 170.421-423). 

Step 1. The Tribe prepares its TTIP using the following forms: 

• Tribes who have a TTPA with FHWA may use the Microsoft Access FHWA TTIP Template, 

and the FHWA TTIP Template User Guide, available on OTT planning website. See 

Appendix B - Exhibit 5.2 for a printout of the blank FHWA TTIP Template. 

Step 2. The Tribe submits the draft TTIP to the FHWA TC, who will work with the Tribal POC to 

ensure all requirements have been met and any issues with TTIP are resolved.

Step 3. Once the FHWA TC and Tribal POC agree that TTIP is complete, the FHWA TC will 

follow internal steps to obtain TTIP concurrence, and inform the Tribal POC. Additional 

changes may be required and coordinated between FHWA TC and Tribal POC.

Step 4. When the final draft TTIP is complete, the Tribe conducts public involvement activities 

(see 25 CFR §§ 170.422). The Tribe should keep in their files the following documents 
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related to public involvement for the TTIP: announcement of meeting, notice, or hearing; 

the meeting sign-in sheet; minutes, or recording of hearing; and other documentations that 

provide records of public involvement. The Tribe reviews the public comment and 

incorporates any changes to the TTIP as necessary and then creates a final TTIP supported 

by Tribal Resolution. 

Step 5. Tribal POC submits Tribally approved TTIP Package to FHWA. 

4. Submitting the TTIP Package. The Tribe should submit by mail, email, or fax, the following 

items as a package to the FHWA TC so that the FHWA Program Planning Specialist can review 

the TTIP for approval: 

• A TTIP Certification (FHWA TTPA only), signed and dated by the Tribe’s Chief, 

Chairperson, CEO, or President, or designated acting (see Appendix B - Exhibit 5.3). This 

document is an assurance to FHWA that the Tribe developed the TTIP according to 25 CFR 

§§ 170.415, and 421-422, which require the following: public involvement for the TTIP has 

been done; the TTIP is financially constrained; consultation and coordination has been done 

with States and/or MPOs for a regionally significant project (s); the TTIP is consistent with 

the LRTP; and, transportation facilities in the TTIP are on the National Tribal Transportation 

Facility Inventory. 

• The completed TTIP Forms for each project/activity. For Tribes who have an FHWA 

TTPA, the FHWA TC provides the Tribe with the Microsoft Access FHWA TTIP Template

(see Appendix B - Exhibit 5.2). 

• A supporting Tribal Resolution or Tribal government action (see example Tribal 

resolution template in Appendix B - Exhibit 5.3). This is optional if the TTIP Certification 

form (see Appendix B - Exhibit 5.4) is signed and dated by the Tribe’s Chief, Chairperson, 

CEO, or President, or designated acting.

5. Reviewing the TTIP. The FHWA Program Planning Specialist will review the TTIP package for 

completeness and may request any missing information or package documents. 

6. Approving the TTIP. FHWA approves the TTIP. Once approved by FHWA, the TTIP becomes 

part of the official TTPTIP. The Tribe will then receive an FHWA approved TTIP, along with an 

approval email from the FHWA TC. If some projects on the TTIP are determined by FHWA to 

not be eligible, the Tribe will receive a “partial” TTIP approval by FHWA. 

7. The TTPTIP is put together by FHWA, and contains the information from all of the FHWAapproved TTIPs. The TTPTIP information is made available to States to be included in their STIP 

(see 25 CFR § 170.5 for definitions). Note: Having a project listed on the STIP does not guarantee 

State funding. 

8. TTIP Amendments and Administrative Modifications. The Tribal Transportation Program 

(TTP), transportation planning process requires the Tribe to develop a Tribal Transportation 

Improvement Program (TTIP). The TTIP is a list of transportation projects and activities eligible 

for TTP funding covering a period of 4 years (170.421(a)(3)). The approval of the TTIP is required 

before the Tribe can spend any TTP funds. See TTP Program Delivery Guide for developing a 

TTIP.

Although TTIPs must be updated every 4 years, TTP planning regulations encourage Tribes to 

update the TTIP annually to best represent the plans of the Tribe. Revisions to the approved TTIP 

can be made any time between updates. These revisions can either be minor or major known as an 

administrative modification and amendment, respectively. To accommodate progress and the 

changing priorities of a Tribe, the Federal Highway Administration (FHWA) Office of Tribal 
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Transportation (OTT) accepts TTIP updates, administrative modifications, or amendments as 

needed by the Tribe.

• Regulatory Guidance. 23 U.S.C. 201(c)(1) requires the implementation of transportation 

planning procedures for Tribal transportation facilities consistent with the planning processes 

required under 23 U.S.C 134 (MPO) and 135 (State). MPO and state transportation planning 

regulations are especially helpful where additional details are available for specific guidance. 

25 CFR Part 170 provides further guidance to 23 U.S.C 201. Similarly, 23 CFR Part 450 

provides guidance for 134 and 135. In accordance with 23 U.S.C. 201(c)(1), 23 CFR Part 

450.104, provides TIP modification and amendment direction to the TTP.

• Definitions. Federal planning regulations define administrative modifications and 

amendments at 23 CFR 450 § 450.104. Changes to projects that are included only for 

illustrative purposes do not require an administrative modification or an amendment. 

According to this regulation:

o An administrative modification means a minor revision to an approved 

Transportation Improvement Program (TIP) that includes minor changes to 

project/project phase costs, minor changes to funding sources of previously included 

projects, and minor changes to project/project phase initiation dates. An 

administrative modification is a revision that does not: 

 require public review and comment and

 a redemonstration of fiscal constraint.

o An amendment means a revision to an approved TIP that involves a major change to 

a project included in a TIP that includes the addition or deletion of a project or a 

major change in project cost, project/project phase initiation dates, or a major change 

in design concept or design scope (e.g., changing project termini or the number of 

through traffic lanes). An amendment is a revision that requires:

 public review and comment and

 a redemonstration of fiscal constraint.

• FHWA TTIP Revision Guidance. A transportation improvement program is a public 

document that identifies proposed transportation projects planned to be delivered within a 4-

year timeframe (25 CFR Part 170.421(a)(3)) and that meet the short-term needs of a Tribal 

community. The program of projects and activities are, in part, a result of input from the 

Tribal community and other stakeholders. As such, Tribes/Nations and their transportation 

departments, or designated offices or individuals responsible for facilitating this prioritization 

process, are most knowledgeable about the impacts of changes to a TTIP.

Using the Federal planning regulations on administrative modifications and 

amendments as a basis, Tribes/Nations are encouraged to develop their own guidelines 

for TTIP changes. It is up to each Tribe or Nation to determine criteria thresholds that will 

be used to differentiate between “minor” and “major” changes. The size, scope, schedule, and 

funding allocation of each Tribe or Nation’s transportation program can help determine what 

is most appropriate for the individual needs of a Tribal transportation program. 

Changes to the TTIP are generally amendments; however, in certain circumstances, they can 

be administrative modifications. The FHWA has compiled examples for criteria that Tribes 

and Nations may want to consider when determining what criteria to use for an administrative 

modification versus an amendment. These are based on practices from State Department of 

Transportations (SDOT) and Metropolitan Planning Organizations (MPOs) around the 

country. With adjustments to accommodate for the unique Tribal settings and Tribal capacity, 
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these practices may be appropriate for a Tribal transportation program, while others may not 

be. 

The examples provided in Appendix B – Exhibit 5.7 Example TIP Administrative 

Modification and Amendment Guidelines are only to illustrate guideline and threshold 

possibilities to consider for a Tribal TIP administrative modification or amendment process 

or procedures. There may be multiple categories of TTIP revisions, such as changes in project 

cost or scope. Known SDOT and MPO examples have between two and five categories. 

If there are no Tribal policies or guidelines regarding TTIP changes, then FHWA will 

determine whether a TTIP change is an administrative modification or an amendment. 

9. TTIP Resources. 

• The FHWA TTP Planning website provides resources and technical information on longrange transportation planning, which includes pre-project planning, and TTIP development for 

Tribal governments administering the Tribal Transportation Program.

https://highways.dot.gov/federal-lands/programs-tribal/planning 

• The FHWA Tribal Transportation Planning website includes a Tribal Transportation 

Module Training Series, with topics such as: Introduction to Planning; Developing a LRTP; 

Developing a TIP; Funding Resources; Public Involvement; Data Collection and Uses; Safety; 

and Project Prioritization. 

https://www.fhwa.dot.gov/planning/processes/tribal/ 

F. National Tribal Transportation Facility Inventory Update

1. Overview. 

The NTTFI is a comprehensive database of all transportation facilities eligible for TTP funding by 

Tribe, reservation, BIA agency and region, Congressional district, State, and county (or borough). 

Other specific information collected and maintained under the TTP includes classification, route 

number, bridge number, current and future traffic volumes, maintenance responsibility, and 

ownership (see 25 CFR § 170.5). 

The NTTFI is developed through the LRTP process, as described in 25 CFR §§ 170.409 - 170.414. 

The Tribes can use the NTTFI to assist in transportation and project planning, justify expenditures, 

identify transportation needs, maintain existing TTP transportation facilities, and develop 

management systems.

BIA Regional offices maintain, certify, and review the data for their Region’s portion of the 

National Tribal Transportation Facility Inventory database. Tribes can receive training from 

BIADOT to enter their own data updates. 

2. Statutory/Regulatory Requirements. 

25 CFR §§ 170.410 and 170.442 - 170.447. 

3. Guidelines / Procedures. 

BIA maintains the NTTFI. It is important for Tribes to periodically update their inventory 

information to determine eligibility of facilities for TTP funding of improvements. Tribes should 

submit their inventory updates through their BIA Regional Office. 

4. NTTFI Roles and Responsibilities. The following table shows the dates, roles, and responsibilities 

for updating or adding a facility to the NTTFI. 
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Updating or Adding a Facility to the NTTFI

Program Activity /

Process

Authority /

Reference

Frequency /

Due Date

Responsible

Party

BIA Regional Offices provide Tribe a copy 

of the Tribe’s own NTTFI data.

25 CFR § 

170.444(a)(1)

Annually –

By December 31st

BIA 

Regional 

Office

Review the provided data and enter all 

changes/updates into the NTTFI database. 

Submittals that add a facility to the NTTFI 

must include all required attachments (see 

25 CFR § 170.446) and authorizing 

resolutions or similar official 

authorizations.

25 CFR § 

170.444(a)(2) 

and 

25 CFR § 

170.444(b)(1) 

Annually –

Prior to March 15 

(No due date for 

updating a facility 

already in the 

NTTFI).

Tribe (unless 

delegated to 

BIA through 

RSA)

Review Tribe initial submission; return 

errors or omissions to Tribe.

If no errors or omissions are found, the 

BIA Regional Office validates the data and 

forwards it to BIADOT for review and 

approval.

25 CFR § 

170.444(a)(3) 

and 

25 CFR § 

170.444(b)(2) 

and (3)

Annually –

Prior to May 15 

(No due date for 

updating a facility 

already in the 

NTTFI).

BIA 

Regional 

Office

Updating or Adding a Facility to the NTTFI

Program Activity /

Process

Authority /

Reference

Frequency /

Due Date

Responsible

Party

Correct or complete submissions from 

BIA; enter corrected submission 

electronically in the NTTFI (RIFDS) and 

notify the BIA Regional Office that 

corrections have been uploaded; cc the 

FHWA TC (if Tribe has a TTPA with 

FHWA).

25 CFR § 

170.444(a)(4) 

and 

25 CFR § 

170.444(b)(2)

Annually –

by June 15 (No 

due date for 

updating a facility 

already in the 

NTTFI). 

Tribe (unless 

delegated to 

BIA through 

an RSA)

Certify and submit Tribal NTTFI data 

electronically to BIADOT

25 CFR § 

170.444(a)(5) 

and 25 CFR § 

170.444(b)(2)

Annually –

By July 15

BIA 

Regional 

Office

A Tribe may appeal the rejection of submitted data on a new or existing facility included in the 

NTTFI by filing a written notice of appeal to the Director, BIA, with a copy to the BIA Regional 

Director (see 25 CFR § 170.444(c). 
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4. Resources 

• BIA ITIMS website, including NTTFI and RIFDS information 

https://itims.bia.gov/index.shtml

• BIA NTTFI Coding Guide 

https://itims.bia.gov/document_library/irr_coding_guide.pdf

• Document providing step-by-step process for updating the NTTFI on a route and section basis 

https://itims.bia.gov/document_library/rifds_quickref_guide.pdf

• BIADOT RIFDS training workshops - by BIADOT 

G. Requirements on Tribe’s Use of NTTFI Facilities. See 25 CFR §§ 170.114 through 170.117. 
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VI. Preliminary Engineering - NEPA and Other Environmental 

Requirements 

A. Overview. TTP projects, like all federally-funded projects, must comply with applicable Federal, 

Tribal, State, and local environmental laws, regulations, and policies. Preliminary Engineering for a 

project, including completion of environmental documentation and review, begins after the project has 

been identified in the Tribe’s LRTP and the FHWA-approved TTIP (see Chapter V - Transportation 

Planning). 

B. Authority for Environmental Requirements of the TTP. As outlined in 25 CFR § 170.450, all 

Federal government and Tribal work for the TTP must comply with cultural resource and environmental 

requirements under applicable Federal laws and regulations, including, but not limited to the following:

• 16 U.S.C. § 1531, Endangered Species Act. 

• 16 U.S.C. § 4601, Land and Water Conservation Fund Act (Section 6(f)). 

• 16 U.S.C. §§ 661-667d, Fish and Wildlife Coordination Act.

• 23 U.S.C. § 138, Preservation of Parklands, commonly referred to as 4(f).

• 25 U.S.C. §§ 3001-3013, Native American Graves Protection and Repatriation Act. 

• 33 U.S.C. § 1251, Federal Water Pollution Control Act and Clean Water Act. 

• 42 U.S.C. § 7401, Clean Air Act. 

• 42 U.S.C. § 4321, National Environmental Policy Act. 

• 49 U.S.C. § 303, Preservation of Parklands. 

• 7 U.S.C. § 4201, Farmland Protection Policy Act. 

• 50 CFR § 402, Endangered Species Act regulations. 

• 7 CFR § 658, Farmland Protection Policy Act regulations. 

• 40 CFR § 93, Air Quality Conformity and Priority Procedures for use in Federal-aid Highway and 

Federally-Funded Transit Programs. 

• 23 CFR § 771, Environmental Impact and Related Procedures. 

• 23 CFR § 772, Procedures for Abatement of Highway Traffic Noises and Construction Noises. 

• 23 CFR § 777, Mitigation of Impacts to Wetlands and Natural Habitat.

• 36 CFR § 800, Protection of Historic Properties. 

• 40 CFR §§ 260-271, Resource Conservation and Recovery Act. 

• Applicable Tribal/State laws.

• Other applicable Federal laws and regulations.

C. NEPA. To assist Federal agencies in effectively implementing the environmental policy and “actionforcing” provisions of NEPA, the CEQ issued 40 CFR §§ 1500-1508 Regulations for Implementing the 

Procedural Provisions of the National Environmental Policy Act. The CEQ regulations address the 

basic decisionmaking framework and action-forcing provisions established in NEPA. NEPA 

decisionmaking includes: 

• Use of a systematic and interdisciplinary approach. 

• Appropriate consideration given to environmental, economic, and technical issues. 

• For major Federal actions significantly affecting the environment, inclusion of a detailed statement 

on: 

o Environmental impacts of the proposed action. 

o Adverse impacts that cannot be avoided. 

o Alternatives to the proposed action. 

o Consequences of taking the proposed action. 
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• Consultation with other Federal, State, and local agencies.

• Public involvement.

To fulfill NEPA responsibilities established by the CEQ, FHWA and the DOI issued regulations (23 

CFR § 771 and 43 CFR § 46, respectively) prescribing the policies and procedures for implementing 

NEPA. Additional NEPA requirements and guidance established by FHWA and BIA can be accessed 

at the FHWA Environment webpage, the DOI’s Departmental Manual Part 516 Chapter 10, and BIA’s 

NEPA Guidebook. These requirements/guidance help to ensure possible adverse economic, social, and 

environmental effects are fully considered during project development. All TTP projects must adhere 

to environmental regulations prescribed in 25 CFR § 170.450. However, Tribes will be further directed

by the applicable regulations/guidance of the Agency with which they are working. 

Each TTP project requires a NEPA document that must be completed and approved before the PS&E 

can be approved, before ROW acquisition can occur, and before project construction can start. The 

NEPA document should ideally be completed and approved at approximately 30% - 50% completion 

of a project’s design (see Chapter VII - Preliminary Engineering – Project Package). This is a 

guideline only and is intended to help ensure appropriate environmental commitments are incorporated 

into a project’s final design.

D. Development of the NEPA Document and Approval Authority. The development of the NEPA 

document is undertaken by the Tribe, unless otherwise arranged with FHWA. 

Because the TTP is jointly administered by BIA and FHWA, either BIA or FHWA must be the lead (or 

at least a co-lead) Federal agency for the NEPA process on all TTP-funded projects. Therefore, all TTP 

NEPA documents must be reviewed and approved by the appropriate BIA or FHWA authority. Even 

when a Tribe develops a NEPA document, it does not have approval authority for the document, only 

the lead or co-lead Federal agency(ies) have approval authority. 

When a Tribe is developing a NEPA document, it is recommended that the Tribe prepare and submit to 

the TC the TTP Environmental Checklist/Categorical Exclusion (see Appendix B – Exhibit 6.1).

The FHWA Environmental Toolkit website is at

https://www.environment.fhwa.dot.gov/env_topics/tribal/tribal_consultation_guidelines.aspx

FHWA Tribal Consultation Guidelines are located at 

https://www.environment.fhwa.dot.gov/env_topics/tribal/tribal_consultation_guidelines.aspx

E. Documentation and Processing. NEPA requires that Federal agencies disclose the results of their 

analysis and the effects of project implementation on the environment. The purpose of documenting 

the NEPA process is to provide for complete disclosure to the public; to allow others an opportunity to 

provide input and to comment on proposals, alternatives, and environmental impacts; and to make the 

appropriate information available to decisionmakers to ensure a reasoned choice among alternatives. 

As NEPA is a procedural law, the administrative record provides evidence that the process was 

appropriately followed.

There are three classes of actions under NEPA, which determine how compliance with NEPA is carried 

out and documented depending on the significance of the environmental impacts of the project under 

study. The CEQ regulation at 40 CFR § 1508.27 states that “significantly” requires consideration of 

both context and intensity. Context means that the significance must be analyzed in several contexts 

such as society as a whole, national, affected region, affected interests, and the locality. Significance 

varies with the setting of the proposed action. Both short- and long-term effects are relevant. 

Intensity refers to the severity of the impact. Impacts may be both beneficial and adverse. Among 

other considerations, the following should be considered in evaluating intensity: 
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• Proximity to historic or cultural resources, park lands, prime farmlands, wetlands, wild and 

scenic rivers, or ecologically critical areas; 

• If effects on the quality of the human environment are likely to be highly controversial; 

• Whether the action is related to other actions with individually insignificant but cumulatively 

significant impacts; and 

• Degree to which the action may adversely affect historical resources or endangered or 

threatened species. 

The three classes of actions under NEPA are categorical exclusions, environmental assessments, and 

environmental impact statements. Below is a flow chart for the NEPA process (Figure 9-1) followed 

by a description of each class of NEPA action.

Figure 9-1: NEPA process flowchart

1. Categorical Exclusions. Categorical exclusions are actions which meet the definition contained 

in 40 CFR § 1508.4. These actions are “excluded” from the requirements to prepare either an 

environmental assessment or an environmental impact statement based on experience that the 

actions do not normally individually or cumulatively result in significant impacts. The vast 

majority of TTP funded projects fall under this class of action; however, it is not an exemption of 

NEPA or other environmental requirements. 

The Categorical Exclusions under NEPA at 23 CFR 771.117 governing the use of funds made 

available through title 23 shall apply to all qualifying TTP projects involving the construction or 

Document 

Appropriately

No Significant 

Impacts

Proposed Action

Coordination and 

Analysis

Significant Impact?

Environmental 

Assessment

Significant

impacts

Public Comment

Notice of Intent and 

Scoping Process

Draft EIS

Record of Decision 

Final EIS

Agency Action

Agency 

Action

Finding of No Significant 

Impacts (FONSI)

Unknown

Yes

Categorical 

Exclusion

Agency 

Action

No

Coordination and 

Analysis as needed
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maintenance of roads. See 25 CFR § 170.453. A list of FHWA’s CEs are available at 23 CFR § 

771.117(c) and (d). Based on past experience, these actions have normally been shown to result in 

no significant impacts, however, a record must be established that demonstrates that the action has 

no unusual circumstances as set forth in 23 CFR § 771.117(b). 

Resources:

• CEQ - Regulations for Implementing NEPA: https://www.energy.gov/sites/prod/files/NEPA40CFR1500_1508.pdf

• Forty Most Asked Questions Concerning CEQ’s National Environmental Policy Act 

Regulations: http://energy.gov/nepa/downloads/forty-most-asked-questions-concerning-ceqsnational-environmental-policy-act

2. Environmental Assessments. When the significance of the environmental, social, and economic 

impacts of an action is not clearly established, an EA should be undertaken (40 CFR § 1508.9). 

Some larger and more complicated TTP funded projects may require an EA. Based on the results 

of the EA, then either: 1) a FONSI is issued by the lead Federal agency(ies) if it is determined that 

the preferred alternative will not result in significant impacts (40 CFR § 1508.13); or, 2) an EIS is 

developed if it is determined that the preferred alternative will result in significant impacts. BIA’s 

procedures for EAs/FONSIs are described in 43 CFR § 46 Subpart D and the BIA NEPA 

Guidebook. FHWA’s procedures are in 23 CFR §§ 771.119 and 121, and Chapter 3 of the FLH

PDDM. 

The general EA procedures between the two agencies are very similar. However, one substantial 

difference is the timing of presenting an EA and/or FONSI for public review. BIA issues a notice 

of availability of the EA and FONSI simultaneously for a 30-day public review before moving 

forward with the project. Conversely, the FHWA releases the EA for a 30-day public review, and 

if appropriate, subsequently releases the FONSI. In instances where BIA and the FHWA both have 

an approval decision for an EA/FONSI, the BIA and FHWA environmental specialists will 

coordinate to ensure the public review period meets both agencies’ requirements while 

eliminating/minimizing any extensions of the approval timeline.

Resources:

• CEQ - Regulations for Implementing NEPA:https://www.energy.gov/sites/prod/files/NEPA40CFR1500_1508.pdf

• Forty Most Asked Questions Concerning CEQ’s National Environmental Policy Act 

Regulations: http://energy.gov/nepa/downloads/forty-most-asked-questions-concerning-ceqsnational-environmental-policy-act

• Outline for an EA: see Appendix B - Exhibit 6.2

• Example Notice of Availability & Solicitation of Public Comment: see Appendix B - 

Exhibit 6.3

3. Environmental Impact Statements. NEPA requires Federal agencies to prepare an EIS for major 

Federal actions that significantly affect the quality of the human environment (40 CFR § 1502). 

An EIS is a full-disclosure document and includes consideration of a range of reasonable 

alternatives (one of which must be the no-build alternative), analyzes the potential impacts resulting 

from the alternatives, and demonstrates compliance with other applicable environmental laws and 

Executive Orders. Few TTP funded projects are anticipated to require an EIS. However, BIA’s 

procedures for EISs is at 43 CFR § 46 Subpart E and BIA’s NEPA Guidebook, and FHWA’s are 

at 23 CFR 771 §§ 123-130 and Chapter 3 of FLH’s PDDM.
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Resources:

• CEQ - Regulations for Implementing NEPA: https://www.energy.gov/sites/prod/files/NEPA40CFR1500_1508.pdf

• Forty Most Asked Questions Concerning CEQ’s National Environmental Policy Act 

Regulations: http://energy.gov/nepa/downloads/forty-most-asked-questions-concerning-ceqsnational-environmental-policy-act

4. Administrative Record. The administrative record is a fundamental component of the NEPA 

project decisionmaking and documentation process. It is intended to provide evidence that the 

agency’s decision was derived in accordance with NEPA and is in compliance with other 

requirements. The administrative record consists of the NEPA documents and other documentation 

that supports or is referenced in them, such as public-hearing transcripts, correspondence, and 

studies/evaluations/technical reports. It includes e-mail, meeting minutes, and information that 

support the facts and decisions made during the NEPA process, such as purpose and need, 

alternatives development, impact analysis, public involvement, and interagency coordination. The 

administrative record should fully reflect the deliberative process that the agency took to reach its 

decision.

The Tribe shall retain project records and design documents for a minimum of 3 years following 

completion of the project construction (25 CFR § 900.130).

Resources:

• AASHTO Practitioner Handbook - Maintaining a Project File and Preparing an 

Administrative Record for a NEPA Study:https://environment.transportation.org/wpcontent/uploads/2021/05/ph01-2.pdf 

• PDDM Chapter 3: https://highways.dot.gov/federal-lands/pddm

F. Other Environmental Laws and Requirements. The Tribe, in coordination with FHWA/BIA, 

manages the NEPA project-development and decisionmaking process as an “umbrella” under which all 

applicable environmental laws, Executive Orders, and regulations are considered and addressed prior 

to the final project decision and document approval. The cultural resource and environmental 

requirements for the TTP are listed in 25 CFR § 170.450 and depicted below in Figure 9-2. These are 

environmental laws that are commonly applicable during the NEPA process, but others may be 

applicable as well. Depending on the nature of the action, it is best to plan all levels of NEPA 

documentation to run parallel with requirements of other applicable environmental laws, regulations, 

and requirements. To the extent possible, these other compliance actions should be completed by the 

end of the NEPA process (CE, FONSI, or ROD). Information, conclusions and commitments of the 

agency related to these compliance actions will be discussed in the NEPA document.
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Figure 9-2: Applicable environmental laws for TTP-funded actions.

As noted above, the NEPA process involves compliance with a number of additional environmental 

laws, regulations, and requirements. The following highlights some of the environmental laws and 

requirements that regularly come into play in transportation projects. For a more detailed discussion 

on other additional environmental laws and requirements, see the PDDM Chapter 3:

https://highways.dot.gov/federal-lands/pddm

1. Section 4(f). Section 4(f) refers to the original section in the U.S. Department of Transportation 

Act of 1966 that provides protection for publicly owned parks, recreational areas, wildlife and 

waterfowl refuges, and public or private historical sites from use by transportation projects. The 

law, now codified in 49 USC § 303 and 23 USC § 138, is implemented by FHWA/FTA through 

regulation (23 CFR § 774).

If a project proposes to use a property protected by Section 4(f), FHWA must either determine that 

impacts are de minimis or prepare a Programmatic or Individual Section 4(f) evaluation to 

determine that no feasible and prudent avoidance alternatives exist. FHWA, with assistance from 

the Tribe/BIA, is ultimately responsible for making all decisions related to Section 4(f) compliance. 

These decisions include whether Section 4(f) applies to a property, whether a use would occur, 

whether a de minimis impact determination may be made, what each alternative’s impacts will be 

on Section 4(f) properties, and whether the law allows the selection of a particular alternative that 

uses 4(f) property after the appropriate officials with jurisdiction have been consulted.

Currently, BIA cannot make Section 4(f) determinations for their TTP projects, only an agency of 

the U.S. Department of Transportation can. However, in an effort to streamline compliance with 

Section 4(f) within BIA’s TTP projects, both agencies are working together to identify possible 

avenues for BIA to independently make Section 4(f) determinations.

• 42 USC §§ 4321-4347, National Environmental Policy Act

• 23 CFR § 771 Environmental Impact and Related 

Procedures

• 16 USC § 1531-1544, Endangered Species Act

• 50 CFR § 402, Endangered Species Act regulations

• 16 USC §§ 460l-4, Land and Water Conservation Fund Act 

(Section 6(f))

• 16 USC §§ 661-667d, Fish and Wildlife Coordination Act

• 16 USC §§ 470-470x-6 National Historic Preservation Act

• 16 USC §§ 470aa-470mm Archaeological Resource 

Protection Act

• 36 CFR § 800 Protection of Historic Properties

• 16 USC §§ 1451-1466 Coastal Zone Management Act

• 25 USC §§ 3001-1013 Native American Graves Protection 

and Repatriation Act

• 33 USC §§ 1251-1387 Federal Water 

Pollution Control Act

• 42 USC §§ 7401-7671q Clean Air Act

• 7 USC §§ 4201-4209 Farmland Protection Policy Act

• 7 CFR § 658 Farmland Protection Policy Act regulations

• 42 USC §§ 6901-6992k Resource Conservation and 

Recovery Act

• 40 CFR §§ 260-271 Resource Conservation and 

Recovery Act

• 23 USC § 138 Preservation of Parklands (Section 4(f)) 

• 49 USC § 303 Preservation of Parklands (Section 4(f))

• 23 CFR § 774 Parks, Recreation Areas, Wildlife and 

Waterfowl Refuges, and Historic Sites (Section 4(f))

• 23 CFR § 772 Procedures for Abatement of Highway 

Traffic Noises and Construction Noises

• 23 CFR § 777 Mitigation of Impacts to Wetlands and 

Natural Habitat 

• 40 CFR § 93 Air Quality Conformity and Priority 

Procedures for use in Federal-aid Highway and 

Federally Funded Transit Programs

• Applicable Tribal/State laws

• Other applicable Federal laws and regulations
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Resources:

• FHWA Section 4(f) Program Overview: http://environment.fhwa.dot.gov/4f/index.asp

• FHWA Section 4(f) Policy Paper: http://environment.fhwa.dot.gov/4f/4fpolicy.asp

• PDDM Chapter 3: https://highways.dot.gov/federal-lands/pddm

2. Section 106 of the National Historic Preservation Act. Section 106 of the National Historic 

Preservation Act (NHPA) of 1966, as amended, requires Federal agencies to take into account the 

effects of their actions on historic properties and to afford the Advisory Council on Historic 

Preservation (ACHP) a reasonable opportunity to comment. The historical preservation review 

process mandated by Section 106 is outlined in 36 CFR § 800. Section 106 requires Federal

agencies to consult with the State Historic Preservation Office (SHPO) and/or Tribal Historic 

Preservation Office (THPO), property owners, local governments, and other parties when a Federal

undertaking may affect historic properties that are on or are eligible for inclusion in the National 

Register of Historic Places. In certain cases, the ACHP may be invited to participate in the 

consultation process. 

The Tribe is responsible for ensuring appropriate surveys and reports are completed in compliance 

with the NHPA. Early coordination with the FHWA/BIA Environmental Specialist is 

recommended to ensure the appropriate level of study and any appropriate consultation by the lead 

Federal agency is undertaken. Also, any reports should be reviewed by the lead Federal agency 

prior to being finalized. The lead Federal agency is typically responsible for consultation with the 

SHPO and/or THPO. 

Resources:

• FHWA Historic Preservation Website: http://environment.fhwa.dot.gov/histpres/index.asp

• Section 106 Applicant Toolkit: https://www.achp.gov/digital-library-section-106-

landing/section-106-applicant-toolkit

• PDDM Chapter 3: https://highways.dot.gov/federal-lands/pddm

3. Section 7 of the Endangered Species Act of 1973. The Endangered Species Act (ESA), codified 

in 16 USC § 1531 and implemented in 50 CFR § 402, provides for the conservation of ecosystems 

upon which threatened and endangered species of fish, wildlife, and plants depend. The USFWS 

and the NMFS, referred to here as the Services, share responsibility for administration of the ESA. 

Section 7 of the ESA requires Federal agencies to ensure that any action authorized, funded, or 

carried out by them is not likely to jeopardize the continued existence of listed species or to 

adversely modify their critical habitat.

If the lead Federal agency (or joint lead agencies) finds that the project will have “no effect” on 

listed species or designated critical habitat, consultation with the Service(s) is not required. If they 

find that the project “may affect, but not likely to adversely affect” listed species or modify 

designated critical habitat, they must conduct informal consultation with the appropriate Service(s). 

The Service(s) must concur with this finding in writing to conclude the informal consultation 

process. Formal consultation is initiated by the Federal lead agency(ies) when a project “may 

affect, likely to adversely affect” listed species or modify designated critical habitat. 

At the conclusion of the formal consultation process, the Service(s) will issue a biological opinion. 

The Tribe is responsible for ensuring appropriate surveys and reports (a Biological Assessment is 

required for informal and formal consultation) are completed in compliance with the ESA. Early 
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coordination with the FHWA/BIA Environmental Specialist is recommended to ensure the 

appropriate level of study and any appropriate consultation by the lead Federal agency is 

undertaken. Also, any reports should be reviewed by the lead Federal agency prior to being 

finalized. The lead Federal agency is typically responsible for consultation with the Services on 

“may affect...” determinations.

Resources:

• FHWA ESA Webtool: http://www.environment.fhwa.dot.gov/esawebtool

• Endangered Species Section 7 Handbook: 

https://www.fws.gov/ENDANGERED/esa-library/pdf/esa_section7_handbook.pdf

4. Permits. 

Acquisition of a number of potential Federal, Tribal, State, and local permits may be needed before 

construction of a proposed project can be initiated. Examples include Section 401, 402, and 404 

permits of the Clean Water Act, floodplain permit, fish habitat permits, Coastal Zone Management 

Act permit, US Coast Guard Section 9 permit, etc. The Tribe is responsible for ensuring permit 

acquisition. 

Resources:

• Wetlands and Section 401 Certification Fact Sheet:

https://archive.epa.gov/water/archive/web/html/fact24.html

• NPDES Website: https://www.epa.gov/npdes

• Overview of Section 404 Permitting: http://water.epa.gov/lawsregs/guidance/cwa/dredgdis
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VII. Preliminary Engineering – Project Package

A. Overview. Preliminary Engineering begins after the project has been identified in the Tribe’s LRTP

and the FHWA-approved TTIP (see Chapter V - Transportation Planning). 

Preliminary Engineering for a project includes completion of the NEPA document. environmental 

review, and environmental permits (see Chapter VI - Preliminary Engineering - NEPA and Other 

Environmental Requirements), development of the project package, acquisition of right-of-way (see

Chapter VIII - Preliminary Engineering - Right-of-Way (ROW), and advertisement and 

procurement of the project’s construction contract (see Chapter IX- Procurement, Construction Bid 

Advertisement and Award). 

The Tribe is responsible for developing and compiling project packages (25 CFR §§ 170.460 and 

170.461). A project package includes all the construction details, provisions, permits, agreements, 

conditions, and certifications required to administer a construction project. Included in the project 

package are the PS&E, approved by the Tribe, and any FHWA-approved design exceptions. Approval 

of design exceptions and ensuring complete project packages are part of FHWA’s stewardship and 

oversight responsibilities under the TTP. Additionally, Tribes may request FHWA’s technical 

assistance during development of the project package.

B. Ice Roads. Ice roads may be placed on the NTTFI pursuant to 25 CFR §§ 170.5 and 170.117.

Developing and operating an ice road has inherent risks. To minimize and mitigate the risks, Tribes 

should follow the best available references. Appendix B - Exhibit 7.1 - Ice Road Information can be 

used as an available reference when preparing to develop and operate an ice road. It contains 

information compiled from three different sources:

• BEST PRACTICE for Building and Working Safely on Ice Covers in Alberta, January 2013

• GUIDELINES FOR SAFE ICE CONSTRUCTION 2015, Northwest Territories Transportation

• U.S. Army Cold Regions Research & Engineering Laboratory – Safety on Floating Ice Sheets

It is incumbent upon the Tribe to review and apply the best available references before opening an ice 

road to the public. Records of ice thickness and condition should be maintained in the Tribal files. 

The Tribal files should also identify the NTTFI numbers and sections that make up the ice road. 

An example Ice Inspection Form that Tribes may use to record ice thicknesses and condition is located 

on the last two pages of Exhibit 7.1 - Ice Road Information in Appendix B. 

C. The PS&E. Development of the PS&E includes design of the facility, and may also include performing 

a topographic and right-of-way (land ownership) survey of the project corridor, geotechnical and 

hydraulic field reconnaissance and analysis, coordination with utility companies, and acquiring rightof-way. The PS&E is also called the “PS&E package” in 25 CFR Part 170 and the TTPA. 

1. Resources to develop the PS&E. A Tribe can develop the PS&E in-house, or contract the service 

out to an engineering consultant, or use the services of a Federal, State or local agency or 

governments through a project agreement. 

The TC should provide information to the Tribe to help the Tribe decide which resources are 

available and appropriate to use for developing the PS&E. 

If the Tribe decides to contract a consultant to develop the PS&E, it is important that the Tribe 

writes a good SOW which defines in detail what the consultant must design and submit to the Tribe, 

including deliverables, due dates and period of performance. The SOW is written prior to 

solicitation in hiring a consultant, and becomes an important part of the contract with the consultant. 

A well written, specific SOW will help save the Tribe time and money. 
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2. Design Standards. TTP funded projects are required to follow the design standards listed in 25 

CFR Part 170 Appendix B to Subpart D. Other design standards may be used if submitted to and 

approved by FHWA. See 25 CFR §170.454. 

This design standards requirement applies to seasonal as well as non-seasonal transportation routes

(see 25 CFR § 170.117). A “Seasonal Transportation Route” is defined in 25 CFR § 170.5, and 

includes snowmobile trails, ice roads, and overland winter roads. 

The MUTCD is included in the design standards listed in 25 CFR Part 170 Appendix B to Subpart 

D. The MUTCD 2009 Edition is at https://mutcd.fhwa.dot.gov/kno_2009r1r2.htm 

Here are some important questions and answers (Q and As) on the MUTCD: 

Q: Are dual language signs permitted on public roads? 

A: No. The MUTCD does not include provisions permitting dual language signs on public roads.

Q: What is the MUTCD?

A: The MUTCD contains the national standards governing all traffic control devices. All public 

agencies, Tribes, and owners of private roads that are open to public travel across the nation 

rely on the MUTCD to bring uniformity to the roadway. The MUTCD plays a critical role in 

improving safety and mobility of all road users. 

Q: Is the MUTCD law?

A: Yes. The MUTCD is the law governing all traffic control devices. Non-compliance with the 

MUTCD ultimately can result in the loss of Federal-aid funds as well as in a significant increase 

in tort liability.

Q: Why is compliance with the MUTCD important?

A: Uniformity of traffic control devices is critical in highway safety and mobility, as well as 

reducing the purchase and maintenance costs of traffic control devices for public agencies, 

Tribes, and manufacturers. The success of the MUTCD depends on nationwide acceptance 

and application of the MUTCD, as well as extensive participation by the practitioners in 

developing and evaluating the content of the MUTCD. 

Q: How is the MUTCD updated?

A: The FHWA has established a sound process to include new devices and applications in the 

MUTCD. The process involves the Federal Register rulemaking activity, which encourages 

public involvement. Any interested person, Tribe, or organization may provide input to the 

rulemaking activity by submitting comments to the docket. The process encourages innovation 

and flexibility while maintaining uniformity. Input from practitioners and all other 

stakeholders is critical in keeping the MUTCD current and relevant.

Conformance with the project scope and the TTIP. Development of the PS&E for a 

transportation project should be based on the project scope defined in pre-project planning, and as 

shown on the FHWA-approved TTIP (see Chapter V - Transportation Planning). 

3. Recommended best practices for project design. The project design that goes into the PS&E 

should address these key objectives:

• Improve safety for all users,

• Promote project design choices that are consistent with Tribal transportation plan and policies,

• Compatible with the NEPA analysis, environmental consultations and permits for the project,

• Provide facility designs that meet the functional and operational goals established by the project 

purpose and need in the NEPA process, 

• Provide accessibility for people with disabilities,
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• Compatible with other transportation modes, facilities and land uses,

• Cost effective to ensure value returned, and

• The project is sensitive to the local context and meets the needs of the people it serves.

The need for early identification of issues and alternatives is important. Before design begins, the 

Tribe and all stakeholders need to identify and agree on what type of facility is desired and what 

work will be included in the project. In addition, community values, natural, historic, and cultural 

resources should be fully considered throughout the design process. The Tribe is responsible for 

making sure that the key objectives for design, as listed above, are met. 

4. Recommended PS&E design phases. There is nothing in regulations or law requiring a Tribe to 

develop the PS&E at intermediate design phases (for example, 30%, 70%), or to submit 

intermediate PS&Es for review or approval. A Tribe is only required to submit a final PS&E prior 

to project construction. However, development and Tribal review of a PS&E at certain design 

phases is a good practice that Tribes are encouraged to implement. 

A good guideline for development and Tribal review of PSE packages is at 30/70/95% design 

phases, but these should remain flexible and adjusted as appropriate for a particular project.

Recommended design phases are presented in the FLH PDDM, Section 9.6.3.

C. Design Exceptions. A design exception is any deviation from the approved design standards for a 

project. The design exception process is addressed by 25 CFR §§ 170.456 and 170.457. 

The Tribe submits a design exception request to the TC. A Tribe should submit design exception 

requests early on in the development of the PS&E. All design exceptions must be submitted by the 

Tribe before the licensed civil engineer certifies (seals) the project plans.

The FHWA Field Operations Manager reviews the design exception request and recommends 

approval/denial to the FHWA Director, within 30 days of the TC’s receipt of the design exception 

request from a Tribe. If the road with the requested design exception is under BIA ownership, BIA 

will review, recommend, and concur with as appropriate, the design exception request.

Design exception requests submitted by a Tribe shall include the following written documentation from 

a State registered Civil Engineer: supporting data, sketches, details, and justification based on 

engineering analysis. Also, it is recommended that the form in Appendix B - Exhibit 7.2 - Highway 

Design Standards Certification be completed and submitted with the design exception request. 

When deciding whether or not to approve a design exception for a project, FHWA will consider the 

following project factors:

• The effect the design exception will have on the project’s service and safety benefits;

• Any cost savings created by the design exception; 

• The compatibility of the design exception with adjacent features on the project; and

• The effect the design exception will have on the time before reconstruction of the project is 

necessary due to changed conditions or transportation demands. 

Design exceptions may be granted for: 

• Experimental features on projects, and 

• Projects where conditions warrant that exceptions be made. 

D. Review of PS&Es by FHWA. FHWA does not approve the PS&E. The TC reviews the project 

package for completeness and only in enough detail to be sufficiently familiar with the project to 

conduct meaningful construction reviews during and at completion of construction. The TC informs 
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the Tribe whether the project package is complete or not. If not complete, the TC identifies missing 

components and Tribe resubmits package. 

Although the TC does not conduct a detailed review of the project package, if a design deficiency that 

may jeopardize public health and safety is identified, the TC will discuss the deficiency with the FHWA 

Field Operations Manager, then notify the Tribe of the design deficiency and request that it be promptly 

resolved. 

If a Tribe requests FHWA to perform a complete review of a PS&E, FHWA reserves the right to decline 

the request, or establish a way for the Tribe to provide payment for this service through a contract or 

project agreement with FHWA. 

E. Preparation and Submittal of the Final Project Package

1. Tribal approval of the PS&E. 23 U.S.C. § 202(b)(5) allows an Indian tribal government may 

approve plans, specifications, and estimates and commence road and bridge construction with funds 

made available from the tribal transportation program through a contract or agreement under the 

Indian Self-Determination and Education Assistance ActThe following requirement must be met 

by the Tribal government when approving a PS&E. 

• A licensed civil engineer (licensed in the State where the project is located) must certify (seal) 

on the project plans and specifications that these meet applicable health and safety standards

according to 25 CFR § 170.461. 

2. Submittal of the Final Project Package. The Tribe shall submit the project package to the TC 

before the start of project construction (25 CFR § 170.461). The final project package shall include 

the following (25 CFR §§ 170.460 and 170.461): 

• Approved PS&E (Approval means stamped by a professional engineer registered in the State

where the project is located.)

• Assurance that the construction will meet or exceed applicable health and safety standards

• A Tribal resolution or other authorized document supporting the project.

• Certification of the required right-of-way, easement, or public taking documentation 

clearances. Tribes may use the optional Right-of-Way Certification Letter Template in 

Appendix B – Exhibit 7.4. 

• Required environmental, archeological, and cultural clearances. 

• FHWA-approved Design Exceptions, if used in the plans. 

• Tribe’s Certification on Public Authority Review (see 25 CFR § 170.5 for definition of 

public authority). The Tribe must certify in writing to the FHWA Administrator, prior to 

soliciting bids for a project, that the Tribe gave the public authority an opportunity for a 30-

day review and comment on the PS&E (when the PS&E was between 70% and 95% complete),

the Tribe addressed all comments, and the Tribe did not receive any written comments from 

the public authority that prevent the Tribe from proceeding with the project (see the TTPA - 

Article III). This is required on those facilities owned or maintained by a public authority 

other than the Tribe or BIA. 

Recommended additional items include:

• The PS&E Certification Checklist (See Appendix B - Exhibit 7.3). 

• Utility agreements.
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• If the project includes a facility maintained by a Public Authority other than BIA or a Tribe, 

then the Tribe should include an agreement between the public authority and the Tribe that 

delineates the roles and responsibilities of the two entities for the development, construction, 

and continued maintenance of the project after construction. 

F. PS&E Resources.

• The FLH PDDM at https://highways.dot.gov/federal-lands/pddm 

• FHWA - Standard Specifications for Construction of Roads and Bridges on Federal Highway 

Projects, FP-14 at https://highways.dot.gov/federal-lands/specs 

• FLH supplemental specifications at https://highways.dot.gov/federal-lands/specs

• AASHTO - A Policy on Geometric Design of Highways and Streets, 7th Edition 2018 (the “Green 

Book”) available for purchase at https://store.transportation.org/item/collectiondetail/180

• AASHTO - Guidelines for Geometric Design of Low-Volume Roads, 2nd Edition, 2019, Single User 

PDF available for purchase at https://store.transportation.org/Item/PublicationDetail?ID=4192

• AASHTO Roadside Design Guide, 4th Edition, 2011 available for purchase at 

https://store.transportation.org/search?q=roadside%20design%20guide&categoryCode=&index=s

toreitem&type=All&pageNum=1&pageSize=10&sortBy=Relevance&itemType=All

• AASHTO A Guide for Transportation Landscape and Environmental Design. 

• AASHTO Guide for Selecting, Locating and Designing Traffic Barriers, latest edition.

• AASHTO Standard Specifications for Highway Bridges, latest edition.

• MUTCD 2009 Edition, DOT, FHWA, 2009 at https://mutcd.fhwa.dot.gov/kno_2009r1r2.htm

• FHWA Utilities Guidelines at https://www.fhwa.dot.gov/real_estate/right-of-way/utility_rights-ofway/index.cfm

• FHWA Right-Of-Way Guidelines at https://www.fhwa.dot.gov/real_estate/index.cfm

• FLH Right-Of-Way and Utilities web site at https://highways.dot.gov/federal-lands/rw-util

• FHWA Flexibility in Highway Design at 

http://www.fhwa.dot.gov/environment/publications/flexibility/flexibility.pdf

• FHWA Roadside Improvements for Local Roads and Streets at 

http://www.fhwa.dot.gov/publications/research/safety/00002/00002.pdf

• 23 CFR § 625, Design Standards for Highways at 

http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr0625.htm

• 23 CFR § 630, Preconstruction Procedures at 

http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr0630c.htm

• 23 CFR § 633, Required Contract Provisions at 

http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr0633a.htm

• 23 CFR § 635, Construction and Maintenance at 

http://www.fhwa.dot.gov/construction/contracts/930721.cfm

• 23 CFR § 645, Utilities at http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr0645a.htm

• 23 CFR § 646, Railroads at http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr0646a.htm

• 23 U.S.C. § 106, PS&E at http://www.fhwa.dot.gov/map21/docs/title23usc.pdf
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• 23 U.S.C. § 109, Standards at http://www.fhwa.dot.gov/map21/docs/title23usc.pdf 

• FHWA Hydraulic Design Series (HDS-5), "Hydraulic Design of Highway Culverts, 3rd Edition" at 

http://www.fhwa.dot.gov/engineering/hydraulics/library_arc.cfm?pub_number=7&id=13

• FLH Standard Drawings and Detail Drawings at https://highways.dot.gov/federal-lands/design

• Geopak and Microstation information at https://highways.dot.gov/federal-lands/cadd-support

• FHWA-approved State standards.
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VIII. Preliminary Engineering - Right-of-Way (ROW) & Utilities

A. Overview. Preliminary Engineering for a project includes completion of the NEPA document. 

environmental review, and environmental permits (see Chapter VI - Preliminary Engineering - 

NEPA and Other Environmental Requirements), development of the PS&E (see Chapter VII - 

Preliminary Engineering – Project Package), acquisition of right-of-way, utility relocations, and 

advertisement and procurement of the project’s construction contract (see Chapter IX - Procurement, 

Construction Bid Advertisement and Award). 

B. Acquisition of ROW for projects. ROW means real property, and rights therein, that is used for the 

construction, operation, or maintenance of a transportation or related facility. The public right-of-way 

must be wide enough and in the proper location for the proposed transportation project. Acquisition of 

new right-of-way may be necessary.

Right-of-way acquisition can occur only after the project’s NEPA document is completed and approved

(23 CFR § 771.113). 

The Tribe must include a copy of the Certification of right-of-way clearances as part of the project 

package submitted by the Tribe, according to 25 CFR §§ 170.460(c). Tribes may use the optional

Right-of-Way Certification Letter Template in Appendix B – Exhibit 7.4. 

Routine maintenance activities like blading and plowing snow do not require certification of ROW. 

Tribes are responsible for acquiring ROW, including cost appraisals and negotiations with landowners. 

Also, on projects occurring on transportation facilities owned by the State, county, borough or local 

agency, the facility owner may be responsible for acquiring right-of-way and utility relocation needed 

for the project. This will depend on memorandum of understandings or other agreements between the 

Tribe and the facility owner. 

Right-of-way must be obtained and certified before construction of a project can begin. The Tribe must 

provide a copy of the Certification of right-of-way clearances to the TC before construction of the 

project can begin. The TC shall file the copy of the Certification of right-of-way into the Tribe’s folder 

in the TTP database

It is recommended that the Tribe perform the right-of-way research, mapping and acquisition early in

the project design phase to allow the project development and construction to proceed efficiently.

Acquisition of right-of-way or easements may be needed for a proposed project. The need for acquiring 

permanent right-of-way, as well as temporary or specialized easements for driveway approaches, runoff 

ditches, utility relocations, etc., typically depends on: 

• The width and location of the existing public right-of-way. 

• The width and location of the proposed right-of-way needed for the project.

• The types of land ownership that will be affected by acquisition of the proposed project right-ofway.

• Temporary or specialized encroachments that will be needed onto land outside the proposed rightof way. 

If right-of-way or easements need to be acquired for the project, then it will be necessary for the Tribe 

to accomplish the following: plat (map) onto plan sheets the existing and proposed right-of-way and 

easement limits, perform a cost appraisal of the land or rights to be acquired, negotiate the acquisition 

cost and conditions of use with the landowners, and finally acquire the new right-of-way and easements 

from the landowners. 
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C. Types of land ownership. It is important for the Tribe to determine the types of all land ownership 

when attempting to acquire right-of-way from those lands. The type of land ownership determines the 

roles and responsibilities of the parties involved, and the Federal and State laws and regulations that 

apply. Although there are many classifications of Tribal and non-Tribal land, the following are the most 

common: 

• Trust lands - The Federal government holds legal title, has ultimate control over the land, and 

holds the land in trust for the use of a Tribe. The Tribe holds the “beneficial use”, which is the 

right to benefit from (live on, use, profit from) a parcel of land, the legal title to which is held by 

the trustee, in this case the Federal government. Tribal Trust lands are held communally by the 

Tribe, are managed by the Tribal government, and Tribal members share in the enjoyment of the 

entire property without laying claim to individual parcels. The Tribe may not convey or sell Trust 

lands without the consent of the Federal government. Tribes may acquire additional land and have 

it placed in trust, so that it becomes “Trust lands”, with the approval of the Federal government.

“Allotted Trust lands” are Trust lands that are held in trust for the use of individual Tribal people 

(or their heirs). As with Trust lands, the Federal government holds the title, and the individual (or 

heirs) holds the beneficial interest.

All ROW actions involving Trust Lands are required to comply with 25 CFR § 169. 

• Off-Reservation Trust lands – Land that is protected by the Federal government for Indian use. 

After reservations were created, some Tribes and individual Indians were given land to use outside 

of the reservation boundaries. For example, these pieces of land could be religious sites or pieces 

of land allotted to individual Indians.

• “Fee-to-Trust Conversion” lands –These are lands that were originally, historically allotted as 

Tribal Trust lands, but were transferred to fee simple status in the past. Tribes or individual Indians 

can convert fee lands they own or acquire back to Trust lands status by initiating the “Fee-to-Trust 

Conversion” process. 

• Fee (or “Fee Simple”) lands - Fee lands are held by any owner, whether Tribal or non-Tribal. The 

owner may make decisions about land use or sell the land without Federal government permission, 

except when the land is inside the boundaries of an Indian Reservation.

• Fee lands purchased by Tribes - The Tribe acquires legal title under specific statutory authority. 

Fee lands owned by a Tribe outside the boundaries of an Indian Reservation are not subject to legal 

restrictions against alienation or encumbrance, absent any special circumstances. 

• “Fee Restricted” lands – This is a type of fee lands that a Tribe holds legal title to, but there are 

specific Federal government-imposed restrictions on use and/or disposition of the land.

• Native Allotments and “Townsite” lots – These exist only in Alaska. Generally, Native 

Allotments have been acquired by Alaska Natives under the 1906 Native Allotment Act, and 

townsite lots acquired by Alaska Natives under the 1926 Townsite Act. These are the Acts that 

specifically include Alaska Natives who were not included in earlier legislation. ANCSA repealed 

the 1906 Native Allotment Act. Only those Alaska Natives who had applied for their Native 

Allotment before December 18, 1971, would be considered for receiving Native Allotment land. 

Many people with Native allotments and/or townsite lots are uncertain what their ownership really 

means and what limitations and restrictions come as part of that ownership. Natives who acquire 

allotment land or restricted townsite lots from the government have “restricted” land. Owners of 

these restricted lands cannot sell, lease, or otherwise convey their land, or inherited interest in the 

restricted land, without the approval of BIA. Right-of-way acquisition on native allotment lands 

and restricted townsite lots lands requires processing and approval by BIA. 
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D. Statutory/Regulatory Requirements.

• Rights of way over Indian land: 25 CFR § 169 at 

http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title25/25cfr169_main_02.tpl

• Rights of way over fee lands: 42 U.S.C. § 4601 - Uniform Relocation Assistance and Real Property 

Acquisition Policies Act of 1970 (the “Uniform Act”) at

https://www.fhwa.dot.gov/real_estate/uniform_act/index.cfm 

• Right-of-way clearance must be included in the project package: 25 CFR § 170.460(c).

• 25 CFR § 1 at

https://www.bia.gov/sites/bia.gov/files/assets/bia/ots/pdf/idc-018737.pdf

E. Compliance with the Uniform Act (42 U.S.C. § 4601). Any right-of-way work involving land 

acquisition and/or relocation of businesses or people for development of transportation projects must 

conform to the Uniform Act. Requirements of the Uniform Act provide for fair market value to be paid 

for real estate, and reimbursements paid for relocating homeowners/tenants and business owners. 

When acquiring right-of-way, the Uniform Act requires the coordination of any relocation of businesses 

and families required to build the project. In addition, the management and disposition of residue 

parcels and surplus right of way should be tracked and coordinated. 

Right-of-way work needed to develop a TTP project may also include Federal land transfers, control 

of outdoor advertising, acquisition of encroachment permits and temporary construction easements, 

and junkyard control. 

F. Roles, Responsibilities and regulations. Tribes/Consortiums are responsible for acquiring ROW, 

including cost appraisals and negotiations with landowners, and ensuring that utilities are relocated as 

needed for a project, unless indicated otherwise in the following table. 

The following table outlines the Regulations governing acquisition or ROW on the various land types, 

and the roles and responsibilities of Federal and State agencies working with the Tribes/Consortiums 

to accomplish the ROW acquisition. 

Land Type / 

Road 

Ownership

ROW Acquisition

Regulations, and Agency Roles and Responsibilities

Trust Land

All ROW actions involving Trust Lands shall comply with 25 CFR § 169. 

FHWA/BIA: When a Tribe is in the early stages of developing a PS&E for a 

project needing ROW on Trust lands, the TC needs to provide a list of the NTTFI

routes in the project to the BIA Road Engineer and the BIA Realty Office. The 

BIA Region will develop the grant of easement and provide a copy of it to the TC. 

BIA Regional Office: Process right-of-way: review right-of-way applications and 

certifications; approve right-of-way documents; process grants and acquisitions of 

rights-of-way requests for allocated lands; responding to information requests; file 

Affidavit of Completion Forms; Perform custodial functions related to storing 

rights-of-way documents; Conduct ROW appraisal and negotiation; provide TSRs, 

Grants of Easement, and filing ROW documents; reviews and approval. If the 

Tribes decide to conduct an appraisal without utilizing the Office of the Special 

Trustee Appraisal Department, they must follow the Uniform Standards of 

Professional Appraisal Practice.
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Land Type / 

Road 

Ownership

ROW Acquisition

Regulations, and Agency Roles and Responsibilities (cont’d.)

Restricted 

Fee Land

All ROW actions involving fee Lands are required to comply with 42 U.S.C. § 

4601 - Uniform Relocation Assistance and Real Property Acquisition Policies 

Act of 1970 (the “Uniform Act”).

FHWA/BIA: When a Tribe is in the early stages of developing a PS&E for a 

project needing ROW on Restricted Fee lands, the TC needs to provide a list of the 

NTTFI routes in the project to the BIA Road Engineer and the BIA Realty Office. 

The BIA Region will develop the grant of easement and provide a copy of it to the 

TC. 

BIA Regional Office: Process right-of-way: review right-of-way applications 

and certifications; approve right-of-way documents; process grants and 

acquisitions of rights-of-way requests for allocated lands; respond to information 

requests; file Affidavit of Completion Forms; Perform custodial functions related 

to storing rights-of-way documents; Conduct ROW appraisal and negotiation; 

providing TSRs, Grants of Easement, and file ROW documents; reviews and 

approval.

Fee Land

All ROW actions involving fee Lands are required to comply with 42 U.S.C. § 

4601 - Uniform Relocation Assistance and Real Property Acquisition Policies 

Act of 1970 (the “Uniform Act”).

BIA owned 

transportation 

facilities

FHWA/BIA: The BIA Region will develop the grant of easement and provide a 

copy of it to the TC, who will provide it to the Tribe. When a Tribe is in the early 

stages of developing a PS&E for a project that has BIA owned roads, the TC

needs to provide a list of the NTTFI routes in the project to the BIA Regional 

Road Engineer and the BIA Realty Office. 

State Owned 

transportation 

facilities

State DOT: The State may be responsible for acquiring right-of-way and utility 

relocation needed for the project. This will depend on memorandum of 

understandings or other agreements between the Tribe and the owner of the 

transportation facility.

County, 

borough or 

local agency 

owned

transportation 

facilities

County, borough or local agency: The County, borough or local agency may be 

responsible for acquiring right-of-way and utility relocation needed for the 

project. This will depend on memorandum of understandings or other 

agreements between the Tribe and the owner of the transportation facility.
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G. Resources. 

• FHWA right-of-way and real estate website at http://www.fhwa.dot.gov/real_estate/

• FHWA Right-Of-Way Acquisition Guidelines located at

https://www.fhwa.dot.gov/real_estate/uniform_act/acquisition/real_property.cfm

• The Uniform Act at

http://uscode.house.gov/view.xhtml?path=/prelim@title42/chapter61&edition=prelim and 

https://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=rightofw

• FLH Right-Of-Way and Utilities web site at https://highways.dot.gov/federal-lands/rw-util

• Chapter 12, Right of Way and Utilities of the FLH PDDM at

https://highways.dot.gov/federal-lands/pddm/right-way-utilities
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IX. Procurement, Construction Bid Advertisement and Award 

A. Construction Contracts. For TTP funded projects, a Tribe may construct the project using a 

construction contractor, or may construct the project by “force account,” using its own forces and 

equipment (see 25 CFR Appendix A to Subpart B, (b)(24)). The “force account” process is described 

in greater detail in Chapter X - Construction and Construction Engineering. 

The objectives of a Tribe’s construction contract advertisement and bidding process are: to provide 

competition among bidders; to award the contract to the bidder who best meets cost and other criteria 

contained in the Tribe’s Contracting Procedures; and, to provide assurance that the completed project 

will meet all of the standards specified in the contract. 

A contract to perform construction work is between a contractor and the Tribe, not the FHWA or other 

agency. The Tribe pays the contractor directly for successful completion of contracted services.

B. Statutory/Regulatory Requirements. 

• Under 25 U.S.C. § 5307(b), Indian organizations and Indian-owned economic enterprises are 

entitled to a preference, to the greatest extent feasible, in the award of contracts, subcontracts, and 

sub-grants for all work performed under the TTP. 

• The project package must be complete and approved by the appropriate public authority, and a 

copy provided to FHWA, before construction is started on the project (25 CFR §§ 170.460 and 170. 

461). 

• The Tribe must certify in writing to the FHWA Administrator, prior to soliciting bids for a project, 

that the Tribe gave the public authority an opportunity to review and comment on the PS&E, the 

Tribe addressed any issues, and the Tribe received no written comments from the public authority 

that prevent the Tribe from proceeding with the project (TTPA - Article III). NOTE: This is 

required on those facilities owned or maintained by a public authority other than the Tribe or BIA. 

• The Tribe agrees to initiate and complete TTP construction projects in accordance with the 

approved PS&E (TTPA - Article III). 

• Procurement requirements in 25 CFR § 170.606 and 2 CFR §§ 200.318 – 200.326. 

• TTP construction projects: To hire a construction contractor for a project, competitive bidding is 

required by Chapter 2 of title 23 USC, Section 202(a)(10), and 2 CFR § 200.319.

C. Guidelines / Procedures. 

1. Procurement. Each Tribe must have in their files “written” Contracting Procedures according to

2 CFR 200.318 and 2 CFR 200.319, so that the Tribe can perform the contracted programs and 

projects in accordance with the requirements of 25 CFR Part 170. A Tribe may adopt applicable 

FHWA procedures, or develop Tribal procedures which meet or exceed Federal standards. These 

procedures are used for equipment purchasing (lease vs purchase analysis), construction 

(advertising for bids, award, and contraction), architectural/engineering services, etc. 
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2. TTP Transportation Facility Construction Projects. 

a. Competitive bidding. Transportation facility construction contracts funded by the TTP 

require direct recipients or sub-recipients to use bidding methods that ensure effective 

competition. See 2 CFR § 200.319. 

23 USC § 202 Tribal Transportation Program, paragraph (a)(10) COMPETITIVE BIDDING 

states the following: 

“(A) CONSTRUCTION.— 

(i) IN GENERAL.—Subject to clause (ii) and subparagraph (B), construction of each 

project shall be performed by contract awarded by competitive bidding. 

(ii) EXCEPTION.—Clause (i) shall not apply if the Secretary (of Transportation) or the 

Secretary of the Interior affirmatively finds that, under the circumstances relating to the 

project, a different method is in the public interest. 

(B) APPLICABILITY.—Notwithstanding subparagraph (A), section 23 of the Act of June 25, 

1910 (25 U.S.C. § 47) and section 7(b) of the ISDEAA (25 U.S.C. § 5307(b)) shall apply to all 

funds administered by the Secretary of the Interior that are appropriated for the construction 

and improvement of Tribal transportation facilities.”

Example bidding methods may be found in 23 CFR § 635 subpart A. 

A cost analysis will be necessary when adequate price completion is lacking in contract 

modifications or change orders unless price reasonableness can be established on the basis of 

a catalog or market price (2 CFR § 200.323(a)). 

b. Other requirements. 25 CFR § 170.606 lists other legislation and procurement requirements 

that apply to TTP procurement practices. Federal Acquisition Regulation (FAR) clauses are 

not required in contracts for TTP projects, unless the contract is being advertised and awarded 

by a Federal agency, or the activities are to be performed by the Secretary of the Interior.

c. Pre-Advertisement Checklist. The Tribe shall submit documentation to the TC showing that 

all necessary items have been accomplished before advertisement of the project construction 

contract (see 25 CFR § 170.461). An optional form to use is in Appendix B - Exhibit 9.1 – 

TTP Pre-Advertisement Checklist. 

3. Goods and Services Contracts. Contracts for goods and services (engineering and design) must 

comply with, and be in accordance with, procurement requirements in 2 CFR §§ 200.318 – 

200.326). A cost analysis must be performed when the offeror is required to submit the elements 

of his estimated cost, e.g., under professional, consulting, and architectural engineering services 

contracts (see 2 CFR § 200.323(a)). 
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D. Roles and Responsibilities for Procurement, Construction Bid Advertisement and Award. The 

following table summarizes the roles and responsibilities of the Tribe, the TC, and others as applicable.

Roles and Responsibilities for

Procurement, Construction Bid Advertisement and Award 

Program Activity / Process Authority / Reference Responsible Party

Certification of public authority: Before soliciting 

bids for the project, the Tribe must certify in writing 

to the FHWA Administrator that it gave the public 

authority an opportunity to review and comment on 

the PS&E, addressed all comments, and received no 

written comments from the public authority that 

prevent the Tribe from proceeding with the project. 

(NOTE: This is required on those facilities owned or 

maintained by a public authority other than the Tribe 

or BIA).

TTPA–Article III Tribe 

Completion of Construction Project: Agreed to 

complete TTP construction project. TTPA–Article III Tribe

Tribe has Documented Contracting Procedures: 

(for advertising, bidding, awarding and contracting). 2 CFR § 318(a) Tribe 

E. Resources

• Contract Administration Core Curricular Participants’ Manual and Reference Guide 2014, located 

at http://www.fhwa.dot.gov/programadmin/contracts/coretoc.cfm

This document provides guidance to State DOTs on advertising for bids, bid analysis, and awarding 

of contracts. 

• 2 CFR § 200 at http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30465.pdf

• 23 CFR § 635 Subpart A at 

http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title23/23cfr635_main_02.tpl
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X. Construction and Construction Engineering

A. Overview. “Construction” is the building of a project. “Construction Engineering” is the managing

and monitoring of the project’s construction as it proceeds, including construction inspection. 

1. Construction. Tribes have the following options for the construction of a project: 

a. Force Account construction. The Tribe builds the construction project using employees of 

the Tribe (see 25 CFR Appendix A to Subpart B, (b)(24)). This is also known as “in-house” 

construction. When building a project with this method, the Tribe should complete an 

independent in-house cost analysis and compare it to the engineers estimate that accompanies 

the PS&E. This will ensure the fair and reasonableness of the anticipated cost and the accuracy 

of the engineers estimate.

Part of the purpose of the TTP is to contribute to “...employment of Indians and Alaska 

Natives.” FHWA encourages Indian and Alaska Native employment in any and all aspects of 

project construction. The management and monitoring (construction engineering) of the 

construction work may also be done by qualified employees of the Tribe. 

b. Contracted construction. The Tribe contracts out the construction of the project (see Chapter 

IX - Procurement, Construction Bid Advertisement and Award).

2. Construction Engineering. The Tribe is responsible for ensuring that the construction project is 

built in substantial conformance with the approved PS&E, whether the project is being built by a 

contractor or force account crew. 

The Tribe can accomplish the construction engineering, including construction inspection and 

project management, by using qualified in-house employees, or by contracting the service out to 

an engineering consultant, or by using the services of a Federal, State or local agency or 

governments through a project agreement. 

B. Statutory/Regulatory Requirements. 

• All TTP project construction and construction engineering is regulated under 25 CFR §§ 170.470 

- 170.474. 

• Tribes must meet applicable labor standards in accordance with MSHA regulations found in 30 

CFR §§ 1 - 199, Mineral Resources, developed pursuant to the Federal Mine Safety and Health Act 

of 1977 (P.L. 91-173) as amended, and in accordance with the OSHA regulations found in 29 CFR 

§ 1900, Labor - Construction Standards, developed pursuant to the Occupational Safety and Health 

Act of 1970 (P.L. 91-596) as amended. 

• Indian Employment Preference/Tribal Preference/TERO, see 25 CFR §§ 170.910 - 170.917 for 

further information. 

C. Construction Equipment for Force Account Projects. 

1. Purchase of equipment. With prior written approval from FHWA, Tribes may purchase 

construction equipment with TTP funds, to be used for constructing the Tribe’s TTP funded 

projects (see 25 CFR Part 170 Appendix A to Subpart B (b)(49)). 

To purchase the equipment with TTP funds, a Tribe must first provide the TC with a written notice 

showing a lease/purchase cost analysis, which is a comparison of the cost of leasing versus the cost 

of purchasing the equipment (see 25 CFR Part 170 Appendix A to Subpart B (b)(49)(i), and 2 CFR 
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§ 200.318(d)). The costs shown on the lease/purchase cost analysis must include the cost of 

shipping the equipment from the vendor’s location to the equipment work location. 

The written notice shall include the completed form shown in Exhibit 10.6 – Construction 

Equipment Purchase Request Form and also vendors’ quotes that show the same costs used in 

the lease/purchase cost analysis. Vendors’ quotes may be on copies of emails from vendors and/or 

letters on vendors’ letterhead. 

The funding for the equipment must be included in an approved TTIP. 

After written approval is given to the Tribe by the authorized official at FHWA, the Tribe can then 

purchase the construction equipment listed in the written notice using TTP funds. 

2. Purchase of vehicles. A “vehicle” is defined here as FHWA Vehicle Class 1 and 2 (includes cars, 

vans and trucks with a Gross Vehicle Weight Rating up to 10,000 lbs.) for use by the Tribal 

government to meet objectives in their LRTP and activities described in their TIP. Purchases of 

vehicles of this type DO NOT need a “Cost Analysis” or purchase request. 

3. Program income (25 CFR §§ 170.111-112, 23 U.S.C. 202(a)(1), 2 CFR §§ 200.307, and 2 CFR § 

200.313). Tribes may also use the construction equipment (purchased with TTP funds) for nonTTP related activities as long as appropriate rates are charged to the user for the purpose of

recovering costs to maintain, replace and operate the construction equipment. Payments or 

reimbursements collected for the use of this construction equipment are considered restricted 

program income, and must be used for eligible TTP projects and activities. FHWA recommends 

that the income be used to maintain, replace and operate the construction equipment. 

This principle would also apply to construction equipment purchased with TTP funds that the Tribe 

later sells. The income from such sales is considered restricted program income. This does not 

apply to government equipment donated to the Tribe outside of the TTP. 

4. Equipment inventory. Tribes should keep a current and complete inventory of all construction

and maintenance equipment purchased with TTP funds, and provide a courtesy copy to the TC 

upon request. 

5. Surplus or excess Federal government equipment. FHWA can assist Tribes to acquire surplus 

or excess Federal government for use on TTP projects and activities. Information on this service 

is at https://highways.dot.gov/federal-lands/programs-tribal/surplus-excess-property. 

D. Construction Meetings and Reviews.

1. Pre-Construction Conference (also known as a “Construction Kickoff Meeting”). Prior to 

beginning a construction project, the Tribe should hold a pre-construction conference with the 

contractor (if project constructed by a contractor), Tribe’s project construction manager (if project 

constructed by force account crew), and the TOSR (see definition of TOSR in Appendix A - 

Glossary). The Tribe should invite the TC and other key stakeholders, as appropriate. If available, 

TC participates to provide technical assistance as requested by Tribe, and ensures sufficient 

understanding of the project for future construction reviews. 

The purpose of the pre-construction conference is to discuss and review, as applicable, the 

following: 

• PS&E; 

• Delegation of Authority; 

• Roles & responsibilities of the Tribe’s TOSR and inspectors, and the contractor; 

• Administrative Procedures (i.e. Pay requests, Cut-off dates, Change orders, etc.); 

• Key Project Personnel (Project Manager, Contracting Staff, Traffic Control Supervisor, etc.); 
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• Administrative Procedures (i.e. Pay requests, Cut-off dates, Change orders, etc.);

• Unusual site conditions; 

• Contractor’s plan and schedule of operation; 

• Types and adequacy of equipment; 

• Labor requirements; 

• Equal employment opportunity requirements; 

• TERO; 

• Maintenance of traffic and requirements for traffic control; 

• Contractor’s responsibilities for accident prevention; 

• Material sources and testing requirements; 

• Environmental permits and their requirements;

• Tribal archeological concerns; 

• Subcontracting requirements; 

• Safety Meetings; 

• Required contractor submittals; and, 

• Other pertinent items that would result in a better understanding of the job. 

The Tribe should document the meeting, keep minutes, and provide a copy to all key stakeholders 

whether or not they attended the conference. 

2. Construction Project Review. These are formal reviews, usually held at the project construction 

site, with a supplemental meeting as needed at the Tribal and/or construction contractor’s field 

office for review of project construction documents. The on-site part of the review is needed to 

evaluate project activities and the quality and progress of the project’s construction work. 

The TC should attend an on-site visit of a Tribal construction project at least once during its 

construction, or more often as appropriate, such as at critical project milestones. The TC will 

participate in a final inspection for every TTP project completed by a Tribe, and will strive to attend 

the final inspection as scheduled by the Tribe. If the TC cannot attend that scheduled event, the 

TC will schedule a separate inspection to occur shortly thereafter. 

The TC will give the Tribe reasonable advance notice of planned attendance at construction project 

reviews. For projects involving BIA owned facilities, the Tribe will invite a representative of BIA

to attend. Other parties that should attend project construction reviews are the construction 

contractor, the TOSR, the Tribal employee or consultant or government agency personnel serving 

as construction manager, and other key stakeholders. 

The TC will not provide direction or instruction to the Tribe’s construction contractor or any 

subcontractor, or Tribal force account crews, at any time during project construction or during the 

life of the construction contract. If a problem is discovered during an on-site review, The TC will 

promptly notify the TOSR and, if asked, provide technical assistance. 

If a design exception is discovered during a construction review, and the design exception was not 

already approved by FHWA, then the Tribe must submit a design exception request for the design 

exception. The design exception process is described in Chapter VII - Preliminary Engineering 

– Project Package, 

The TC will complete a Construction OTT Trip Inspection Report (see Appendix B - Exhibit 

10.1) during the project site visit and discuss and review it with the TOSR. The TC shall also 

complete a trip report, using the standard OTT format .

The goal of the OTT Trip Inspection Report is to monitor the key risk areas. It identifies the items 

and activities that will be reviewed and documented during each Tribal site visit. The completion 

of the OTT Trip Inspection Report accomplishes the following objectives: 
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• Develops consistency in our project monitoring reviews, including the areas of project status, 

workmanship, as well as documentation and record keeping including change orders and 

continuation of Health and Safety Certifications; 

• Helps ensure the Tribe is preparing to generate and submit a project closeout report in 

accordance with 25 CFR §§ 170.473 and 170.474; and 

• Documents a “mini program review” to assess the general health of the Tribe’s administration 

of the program and inform the annual risk assessment process.

The TC shall also complete a trip report, using the format specified by FHWA, and provide a 

courtesy copy to the Tribe.

The TC files the Project Monitoring Report and Trip Report in the respective Tribe’s folder in the 

official OTT Directory. 

3. Final Inspection. A Final Inspection shall always be conducted for a construction project, and

conducted according to 25 CFR 170.473. The purpose of the final inspection is to determine if a 

project has been completed in reasonable conformity with the PS&E. The final inspection should 

be an on-site visit to the construction project. The FHWA TC is responsible for participating in the 

final inspection.

To ensure issues are addressed appropriately by the responsible party, the final inspection should 

occur before the construction contractor is released from project responsibility (or before force 

account crews are no longer available).

The Tribe’s project manager should schedule the final inspection, and coordinate with the attendees 

on the date. Attendees should include appropriate Tribal officials, public authorities who are 

owners or maintainers of project facilities, FHWA/BIA representative, project construction 

contractors and maintenance personnel. The appropriate representative from BIA should always 

attend the final inspection if there is a BIA owned facility in the project.

The TC will complete a OTT Trip Inspection Report (see Appendix B - Exhibit 10.1) jointly

with the TOSR and the owner of the facility, and also completes a trip report. 

The TC will promptly notify the Tribe of any issues identified during the final inspection, and 

provide technical assistance to address the issues, as requested by the TOSR. 

E. Construction Management. Construction Management (also called Construction Engineering) is the 

ongoing managing/monitoring of a project’s construction work. The Tribe is responsible for ensuring 

that proper construction management takes place throughout the life of the construction project (25 

CFR § 170.471).

The following are recommended Construction Management procedures, regardless of whether the 

construction project is being built by a construction contractor or by the Tribe’s own force account 

crews. These Construction management procedures should also be used by Tribal employees, 

consultants or Federal agencies if they are managing or monitoring the construction. 

The Tribe should establish the TOSR position for each construction project, whether the project is being 

constructed by Tribal force account crews or by a contractor. The TOSR is also known as the “Project 

Manager”, the “Construction Manager” or the “Construction Engineer”. The TOSR is an employee of 

the Tribe or a consultant hired by the Tribe. 

1. Construction Project Files. The TOSR needs to establish and maintain an organized filing system 

for the construction project files. The files should include the project information from the preconstruction stage through the final inspection and project closeout. Well organized and complete 

construction project files are necessary to effectively record construction activities and results, to 
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provide evidence of compliance with laws, regulations, codes, and PS&E requirements, and to 

evidence that Federal government funding is being used properly in the project. 

Good construction project files will help resolve Contractor disputes and contractual claims. This 

calls for a detailed and accurate collection and recording of construction information. The 

documents contained in a file will almost certainly affect the outcome of a dispute. 

Tribes can obtain construction management forms used by FHWA at 

https://highways.dot.gov/federal-lands/construction/forms. Tribes may use these or other forms at 

their option. 

Establishing and maintaining this filing system will ensure compliance with 25 CFR § 170.472, 

which shows the TTP construction records BIA and Tribes must keep and the requirements for 

access. 

a. TOSR project file responsibilities. It is recommended that the TOSR organize and maintain 

the following project files throughout the life of the project construction activity: 

• TOSR Daily Diaries. The TOSR should complete these to document the construction 

operations, progress, meetings, telephone conversations, and problems encountered. Daily 

entries, with signature should be made. If the TOSR is absent from the project, the daily 

entries should be made and signed by the person delegated this responsibility. 

• Inspector’s Daily Reports. The project inspector(s) should prepare a daily report that fully 

documents the construction contractor’s (or force account crew’s) construction operations 

and pay quantities. The TOSR should review and sign the daily report. The TOSR should 

establish a process for reviewing, endorsing, and providing feedback as necessary, on 

construction contractor produced records. Tribes may use the FHWA form at their option 

available at https://highways.dot.gov/federal-lands/construction/forms-wfl/fhwa-1413

• Contractor’s Daily Reports. It is recommended that the TOSR require the construction 

contractor (or force account crews, if being used) to maintain daily records of equipment, 

personnel, and construction operations. If required by the contract, the construction 

contractor’s daily reports should be contractually required to be furnished to the TOSR

within 24 hours following the reporting period. Tribes may use the FHWA form at their 

option available at 

https://highways.dot.gov/sites/fhwa.dot.gov/files/docs/federallands/construction/15746/cdr-1413.pdf

• Material certifications, bills of materials, list of materials and suppliers, and 

fabrication approvals. Prior to beginning work on a construction project, the construction 

contractor (or the project manager of force account construction) should begin submitting 

documentation to the TOSR for materials that are intended for use on the project. 

• Contractor submittals and record log of them. 

• Contractor’s project schedule. 

• Records of payrolls, labor records, and the Davis-Bacon pay list. 

• Testing plan and testing reports.

• Photographs/videos of Project. 

• EEO and TERO requirements. 

• Environmental & other permits. 

• Traffic control. 

• Construction phasing plan. 
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• Access to project (haul roads). 

• Erosion control reports. 

• Progress Payments to Contractor

• Utility Relocations. 

• Right-of-way and property, driveways, etc.

• Waste / Borrow site Agreements. 

• Contract Modifications (CMs). 

• Change Orders. 

• Contractor Claims and dispute resolutions. 

• The original plans, specifications, and engineer’s estimate (the PS&E).

• Project modifications/design changes, including marked up plans showing design changes. 

• Emails and other correspondence.

2. Construction Inspection. An important part of Construction Engineering is performing on-site 

construction inspection throughout the life of the construction project. Construction inspection is 

necessary for the on-going evaluation of project activities and the quality and progress of the 

construction work. 

The Tribe is responsible for ensuring that adequate construction inspection occurs throughout the 

life of the construction project (25 CFR § 170.471). Construction inspection should be performed 

by competent, technically qualified, and experienced inspectors. 

Tribes may use the following forms, handbooks, and manuals at their option:

• FHWA construction inspection forms at

https://highways.dot.gov/federal-lands/construction/forms

• FHWA Contract Inspector (CI) Handbook at https://highways.dot.gov/federallands/construction/ci-handbook

• FLH Field Materials Manual at https://highways.dot.gov/federal-lands/materials/fieldmaterials-manual

Construction inspection includes the following activities. 

a. Quality Assurance/Quality Control (QA/QC) must be performed on all TTP funded projects 

(25 CFR § 170.471). The TOSR should oversee the activities of the construction contractor 

and monitor their work to ensure compliance with the project PS&E.

b. Materials. The TOSR should ensure that all materials being incorporated into the project 

conform to contract requirements. At a minimum, this work should include: 

• Confirming that construction contractor sampling/testing is performed in accordance with 

the sampling/testing frequencies stipulated in the contract and project specifications. 

• Ensuring that the construction contractor’s testing company maintains properly calibrated 

equipment and qualified personnel to perform the required work. 

• Maintaining all materials test results and documents for project records. It is recommended 

that records of all failing test results be supplemented with a follow-up passing test result. 

Any reporting discrepancies. i.e., errors, omissions, or conflicts, should be corrected and 

documented properly. 
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• Receiving and maintaining materials certifications for all manufactured/non-tested 

materials incorporated into the project. 

• Sampling and Testing – Ensuring that all test samples are taken in accordance with the 

approved project standards and contract requirements, and that they are sent to the testing 

company for verification testing and analysis. The Tribe should have independent testing 

done in addition to what the contactor is performing to verify the construction contractor’s 

results. The construction contractor’s testing is for quality control and should be reviewed 

and overseen by the Tribe or their agent. 

c. Quantity Measurements. Before any measurements are taken on a project, the TOSR should 

study the plans, specifications, and special contract requirements to determine what is to be 

measured and how the measurement will be completed. 

d. Sediment and Erosion Control Inspections. The TOSR should ensure that the construction 

contractor provides permanent and temporary erosion control measures in accordance with the 

approved erosion control plan, to minimize erosion and sedimentation during and after 

construction. It is recommended that inspections be carried out at least weekly and/or after 

significant rain events. Some permits required for construction may specify certain inspection, 

monitoring, and reporting requirements. It is the Tribe’s responsibility to ensure that these 

permit requirements are met.

e. Work Site Safety, Worker Safety, and Work Zone Traffic Control. The TOSR is 

responsible for ensuring that day-to-day project inspections are carried out during construction. 

Construction inspections should include a review of project safety. 

As part of the daily inspections, the Tribe should complete a Work Zone Traffic Control 

inspection to assure compliance with the approved project standards. Tribes may use, at their 

option, Traffic Control Report forms at

https://highways.dot.gov/federal-lands/construction/forms-wfl

A Safety Checklist (see Appendix B - Exhibit 10.5) is also included for reference to assist the 

TOSR. This checklist identifies critical elements of work zone traffic safety and OSHA 

conditions that should be checked during an inspection. The checklist should be completed by 

the Tribe at least once during each construction season for that particular project. The checklist 

was developed to minimize subjective reporting and to help determine if the construction 

contractor’s safety plan and policy, plus the approved traffic control plan are being followed 

throughout the duration of the project. Upon request of the Tribe, a FHWA representative may 

be available to take part in the safety review, as resources allow. 

If the TOSR becomes aware of any unsafe condition resulting from the construction 

contractor’s action or inaction or a possible violation of either OSHA standards or reasonable 

standards of construction safety practice, the construction contractor must be immediately 

notified verbally, and followed up with written notice documenting the deficiency. The Tribe 

should be involved in this process and should be copied on any correspondence regarding safety 

issues. 

3. The Construction Schedule. If specified in the construction contract, a construction contractor 

must submit a construction schedule to the TOSR. This construction schedule represents the 

sequence in which the construction contractor plans to perform the contract work. The TOSR 

should review the schedule and work with the construction contractor to verify that the construction 

schedule generally represents the activities that logically occur during the completion of the 

construction project. Updates to the construction schedule should be submitted according to 

requirements set out in the Tribal policy. It is recommended that a construction schedule should 
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also be prepared by the Tribe (or consultant/Federal agency used by the Tribe) for projects being 

constructed with Tribal force account crews.

4. Progress Payments. The payment and invoice process, as well as the construction contractor’s 

obligations, should be emphasized at the preconstruction conference. The construction contractor 

should understand the negative impacts that could result from failure to provide required materials 

and documentation, test reports, and/or certifications. The requirements for the processing of 

progress payments that are included in the contract should be reviewed in detail as well. 

5. Contract Modifications (also called Change Orders). The Tribe is responsible for ensuring that 

construction engineering on tribally-approved change orders is performed according to applicable 

FHWA standards, or Tribal standards that meet or exceed Federal standards.

Only the Professional Engineer of record may change the project’s PS&E during construction. This 

requirement applies regardless of whether the project is being built by a construction contractor or 

by Tribal force account crews. Substantial changes to a construction contract should only be 

completed in coordination with the Tribe and the facility owner. Records of the approved change 

orders, along with documentation of the work involved, such as photographs, diaries, daily reports, 

costs, and time should be maintained by the TOSR to assist in determining final costs and liability. 

A Tribe may use, at their option, FHWA’s contract modification forms at

https://highways.dot.gov/federal-lands/construction/forms-wfl-internal

6. Project Progress Meetings. The TOSR should hold regularly scheduled meetings with the 

construction contractor’s superintendent or representative to discuss the construction contractor’s 

work progress, future plan, schedule of work, and any problems arising on the project. The 

frequency of the meetings should be determined by the complexity of the project. 

7. Weekly/Monthly Status Reports. The TOSR should keep the Tribe and facility owner aware of 

the current state of the project by submitting a project status report to them on a regular basis. 

8. Final Acceptance of the Project, the Project Closeout Report, and Closeout of the Project. 

After the final inspection has been completed, the following actions are needed before the project 

can be closed out (25 CFR §§ 125.473-474). 

a. Final Acceptance of the project. After the final inspection is documented and any issues 

completed, and documentation which supports all activities of the project is completed, the 

facility owner makes final acceptance of the project. The Tribe develops a Letter of 

Acceptance addressed to the construction contractor (see example template in Appendix B -

Exhibit 10.2). In addition, for a BIA owned facility, BIA will write a Letter of Acceptance to 

the Tribe, with a copy to FHWA (see example template in Appendix B - Exhibit 10.3). 

For a facility owned by a city, county, borough or others, a similar Letter of Acceptance 

document from the facility owner needs to be obtained by the Tribe. The Letter of Acceptance 

is a formal acceptance document in which the Tribe, BIA (if BIA owns the facility), or other 

owners of the facility accept and acknowledges that the project has been developed as requested 

or in accordance with the contract document. This releases the construction contractor of any 

further responsibilities of the project.

The Tribe provides the Letter of Acceptance to the construction contractor, and provides copies

to the facility owner and the TC. 

b. Project Closeout Report (25 CFR §§ 170 473 and 170.474). The Tribe submits a project 

closeout report to the TC and the facility owner. The project closeout report is submitted after 

completion of the final inspection and any required construction corrections, and within 120 
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calendar days (4-months) of the final acceptance of the project by the Tribe and the facility 

owner. The closeout documents and report are typically generated by the Tribe’s TOSR. 

The project closeout report is the final accounting of all construction project expenditures and 

is the closing of the financial books for the construction project. 

The project closeout report shall include: 

• A summary of the construction project records to ensure compliance requirement have 

been met,

• A review of the bid item quantities and expenditures to ensure reasonable conformance 

with the PS&E and contract modifications,

• A listing of the construction and construction engineering funds expended to date for the 

project 

• Final as-built plans (as-built drawings), 

• Photographs, 

• Change orders, 

• Final Inspection report, 

• Letter of Acceptance. 

Project information made available during final inspection per 25 CFR §§ 170.472-474 can 

also be used to develop the project closeout report. 

Tribes may, at their option, use the forms located in Appendix B - Exhibit 10.4, and include 

them in the project closeout report.

Once the project is complete, the Tribe must update the National Tribal Transportation Facility 

Inventory to reflect any changes, and submit cost to construct detail sheets to BIADOT.

c. Project Closeout. The Tribe is responsible for ensuring, and the TC is responsible for 

verifying, that the following items are completed:

• Final CM – Actual final item quantities often vary from the original contract item quantities 

and as a result, a final CM may be required in order to close out the contract. The final CM 

will change the item quantities to match the actual amounts incorporated into the project. 

This work should be carried out by the TOSR. 

• The Final Estimate – The final estimate should account for all final quantities, a time count, 

and any assessment of liquidated damages. The final amount of the contract should also be 

identified. 

• Claims – It is recommended that the Tribe, the facility owner (BIA, if owner of the facility), 

and the construction contractor address and resolve any pending claims, which pertain to 

the contract as part of the close-out process. 

• The Tribe should receive and maintain all project records. The records should include 

certifications showing that all of the materials used on the project were in conformance 

with project specifications. The U.S. Department of Transportation recommends that 

project records be maintained for at least 10 years. 

• Verify completion and/or status of environmental commitments.
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F. Roles and Responsibilities for Construction and Construction Engineering. The following table 

summarizes the roles and responsibilities of the Tribe and others as applicable. 

Roles and Responsibilities for

Construction and Construction Engineering

Program Activity / Process Authority / 

Reference

Responsible 

Party

Ensure the project is constructed according to the plans, specifications 

and estimates (PS&E)

25 CFR §§ 

170.470-474

Tribe 

Project construction documentation: Ensure it is current and complete. 25 CFR § 

170.472

Facility Owner and Project Acceptance: It is expected that the 

facility owner was informed of any issues during construction. The 

Tribe should request an “Acceptance” written document or letter for 

the project.

25 CFR § 

170.473 

Tribe and 

Facility 

Owner 

Tribal Project Acceptance: Provide “Letter of Acceptance” to 

contractor if project is accepted; provide a copy to the TC. 

The TC will keep and file a copy of the acceptance letter in the Tribe 

folder on the agency’s TTP database. 

25 CFR § 

170.473 

Tribe

Project closeout report: Tribe finalizes project paperwork. Tribe 

provides a project closeout report to the TC, and to the facility owner 

(or to BIA if BIA is the facility owner). 

25 CFR § 

170.473 

G. Resources.

• FHWA Construction website at http://www.fhwa.dot.gov/construction/

• FLH Construction Manual at https://highways.dot.gov/federal-lands/construction/manual

• FHWA Contract Inspector (CI) Handbook at https://highways.dot.gov/federallands/construction/ci-handbook

• FLH Field Materials Manual at https://highways.dot.gov/federal-lands/materials/fieldmaterials-manual

• Construction management forms used by FHWA at

https://highways.dot.gov/federal-lands/construction/forms

• Inspector’s Daily Report (FHWA form) at https://highways.dot.gov/federallands/construction/forms-wfl/fhwa-1413

• Contractor’s Daily Report (FHWA form) at

https://highways.dot.gov/sites/fhwa.dot.gov/files/docs/federal-lands/construction/15746/cdr1413.pdf

• FHWA’s contract modification forms (optional) at https://highways.dot.gov/federallands/construction/forms-wfl-internal

• Project closeout forms (FHWA form) at https://highways.dot.gov/federal-lands/programstribal/guide/project-closeout

• MUTCD 2009 Edition, DOT, FHWA, 2009 at https://mutcd.fhwa.dot.gov/kno_2009r1r2.htm
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XI. Maintenance of Transportation Facilities 

A. Overview: Maintenance is any action required to preserve and maintain a current transportation facility 

within its right-of-way, so that the facility may be used safely and effectively for its designated purpose. 

The main categories of maintenance are listed here: 

• Preventive Maintenance includes regularly scheduled inspections, and minor repairs.

• Scheduled Maintenance is planned, and results from preventive maintenance inspections. 

• Unscheduled Maintenance is immediate action needed to correct unexpected occurrences which 

impact safety and efficiency of operations.

• Normal Maintenance is the planned, recurring day-to-day care of the facility. 

The intent of maintenance is to bring a current facility as close as possible to its original condition, 

when it was first constructed or improved. Available maintenance funding can be used most effectively 

by accurately identifying the Tribe’s maintenance needs, and then prioritizing those maintenance needs 

to fit the available funding. Maintenance is one of the key building blocks of an effective Asset 

Management program defined in 23 USC 101 § (a)(2) and 25 CFR § 170.5. 

Transportation facilities and assets include travelways with approaches, parking facilities, drainage 

structures, roadside slopes, sidewalks, pathways, rest areas and visitor centers, traffic control devices, 

transit vehicles and road maintenance equipment.

Public safety and the safety of maintenance employees must also be a high priority when carrying out 

maintenance, whether it is routine scheduled maintenance or unscheduled emergency response 

maintenance. It is essential to plan, budget and carry out safety measures in the maintenance work zone 

for the safety of the public and employees. 

B. Types of Tribal Maintenance Funding. There are two types of Federal funds available to Tribes for 

Tribal transportation facility maintenance:

1. TTP funding. This is funding from a Tribe’s annual TTP funds (received as Tribal shares) that 

the Tribe uses for transportation facility maintenance. TTP funds can be used for maintenance 

only on facilities identified in the NTTFI. 

2. BIA Transportation Facility Maintenance Program. This is funding in addition to the Tribes’ 

TTP funds. Congress provides this separate funding for the BIA Transportation Facility 

Maintenance Program in the annual Department of the Interior appropriations acts. Tribes may use 

these funds for maintaining BIA Road System and BIA transportation facilities, and also other 

facilities identified in the NTTFI if permitted by BIA on a case-by-case basis. The BIA

Transportation Facilities Maintenance Handbook for BIA Road Maintenance Program is located at

http://www.nijc.org/pdfs/TTAP/BIA/82 IAM_Handbook - BIA Road Maintenance Program 

minimized (1).pdf 

C. Relationship of Maintenance activities to ERFO repairs. Serious damage by a natural disaster over 

a wide area, or by a catastrophic failure, can possibly be reimbursed from the ERFO program. A 

Tribe’s road maintenance program may perform repairs to restore essential traffic, protect remaining 

facilities and prevent additional damages. 
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D. Statutory / Regulatory Requirements. 

• TTP funds may be used for maintenance in accordance with 23 U.S.C. § 202(a), 25 CFR §§

170.111-112 and 170.805, and 25 CFR Part 170 Appendix to Subpart G. 

• TTP road maintenance requirements are in 25 CFR §§ 170.800 - 170.805. 

• TTP funds can be used for the maintenance of TTP facilities identified in the NTTFI (25 CFR § 

170.800(b)). 

• TTP road maintenance standards according to 25 CFR § 170.803. 

• According to 23 U.S.C. § 202(a)(8) and 25 CFR § 170.800(a), not more than 25 percent of the TTP 

funds allocated to a Tribe or $500,000, whichever is greater, may be expended for the purpose of 

maintenance, including purchase of maintenance equipment. Road sealing is not subject to this 

limitation. 

• BIA Transportation Facility Maintenance Program in 25 FR 170.800(d).

• 25 CFR § 170.802 authorizes a Tribe to perform Tribal transportation facility maintenance.

E. Guidelines / Procedures 

1. TTIP. Maintenance must be included on the FHWA-approved TTIP before TTP funds can be

expended on maintenance (25 CFR 170. § 170.421). 

2. Maintenance activities eligible for TTP funding. See 25 CFR Part 170 Appendix to Subpart G. 

3. Maintenance Standards (see 25 CFR § 170.803). Subject to availability of funding, TTP 

transportation facilities must be maintained in accordance with an applicable standard that meets 

or exceeds the following:

a. The MUTCD. All temporary and permanent signs and other traffic control devices must 

comply with the current edition of the MUTCD. The MUTCD 2009 Edition is located at 

https://mutcd.fhwa.dot.gov/kno_2009r1r2.htm. More information on the MUTCD 

requirements is in this Program Delivery Guide at Chapter VII Preliminary Engineering – 

Project Package, section C.2; 

b. Also, one or more of the following: 

o Appropriate National Association of County Engineers maintenance standards; 

o The AASHTO Maintenance Manual for Roadways and Bridges, 4th Edition, available at 

https://store.transportation.org/publications?/C_MN; or

o Another Tribal, Federal, State, or local government maintenance standard negotiated in an 

ISDEAA road maintenance self- determination contract or self-governance agreement.

4. Maintenance Equipment. Maintenance equipment may be leased, purchased, or acquired by a 

Tribe, according to the following paragraphs a. through d. 

a. Purchase process. Tribes may purchase maintenance equipment with TTP funds, to perform 

TTP funded maintenance on transportation facilities on the NTTFI (see 25 CFR Part 170 

Appendix A to Subpart B (b)(49)(ii)). Before the maintenance equipment is purchased, its cost 

must be identified on the Tribe’s FHWA approved TTIP in accordance with 23 U.S.C. 

202(b)(4)(B). This may require the Tribe to update or amend its TTIP, and submit the 

updated/amended TTIP to FHWA for approval according to Chapter V - Transportation 

Planning. The maintenance equipment cost shown on the TTIP must include the cost of 

shipping the equipment from the vendor’s location to the equipment work location. 

The maintenance equipment purchase price plus shipping cost must be less than the Tribe’s 

TTP maintenance spending limit, which is 25 percent of the Tribe’s annual TTP funds, or 
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$500,000, whichever is greater (see 23 U.S.C. § 202(a)(8) and 25 CFR § 170.800(a)). 

b. Program income (25 CFR §§ 170.111-112, 23 U.S.C. 202(a)(1), 2 CFR §§ 200.307, and 2 

CFR § 200.313). Tribes may also use the maintenance equipment (purchased with TTP funds) 

for non-TTP related activities as long as appropriate rates are charged the user for the purpose 

of recovering costs to maintain, replace and operate the maintenance equipment. Payments or 

reimbursements collected for the use of this maintenance equipment are considered restricted 

program income, and must be used only to maintain, replace and operate the maintenance 

equipment.

This principle would also apply to maintenance equipment purchased with TTP funds that the 

Tribe later sells. The income from such sales is considered restricted program income. This 

does not apply to government equipment donated to the Tribe outside of the TTP. 

c. Equipment inventory. Tribes should keep an up-to-date and complete inventory of all their 

maintenance equipment and construction equipment, and provide a courtesy copy to the TC 

upon request. 

d. Excess or surplus Federal government property. FHWA can assist Tribes to transfer 

surplus and excess Federal government property to the Tribe, for use on TTP projects and 

activities. Information on how Tribes having TTPAs with FHWA can use this service is at

https://highways.dot.gov/federal-lands/programs-tribal/surplus-excess-property. 

F. Resources: 

• AASHTO road and bridge maintenance manuals and maintenance management system manuals. 

• NACE action guides, and other Federal, State, Tribal, or local government maintenance standards

and operations manuals.

• Maintenance related publications of the TRB and other international Transportation Organization 

located on the internet.
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XII. Tribal Transportation Program (TTP) - Bridge Program 

A. Overview. The TTP Bridge Program, as established under 23 U.S.C. 202(d), is a nationwide priority 

program for improving TTP bridges classified as in poor condition, having low load capacity, or 

needing geometric improvements. Funds provided to Tribes from the TTP Bridge Program can be 

used by a Tribe: (a) to carry out any planning, design, engineering, preconstruction, construction, and 

inspection of new or replacement TTP bridges; (b) to replace, rehabilitate, seismically retrofit, paint, 

apply calcium magnesium acetate, sodium acetate/formate, or other environmentally acceptable, 

minimally corrosive anti-icing and deicing composition; or (c) to implement any countermeasure for 

TTP bridges classified as in poor condition, having a low load capacity, or needing geometric 

improvements, including multiple-pipe culverts; or (d) to demolish the old bridge if a bridge is 

replaced under the TTP Bridge Program. The approved TTP Bridge Program funds are transferred to 

a Tribe through an RFA. 

The TTP Bridge Program website is at https://highways.dot.gov/federal-lands/programs-tribal/bridge

Definitions.

• Construction engineering is the supervision, inspection, and other activities required to ensure the 

project construction meets the project’s approved acceptance specifications, including but not 

limited to: additional survey staking functions considered necessary for effective control of the 

construction operations; testing materials incorporated into construction; checking shop drawings; 

and measurements needed for the preparation of pay estimates.

• Fair means when the lowest rating of the 3 NBI items for a bridge (Items 58-Deck, 59-

Superstructure, 60-Substructure) is 5 or 6, the bridge will be classified as Fair. When the rating of 

the NBI item for a culvert is 5 or 6, the culvert will be classified as Fair.

• Good means when the lowest rating of the three NBI items for a bridge is 7, 8, or 9, the bridge will 

be classified as Good. When the rating of the NBI item for a culvert (Item 62-Culvert) is 7, 8, or 

9, the culvert will be classified as Good. 

• National Bridge Inventory (NBI) means an FHWA database containing bridge information and 

inspection data for all highway bridges on public roads, on and off Federal-aid highways, including 

Tribally owned and federally owned bridges, that are subject to the National Bridge Inspection 

Standards. 

• Plans, specifications and estimates (PS&E) means construction drawings, compilation of 

provisions, and construction project cost estimates for the performance of the prescribed scope of 

work. 

• Poor means when the lowest rating of the three NBI items for a bridge is 4, 3, 2, 1, or 0, the bridge 

will be classified as Poor. When the rating of the NBI item for a culvert is 4, 3, 2, 1, or 0, the 

culvert will be classified as Poor.

• Preliminary engineering means planning, survey, design, engineering, and preconstruction 

activities (including archaeological, environmental, and right-of-way activities) related to a specific 

bridge project. 
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• Tribal transportation facility means a public highway, road, bridge, trail, or transit system that is 

located on or provides access to Tribal land and appears on the National Tribal Transportation 

Facility Inventory described in 23 U.S.C. 

B. TTP bridge means a structure located on the NTTFI, including supports, erected over a depression or 

an obstruction, such as water, a highway, or a railway, and having a track or passageway for carrying 

traffic or other moving loads, and having an opening measured along the center of the roadway of more 

than 20 feet between undercopings of abutments or spring lines of arches, or extreme ends of the 

openings for multiple boxes; it may also include multiple pipes, where the clear distance between 

openings is less than half of the smaller contiguous opening. 

C. Statutory/Regulatory Requirements. 

• The Highway Bill authorizes distinct and separate funds for the replacement or rehabilitation of 

poor and fair condition bridges. 

• The TTP Bridge Program is authorized and defined under 25 CFR §§ 170.510-512, 23 U.S.C. § 

202(d), and set forth in 23 CFR § 661. 

• 23 CFR § 661 - TTP Bridge Program at 

http://www.gpo.gov/fdsys/pkg/CFR-2011-title23-vol1/pdf/CFR-2011-title23-vol1-part661.pdf

D. Guidelines/Procedures.

1. Eligible activities for TTP Bridge Program funds (23 CFR § 661.15). 

TTP Bridge Program funds can be used: (a) to carry out any planning, design, engineering, 

preconstruction, construction, and inspection of new or replacement TTP bridges; (b) to replace, 

rehabilitate, seismically retrofit, paint, apply calcium magnesium acetate, sodium acetate/formate, 

or other environmentally acceptable, minimally corrosive anti-icing and deicing composition; or 

(c) to implement any countermeasure for TTP bridges classified as in poor condition, having a low 

load capacity, or needing geometric improvements, including multiple-pipe culverts; or (d) to 

demolish the old bridge if a bridge is replaced under the TTP Bridge Program. 

2. Criteria for bridge eligibility. Bridge eligibility requires the following (23 CFR § 661.17): 

 (a) For bridge replacement or rehabilitation, TTP bridges are required to meet the following: 

(1) have an opening of 20 feet or more; 

(2) be classified as a Tribal transportation facility;

(3) be classified as in poor condition, have low load capacity, or need highway geometric 

improvements; 

 (4) be recorded in the NBI maintained by FHWA. 

(b) For new bridge construction, TTP bridges are required to meet the following: 

 (1) be classified as a Tribal transportation facility;

(2) be a public bridge with opening of 20 feet or more, and recorded in the NBI after project 

completion.
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3. Funding limitations on an individual TTP bridge project (23 CFR § 661.37):

a. BIA and tribally owned TTP bridges are eligible for 100 percent TTP Bridge Program funding 

for construction, with a $150,000 maximum limit for PE. 

b. Non-BIA owned TTP bridges are eligible for up to 80 percent TTP Bridge Program funding, 

with a $150,000 maximum limit for PE and $1,000,000 maximum limit for construction. The 

minimum 20 percent local match will need to be identified in the application package. TTP 

construction funds received by a Tribe may be used as the local match. 

c. Requests for additional funds above the referenced funding limitations may be submitted along 

with proper justification to FLH/OTT for consideration. The request will be considered on a 

case-by-case basis. There is no guarantee for the approval of the request for additional funds. 

d. All applications will be ranked and prioritized based on: 

(1) Bridge condition with bridges in poor condition, having precedence over bridges in fair 

condition, and bridges in fair condition having precedence over bridges in good condition; 

(2) Low load capacity bridges based on Operating Rating 

(3) Bridges on school bus routes; 

(4) Bypass detour length; 

(5) Annual average daily traffic; and 

(6) Annual truck average daily traffic.

e. Funding for successful TTP bridge applications will be distributed on a quarterly basis. 

f. Queues will carryover from fiscal year to fiscal year as made necessary by the amount of annual 

funding made available.

4. Roles and Responsibilities for Submitting the Application Package. Any time during the year 

a Tribe may prepare and submit to their TC an application package to request funding for bridge 

preliminary engineering (see 23 CFR § 661.25) or bridge construction (see 23 CFR § 661.27). The 

FHWA TC will assist the Tribe in preparing the application package, review the Tribe’s submittal 

and resolve any issues with the Tribe. 

The TC will then submit the completed bridge application package directly to the Bridge Program 

Manager at FLH/OTT for review of the application.

5. Application Package for Preliminary Engineering Funding (23 CFR § 661.25). The 

application package should contain the following: 

• TTP Bridge Program Certification Checklist (see Appendix B - Exhibit 12.2). 

• A Tribal TIP, approved by FHWA, with the bridge project identified. The bridge project may 

be shown as “Illustrative” on the TIP. 

• A detailed Project scope of work (SOW). 

• Detailed cost itemization for Preliminary Engineering tasks.

• NBI data sheet (see Appendix B - Exhibit 12.1). 

NOTE: For non-BIA/non-Tribal TTP bridges, the application package must also include:

• A Tribal resolution supporting the project, and 
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• Identification of the required minimum 20 percent local funding match. 



6. Application Package for Construction Funding (23 CFR § 661.27). A candidate bridge 

rehabilitation or replacement project must be “shovel ready”; i.e., ready for solicitation of bids. All 

environmental and archeological clearances (approved NEPA document) and complete grants of 

public rights-of-way must be acquired prior to submittal of the construction application package. 

A complete application package for construction of such a project will consist of the following 

documents: 

• An approved PS&E, with Professional Engineer (PE) stamp and signature. The PE must be 

registered in the same State as the project.

• TTP Bridge Program Certification Checklist (see Exhibit 12.2).

• NBI data sheet (see Exhibit 12.1).

• A Tribal TIP, approved by FHWA, with the bridge project identified. The bridge project may 

be shown as “Illustrative” on the TIP. 

NOTE: For non-BIA/non-Tribal TTP bridges, the application package must also include: 

• A copy of a letter from the bridge’s owner approving the project and its PS&E, 

• A Tribal resolution supporting the project, and 

• Identification of the required minimum 20 percent local funding match. 

If timely construction of a bridge project is required prior to availability of bridge program funds, 

other sources of funds (such as the Tribe’s TTP Tribal shares, local funds, etc.) may be used for the 

project and an application submitted for reimbursement of those funds up to the prescribed funding 

limitations. Such an application MUST be submitted and placed on the queue prior to the start of 

the construction of the bridge project. 

7. Project Application Review and Selection Process. The Bridge Program Manager at FLH/OTT

will review only complete TTP bridge project application packages and place eligible projects in a 

queue based upon the ranking factors. 

 

Incomplete application packages will not be eligible and will be returned to the TC, along with a 

notation providing the reason for return. The TC will provide technical assistance to the Tribe to 

help the Tribe correct and resubmit the application package. 

Funding for the approved eligible projects in the queue will be made available to the Tribe based 

upon their ranking until all the TTP Bridge Program funds are exhausted. Projects not funded due 

to unavailability of funds will remain in the queue for potential funding from future TTP Bridge 

Program funding appropriations.

8. Tribal Bridge Inspection. The following is the procedure for FHWA Agreement Tribes requesting 

initial inspection of tribally owned bridges for inclusion in the FHWA NBI:

Step 1. The Tribe verifies if the Tribal bridge is a public bridge, 20 ft. or more in opening. 

Step 2. Tribe coordinates with the TC to fill out the Tribal bridge inspection request form. 

Step 3. The TC submits the inspection request form to the Bridge Program Manager at FLH/OTT 

for review.
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Step 4. The OTT Bridge Program Manager submits the inspection request form to the EFL Bridge 

Inspection Team.

Step 5. Once inspected by the EFL Bridge Inspection Team, a copy of the inspection report and 

the NBI data file (432 text file) is provided to the Bridge Program Manager and to the 

EFL Bridge Management Team for 2nd level review.

Step 6. Once approved, the NBI data file is submitted to the FHWA HQ Office of Bridges and 

Structures for acceptance and recordation of the data file in the FHWA NBI.
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XIII. Safety Programs

A. Overview. Every year, more than 30,000 motorists die1 and almost 3,000,000 are injured on roadways 

in the United States. Fatalities and injuries resulting from motor vehicle crashes are a particular concern 

within Indian Country. Between 1975 and 2002, the number of fatal crashes on Indian reservations 

increased more than 50 percent, while the number of fatal crashes in the Nation declined 2 percent. 

American Indians suffer far more from motor vehicle related deaths and injuries than would be 

expected, given their proportion of the population. In general, Native Americans have the highest risk 

of motor vehicle related deaths of all ethnic groups.2

 Motor vehicle crashes are the leading cause of 

death for Native Americans ages 4 to 44. Beyond motor vehicle deaths, other transportation modes 

such as maritime travel or snow machine use contribute significantly to the transportation safety 

problem in many Tribal communities.

The Tribal Transportation Strategic Safety Plan presents priority topics for transportation safety in 

Tribal areas which include: establishing a decision-making process (including transportation safety 

plans developed by each Tribe), crash data improvement, roadway departure, pedestrian safety, 

impaired driving, occupant protection, and the availability of public safety services. The plan can be 

found online at http://www.TribalSafety.org/Reports. 

This chapter has two main sections: Section B - Tools and Resources contains a number of proven 

safety strategies; and, Section C - Safety Funding Programs provides an overview of available 

funding programs. 

B. Tools and Resources available to Tribes. Tribes use several tools and resources to evaluate and 

address their transportation safety issues. The following is a brief description of the available tools and 

resources.

1. Transportation Safety Plans

Tribal Transportation Safety Plans are a tool intended to identify and address transportation risks 

based on available data that have the potential of leading to serious injury or death. Strategies 

identified to address identified issues should represent the recommendation of transportation 

departments in addition to leadership, law enforcement, emeregnecy medical services, and public 

education professionals. Safety Plans also organize the efforts of a variety of entities to more 

effectively reduce risk. Safety Plans can cover multiple transportation modes (roads, maritime, 

trails, air travel, and others). Safety plans may lead to implementation of a project or program, 

renewed efforts in an existing program, or further study of a roadway section (such as an 

engineering study or Road Safety Audit). 

A Safety Plan should not be developed with a focus on one particular funding source. Rather, a 

plan should demonstrate the safety concerns in a community and the strategies that could 

effectively address those concerns. To the greatest extent possible the concerns demonstrated by a 

safety plan should be selected based on an analysis of incident history (crash data). This allows 

funding entities to understand the needs and may even compel the funding of the community’s 

safety priorities. Ideally safety plans should be updated no less frequently than every 3-5 years to 

consider any new data patterns or changed conditions. 

1 Source: NHTSA Fatality Analysis Reporting System, http://www-fars.nhtsa.dot.gov/Main/index.aspx 2 Fatal Motor Vehicle Crashes on Indian Reservation 1975-2002 NCSA, April 2004
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Resources, including a safety plan template and a library of safety plans completed by other Tribes, 

can be found online at https://www.tribalsafety.org/safety-planning-resources or at 

https://safety.fhwa.dot.gov/LRSPDIY/. 

References and Resources

• FHWA-FLH website for the TTPSF,

https://highways.dot.gov/federal-lands/programs-tribal/safety

• Developing a Transportation Safety Plan, Planning Modules for Tribes, FHWA Office of 

Planning, 

http://www.fhwa.dot.gov/planning/processes/tribal/planning_modules/safety/summary.cfm

FHWA Do-It-Yourself Local Road Safety Plans website, 

https://safety.fhwa.dot.gov/LRSPDIY/

• Developing Safety Plans – A Manual for Local Rural Road Owners, FHWA, March 2012, 

http://safety.fhwa.dot.gov/local_rural/training/fhwasa12017/

• TTAP, https://ttap-center.org/ 

2. Safety Data Analysis 

a. Overview. A variety of safety data analysis methodologies can be useful to identifying safety 

needs and updating safety plans. Five major approaches to planning safety improvements are:

i. Contributing Factors Analysis – Tallying attributes among crashes (examples: time of day, 

driver condition, roadway alignment, crash type) can identify safety topics that need further 

attention. 

ii. Systemic Safety Studies (a.k.a. Risk Based Safety Analysis) – Prioritizing improvements 

across the road network to address a topic identified through contributing factors analysis 

by treating high risk roadway features. (Example: Prioritizing roadway departure 

improvements in sharp horizontal curves because these locations are similar to high 

severity crash locations.)

iii. Systematic Safety Improvements – Applying low-cost safety improvements that are known 

to be effective across the entire road network because there is anticipated safety benefit. 

This method takes less data analysis but requires a large budget.

iv. Hot Spot Screening – Identifying locations on the road network with high crash frequency 

or rates where safety improvements could be beneficial 

v. Road Safety Audits – Formal evaluation of a roadway intersection or segment by an 

independent, multi-disciplinary team to identify specific safety recommendations. 

b. References and Resources

• Data Analysis Resources for Tribes, https://www.tribalsafety.org/data-analysis

• FHWA Office of Safety - RSA webpage, http://safety.fhwa.dot.gov/rsa/

• Road Safety Audits Peer to Peer Program,

http://safety.fhwa.dot.gov/rsa/resources/p2p/brochure/

• Road Safety Audits video, http://safety.fhwa.dot.gov/rsa/video2009/

• Federal and Tribal Lands Road Safety Audits: Case Studies,

http://safety.fhwa.dot.gov/rsa/resources/casestudiesflh/
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3. Safety Data Collection 

A key component to effective transportation safety efforts is an incident database that enables the 

identification of transportation safety problems. The first step to improving transportation safety 

in your community may be the establishment of incident databases or developing partnerships with 

agencies that are already collecting data (such as the State DOT). The USDOT expects to publish 

a Tribal Crash Reporting Toolkit in fall of 2020. The toolkit will contain resources that Tribes can 

use to establish a new crash data base or better utilize an existing database. The latest information 

about this toolkit will be available at https://www.tribalsafety.org/tribal-crash-reporting-toolkit. 

4. Sign Maintenance and Nighttime Visibility Assessments (Retroreflectivity)

a. Overview. About half of traffic fatalities occur at night, although only about one quarter of 

travel occurs after dark. Although intoxication and fatigue contribute to the high rate of 

nighttime crashes, nighttime driving is inherently hazardous because of decreased driver 

visibility.

Adequately maintained retroreflective signs and pavement markings improve highway safety 

and prevent roadway departure crashes by making the signs and markings appear brighter and 

easier to see and read. Because the retroreflective properties of traffic control devices 

deteriorate over time, highway agencies need to actively maintain signs and pavement 

markings in order to ensure that they are clearly visible at night.

Roadway lighting is another means to increase visibility for drivers and other roadway users. 

Properly designed roadway lighting allows road users to quickly assess roadway conditions 

and creates a safe environment within the roadway vicinity. 

More information is available on the FHWA retroreflectivity links below in the areas of: 

• Regulations / Standards

• Technical Guidance

• Implementation Tools

• Frequently Asked Questions

• Funding Assistance

• Research

The current edition of the MUTCD contains a standard that requires agencies to implement a 

method to maintain sign retroreflectivity above prescribed minimum levels. In addition, 

several methods were identified that agencies can use to meet that requirement. 

b. References and Resources

• FHWA Nighttime Visibility website, 

https://safety.fhwa.dot.gov/roadway_dept/night_visib/

• 2009 MUTCD Section 2A.08, https://mutcd.fhwa.dot.gov/kno_2009r1r2.htm

5. Safety Management System

To address the dire transportation safety needs in Tribal areas, FHWA and BIA have developed a 

Tribal Safety Management System Steering Committee (SMS) with assistance from the Tribes. 

The committee has published reports to Congress and a Tribal Transportation Strategic Safety Plan. 

These documents identify strategies that Tribes can use to improve safety for travelers on Indian 
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Lands. The documents also identify topics that can help focus efforts by the Federal government 

in improving transportation safety. The reports can be found online at 

http://www.TribalSafety.org/reports/. 

6. Other Safety Resources

Numerous other written resources are available. Some of the additional documents that may be of 

interest include:

• Tribal Transportation Safety Management System Steering Committee Website, 

http://www.tribalsafety.org/ 

• The Highway Safety Manual, AASHTO, http://www.highwaysafetymanual.org

• NCHRP 500 Reports, TRB, http://www.trb.org/Main/Blurbs/152868.aspx

• Crash Modification Factors Clearinghouse, http://www.cmfclearinghouse.org/

• Various resources available from the FHWA Office of Safety, http://safety.fhwa.dot.gov/

• Contact the FHWA Office of Tribal Transportation at TTPSF@dot.gov

C. Safety Funding Programs

There are many funding sources, including the Tribal Transportation Program Safety Fund, available 

to assist Tribal governments in implementing safety programs and projects. A summary of several 

safety funding programs can be found at https://www.tribalsafety.org/funding. 

Much of the Federal funding for transportation safety is managed by State governments. State safety 

contacts are listed online at https://www.tribalsafety.org/state-contacts. 
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Appendix A – Glossary

As-built Drawings – Revised set of drawings submitted upon completion of a project that reflects all 

changes made to the PS&E during construction. As-built drawings are also called as-built plans.

ACH Form – Form SF 3881, which is used to document the necessary financial information (e.g., bank

account number, DUNS number) for FHWA personnel to obligate funding to a Tribe's bank account.

Categorical Exclusion – Actions, based on past experience, that do not involve individual or cumulative 

significant environmental impacts and are excluded from the requirement to prepare an EA or EIS (23 CFR 

§ 771.117).

Consortium – See definition in 25 CFR § 170.5.

Contractible Service – A function or activity that is not inherently Federal and can be achieved via contract

(25 CFR § 170.610).

Design Exception – Any deviation from approved design standards (25 CFR §§ 170.456, 170.457, and 

170.460).

DUNS – A unique nine-digit identifier used by businesses and the Federal government to keep track of 

more than 70 million businesses world-wide. 

Environmental Assessment – Actions in which the significance of the environmental impact is not clearly 

established, and all actions that are not CEs or EISs. Actions in this class require the preparation of an EA 

to determine the appropriate environmental document required (from 23 CFR § 771.115).

Environmental Impact Statement – Actions that are determined to significantly affect the environment 

require an EIS (23 CFR § 771.115). 

FAST Act – The “Fixing America’s Surface Transportation Act”, P.L. 114-94.

Financially or Fiscally Constrained – See the definition for Financial constraint or Fiscal constraint in 

25 CFR § 170.5.

Finding of No Significant Impact – A concise document prepared at the conclusion of the EA presenting 

the reasons when it is determined that an action will not have significant environmental impacts and will 

not require preparation of an EIS (23 CFR § 771.121).

Force Account – Project construction using employees of the Tribe.

LRTP – The official Tribal, multimodal, transportation document covering a period of no less than 20 years 

developed through the Tribal transportation planning process which identifies the transportation needs and 

priorities of the Tribe.

NTTFI – See the definition in 25 CFR § 170.5.

Notice of Intent – Official letter or Tribal resolution from a Tribal government notifying FHWA of its 

desire to work directly with FHWA and enter into a TTPA with FHWA for the administration of its Tribal 

Transportation Program.

PS&E – A package made up of plans, specifications, and engineers estimates on the location, design 

features, and the construction requirements in sufficient detail to facilitate the construction of a project.
Tribal Transportation Program Delivery Guide A Guide for Tribes

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Appendix A – Glossary (cont’d.)

Project – Any undertaking determined as being eligible under the Title and Program for which funds are 

being provided.

Project Package – Consists of a number of documents including the PS&E, the approved design 

exceptions, and all the construction details, provisions, permits, agreements, conditions, and certifications 

required to administer a construction project. 

Public Authority – See the definition in 25 CFR § 170.5.

Record of Decision – Documentation prepared after the final EIS that presents the basis for the decision, 

summarizing any mitigation measures that will be incorporated into the project. (23 CFR § 771.127).

Reassumption – An instance where FHWA temporarily takes on the Tribe’s responsibilities under the TTP 

to carry out actions required to mitigate an imminent jeopardy.

Regionally Significant Project – See the definition in 25 CFR § 170.5.

Remedial Actions – In carrying out their TTP stewardship and oversight responsibilities, FHWA may 

initiate remedial actions onto a Tribe when the Tribe has not met its responsibilities as agreed to in the 

TTPA. Remedial actions may include technical assistance from FHWA, alternative reporting schedules, 

additional monitoring activities, limits on distribution of funding, or other actions as needed. The intent 

of remedial actions is to help build a Tribe’s capacity to manage its TTP.

RFA – A document between FHWA and a Tribe which sets forth specific conditions for Fiscal 

Year funding under the TTPA. It includes the terms that identify the specific programs, 

functions, services and activities to be performed, the funds to be provided, the time and method 

of payment, and such other provisions to which the Parties agree.

Risk Assessment – FHWA review of a Tribe's TTP and / or other programs to determine and document 

whether the Tribe is eligible to enter into a TTPA with the FHWA.

Risk Assessment Matrix – Table with a set of questions used by FHWA to consistently assess whether a 

Tribe is eligible to enter into a TTPA with the Federal government.

Risk Score – General rating determined from the Risk Assessment Matrix, and is used to rate level of risk 

(i.e., low, moderate, high) to the Federal government associated with entering into a TTPA with a Tribe.

Section 4(f) Evaluation – Documentation prepared to support the granting of the Section 4(f) approval and 

determination that there is no feasible and prudent alternative to the use of Section 4(f) property and that 

the proposed action includes all possible planning to minimize harm to the property resulting from that use 

(23 CFR § 774).

Single Audit – Also known as the OMB A-133 audit. It is a rigorous, organization-wide audit of an entity 

(including Tribes) that expends $750,000 or more of Federal funds, grants, or awards received for its 

operations in any one fiscal year. Usually performed annually, it is typically performed by an independent 

certified public accountant and encompasses both financial and compliance components. 

State – Any of the 50 States, the District of Columbia, and Puerto Rico. 

State Transportation Department – See the definition in 25 CFR § 170.5.

STIP – See the definition in 25 CFR § 170.5.
Tribal Transportation Program Delivery Guide A Guide for Tribes

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Appendix A – Glossary (cont’d.)

TC – An employee of FHWA who is the Federal point of contact leading the TTP coordination between a 

Tribal government and FHWA. The TC provides stewardship and oversight of a Tribe’s TTP, and provides 

technical assistance to the Tribe for administration of the TTP, and on items related to improving the Tribal

transportation system such as planning, design, environmental processes, construction functions, 

transportation safety, maintenance, and transportation funding opportunities. 

Technical Assistance –Those activities which provide advice, education, support, knowledge, skills and 

opportunities to address specific current and future implementation of TTP policies and procedures. 

Technical assistance may be through training, outreach, peer and expert review, and expert assistance.

TERO – Ordinances requiring that employers who are engaged in operating a business on reservations 

give preference to qualified Indians in all aspects of employment, contracting and other business activities.

TOSR -- A Tribe’s Project Manager for the Tribe’s construction project. The TOSR is also known as the 

“Construction Manager” or the “Construction Engineer”. The TOSR is an employee of the Tribe or a 

consultant hired by the Tribe.

Tribal Government – A Tribal government is the local governing body of a Tribe, band, pueblo, 

community, village, or group of Native American Indians or Alaska Natives, that carry out sovereign 

governmental functions.

Tribal POC – An employee and/or member of a Tribe, designated by the Tribe as the official point of 

contact with FHWA for the TTP. The FHWA TC coordinates and interacts with the Tribal POC. 

Tribal Resolution – A Tribal government’s formal expression of opinion, will, or intent. 

Tribal Share – A Tribe’s portion of all eligible TTP funds, provided through a TTPA, contract, MOU, 

compact, or funding agreement between a Tribe and a Federal agency, that support applicable PFSAs (or 

portions thereof), and are not required for the performance of inherent Federal functions. 

Tribal Signatory – Official designee recognized by the Federal government as qualified to enter a Tribe 

into binding agreements. 

Tribe or Indian Tribe – See the definition in 25 CFR § 170.5. 

TTAM – Methodology for distributing funding under the TTP. 

TTIP – A multiyear financially constrained list of proposed transportation projects developed by a Tribe 

using the Tribal Priority List from the LRTP, and approved by FHWA. 

TTPTIP – See the definition in 25 CFR § 170.5. 

TTP – See the definition in 25 CFR § 170.5. 

TTPA – An agreement between a Tribe and FHWA, that transfers all but the inherently Federal program 

functions, services and activities of the TTP to the Tribe. It may also be called a PA.

TTPA Template – The standard format that a Tribe and the TC use as a basis to create the official TTPA

between a Tribe and the U.S. government. 

UEI – A unique number assigned to all entities (public and private companies, individuals, institutions, or 

organizations) who register to do business with the federal government. This will replace the old DUNS 

system, expected to happen sometime in 2021. 
Tribal Transportation Program Delivery Guide A Guide for Tribes

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Appendix B – Exhibits for the Chapters 

Exhibit number and name Page

Chapter III - Tribal Transportation Program Agreement (TTPA)

Exhibit 3.1 FHWA Tribal Transportation Program Agreement (TTPA) Template 90

Exhibit 3.2 Example Tribal Resolution for Intent to Enter into a TTPA 108 

Exhibit 3.3 FHWA Referenced Funding Agreement (RFA) Template 110

Exhibit 3.4 FHWA Referenced Funding Agreement (RFA) Amendment Template113 

Exhibit 3.5 Formal On-Boarding Letter from FHWA to Tribe 115

Exhibit 3.6 Formal Off-boarding Letter from FHWA to Tribe 117

Exhibit 3.7 FHWA On-Boarding Orientation Checklist 118

Exhibit 3.8 202(a)(9) Intergovernmental Fund Transfer Agreement Template 121 

Exhibit 3.9 202(a)(9) Addendum to the Intergovernmental Fund Transfer 

Agreement 127

Chapter IV – TTP Reporting Responsibilities

Exhibit 4.1 TTP Online Reporting Tool - Financial Report 130 

Exhibit 4.2 TTP Online Reporting Tool - Report on Non-Construction Activities 134 

Exhibit 4.3 TTP Online Reporting Tool - Report on Each Project 141 

Chapter V - Transportation Planning

Exhibit 5.1 TTP Transportation Planning Process 146

Exhibit 5.2 Microsoft Access FHWA TTIP Template 147

Exhibit 5.3 Tribal Resolution Template to Accept/Approve the TTIP 150

Exhibit 5.4 TTIP Certification 151

Exhibit 5.5 Pre-Project Planning Worksheet 152

Exhibit 5.6 TIP Administrative Modification and Amendment Guidelines 154

Chapter VI - Preliminary Engineering - NEPA and Other Environmental Requirements

Exhibit 6.1 TTP Environmental Checklist 156

Exhibit 6.2 Outline for an Environmental Assessment (EA) 165

Exhibit 6.3 Example Notice of Availability 168

Chapter VII - Preliminary Engineering - Project Package

Exhibit 7.1 Ice Road Information 169

Exhibit 7.2 TTP Highway Design Standards Certification 177

Exhibit 7.3 PS&E Certification Checklist 180

Exhibit 7.4 Right-of-Way Certification Letter Template 181 

Exhibit 7.5 Documents Needed Prior to Construction 182
Tribal Transportation Program Delivery Guide A Guide for Tribes

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Appendix B – Exhibits for the Chapters (cont’d.)

Exhibit number and name Page

Chapter IX - Procurement, Construction Bid Advertisement and Award

Exhibit 9.1 TTP Pre-Advertisement Checklist 189 

Chapter X - Construction and Construction Engineering

Exhibit 10.1 OTT Trip Inspection Report 191

Exhibit 10.3 Final Letter of Acceptance 204

Exhibit 10.4 Final Letter of Acceptance for BIA Owned Facility 205

Exhibit 10.5 Project Closeout Forms for Tribes - Optional 206

Exhibit 10.6 Safety Checklist 215

Exhibit 10.7 Construction Equipment Purchase Request Form 218

Chapter XII - Tribal Transportation Program (TTP) - Bridge Program

Exhibit 12.1 National Bridge Inventory -Structure Inventory and Appraisal Sheet 219

Exhibit 12.2 TTP Bridge Program Certification Checklist 221

INSERT OFFICIAL NAME OF TRIBE
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Tribe_____ FHWA_____

Exhibit 3.1 – FHWA Tribal Transportation Program Agreement 

(TTPA) Template

TRIBAL TRANSPORTATION PROGRAM AGREEMENT

BETWEEN THE

(INSERT NAME OF TRIBE) 

AND THE 

UNITED STATES DEPARTMENT OF 

TRANSPORTATION

ARTICLE I – AUTHORITY AND PURPOSE

Section 1. Authority. This Tribal Transportation Program Agreement (“Agreement”) is 

entered into by the Administrator of the Federal Highway Administration, (“Administrator”, 

which term shall mean the Administrator or designee, as appropriate), for and on behalf of the 

United States Department of Transportation, Federal Highway Administration (“FHWA”) and by 

the (INSERT NAME OF TRIBE) (“Tribe”, and together with the Adminstrator for the FHWA, 

the “Parties”), under the authority of the Constitution and By-Laws of the Tribe and by 

resolution of the Tribal Government, and under the authority granted by 23 U.S.C. §§ 201–202, 

as amended by the Surface Transportation Reauthorization Act of 2021 (STRA-21), Div. A of 

Pub. L. 117-58 (November 15, 2021), also colloquially known as the “Bipartisan Infrastructure 

Law” or “BIL” (together, the “Tribal Transportation Program” or “TTP”), and the Delegations of 

Authority set forth in 49 CFR § 1.85. This Agreement will be implemented in a manner 

consistent with Executive Order 13175 (Nov. 6, 2000, 65 Fed. Reg. 67249) (Consultation and 

Coordination with Indian Tribal Governments); the Presidential Memorandum on Tribal 
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Tribe_____ FHWA_____

Consultation and Strengthening Nation-to-Nation Relationships dated January 26, 2021; the 

DOT’s Order regarding Programs, Policies, and Procedures Affecting American Indians, Alaska 

Natives, and Tribes (DOT 5301.1, November 16, 1999); and the U.S. DOT Tribal Consultation 

Plan. This Agreement authorizes the Tribe to perform the transportation planning, research, 

maintenance, engineering, rehabilitation, restoration, construction, and reconstruction of tribal 

transportation facilities that are located on or which provide access to the (INSERT NAME OF 

TRIBE) Reservation, (ALASKA NATIVE VILLAGE/CONSORTIUM) or a community of the 

Tribe and are eligible for funding under the TTP, 25 CFR Part 170 and 23 CFR Part 661 

(together, the “TTP Regulations”). This Agreement is made pursuant to 23 U.S.C. § 202 (b)(7), 

the TTP Regulations and in accordance with the Indian Self-Determination and Education 

Assistance Act (hereinafter the “ISDEAA”), Pub. L. 93-638, as amended (25 U.S.C. § 5301 

et.seq.), including for purposes of Federal Tort Claims Act coverage.

Section 2. Purpose. The purposes of this Agreement are as follows:

A. to transfer to the Tribe all of the functions and duties that the Secretary of the Interior 

would have performed with respect to a program or project under the TTP and the TTP 

Regulations, other than those functions and duties that cannot be legally transferred under 

the ISDEAA, together with such additional activities as the Tribe may perform under 

STRA-21; and

B. to provide the Tribe or its designee, under this Agreement, its formula share of TTP funds 

pursuant to STRA-21 and the TTP Regulations, together with such additional Federal 

Lands Highways funds as the Tribe may receive or otherwise be entitled to through a 

formula or competitive grant, award, earmark or other appropriation to the Department of 

Transportation (DOT), as well any other Federal-aid funds under Chapter 1 of Title 23, 

United States Code, or funds from other sources that may be credited to the TTP, or 

otherwise made available to the Tribe under an agreement to transfer such funds 

approved by the Administrator or his designee. The Bureau of Indian Affairs (INSERT 

REGION NAME) Regional Office shall continue to receive the funds identified in 23 

U.S.C. § 202 (a)(6) for certain program management and oversight (PM&O) activities as 

further identified in Article II, Section 2. 
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Tribe_____ FHWA_____

ARTICLE II – TERMS, PROVISIONS, and CONDITIONS

Section 1. Effective Date and Term. This Agreement shall become effective upon the date 

of its approval and execution by authorized representatives of the Tribe and the Administrator 

and it shall remain in effect and be automatically extended for the period authorized by any 

statutory extensions of STRA-21 or until all funds transferred to the Tribe under this Agreement 

have either been expended or returned to the Administrator, whichever occurs last. 

Section 2. Funding. 

A. Subject to the availability of funding and in accordance with 23 U.S.C. § 202 (b), the 

Administrator shall provide to the Tribe or its designee, through an electronic 

transfer, a single annual lump sum funding amount equal to the amount that the Tribe 

would otherwise receive for the TTP as determined by the Tribe’s annual funding 

percentage under 23 U.S.C. § 202 (b)(3), the TTP planning funds described in 23 

U.S.C. § 202 (c), together with such other funds as may be made available under, or 

credited to, the TTP for the Tribe to carry out eligible activities authorized by the TTP 

and the TTP Regulations.

B. Upon the execution of this Agreement and a Referenced Funding Agreement (RFA) 

by both Parties, and subject to the availability of funds identified in the preceeding

Paragraph A., the Administrator shall notify the Tribe or its designee, in accordance 

with Article IV, Section 5 of this agreement, that the funds identified in the RFA are 

available. The Tribe shall submit electronic banking information to the Administrator 

either by transmitting the CAGE Code assigned to the Tribe’s transportation account 

in SAM.gov or by providing a signed ACH Vendor/Miscellaneous Payment 

Enrollment Form and a signed W-9 form. The Administrator shall provide to the 

Tribe a single advance payment in the amount identified in the RFA within thirty (30) 

calendar days of receipt of the Payment Enrollment Form. 

C. Pursuant to 23 U.S.C. § 202(b)(7)(B), all funds shall be paid to the Tribe without 

regard to the organizational level at which the Department of the Interior or the DOT 

has previously carried out under the Federal Lands Highways Program, the programs, 

functions, services, or activities (PFSAs) involved. 
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Tribe_____ FHWA_____

D. Pursuant to 25 CFR §§ 170.607 – 170.608, Contract Support Costs (CSCs) are an 

eligible cost and the Tribe may use their TTP allocation to pay such costs. The Tribe 

shall include a line item for CSCs in the Tribe’s project construction budgets. The 

Tribe may also include, as eligible, CSCs, one-time start-up costs and preaward costs

incurred by the Tribe in the initial year of this Agreement in accordance with 25 USC 

§ 5325 (a)(5) and (6). The parties acknowledge that TTP funds are distributed 

pursuant to a statutory formula to the federally recognized Tribes in the United States. 

A Tribe’s total share of TTP funds includes all direct and indirect costs associated 

with the TTP. The Parties expressly acknowledge there are no additional TTP 

funds available for any indirect or other contract costs incurred by the Tribe. 

E. Funds advanced to the Tribe under this Agreement shall be used by the Tribe as 

permitted under 23 U.S.C. § 202(a)(1), the TTP Regulations, other applicable laws, 

and as authorized under this Agreement. The Tribe reserves the right to reallocate 

funds among the eligible projects identified on an FHWA-approved Tribal 

Transportation Improvement Program (TTIP), so long as such funds are used in 

accordance with Federal appropriations law. Funds advanced to the Tribe pending 

disbursement for a purpose authorized under the Agreement may not be 

reprogrammed for other purposes. The Tribe shall track and account for the receipt, 

obligation and expenditure of all TTP funds in accordance with 2 CFR 200.305. For 

purposes of this Agreement, such funds when invested or deposited by the Tribe shall 

be subject to the following: 

a. Advanced funds not immediately spent for program activities may be invested 

only in obligations of the United States, in obligations or securities that are 

guaranteed or insured by the United States, or mutual (or other) funds registered 

with the Securities and Exchange Commission and which only invest in 

obligations of the United States or securities that are guaranteed by the United 

States; and

b. If not invested, advanced funds must be deposited into accounts that are insured 

by an agency or instrumentality of the United States or must be fully 

collateralized to ensure protection of the funds, even in the event of a bank 

failure; and
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Tribe_____ FHWA_____

c. Interest and investment income that accrue on any funds provided for by this 

Agreement become the property of the Tribe and may be used on projects and 

activities identified on an FHWA approved TTIP; and

d. Upon the receipt of funds under this Agreement, the Tribe shall expend the funds 

for the purposes set forth in this Agreement and as authorized by law. The Tribe 

may accumulate multiple annual allocations of TTP funds when necessary to fund 

an eligible project that requires more than one fiscal year of funding and is 

identified on an FHWA-approved TTIP. 

F. The Tribe may use funds provided under this agreement for flexible financing as 

provided in 23 U.S.C. § 122; 25 CFR §§ 170.227-230 and other applicable laws.

G. The Tribe may issue bonds or enter into other debt financing instruments under 23 

U.S.C. § 122, with the expectation of payment of TTP funds to satisfy the 

instruments, including, but not limited to, the repayment of loan principal and interest 

on such debt instruments. When the Tribe elects to use flexible financing to advance 

construct an eligible project or projects under this Agreement, the Administrator 

agrees (i) to maintain the project(s) on the FHWA-approved TTIP until all debt 

instruments, including interest thereon, are repaid in full by the Tribe, and (ii) at the 

option and direction of the Tribe (after receipt of electronic banking information on 

the Payment Enrollment Form by the Administrator), to provide all or a portion of the 

funds the Tribe is eligible to receive under this Agreement directly to a trustee or 

other depository so designated by the Tribe pursuant to the provisions of any RFA 

received by the Administrator thereunder. 

H. The designation of an eligible debt financing instrument for reimbursement with 

funds awarded under this Agreement shall not –

a. constitute a commitment, guarantee, or obligation on the part of the United States 

to provide for payment of principle or interest on the eligible debt financing 

instrument entered into by the Tribe; or 

b. create any right of a third party against the United States for payment under the 

eligible debt financing instrument.

I. As authorized by 25 CFR § 170.228, the Tribe may use TTP funds to:

a. leverage other funds; and 
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Tribe_____ FHWA_____

b. pay back loans or other finance instruments for a project that: 

i. the Tribe paid for in advance of the current year using non-TTP funds, 

including tribal funds; 

ii. was included in a FHWA-approved TTIP; and

iii. was included in the National Tribal Transportation Facility Inventory 

(NTTFI) before commencement of construction. 

J. The Tribe may use TTP funds awarded under this Agreement to meet matching or 

cost participation requirements for any Federal or non-Federal transit grant or 

program.

K. The Parties acknowledge that this Agreement is entered into, and funds are made 

available to the Tribe, in accordance with the ISDEAA and pursuant to 23 U.S.C. § 

202, including for purposes of Federal Tort Claims Act Coverage. Payments made by 

the Administrator under this Agreement shall be made in accordance with Article II, 

Section 2.B. herein. In the event funds due the Tribe under this Agreement are not 

paid to the Tribe in accordance with the requirements of Article II, Section 2.B., the 

Parties shall rely upon the dispute resolution provisions set forth in Article II, Section 

4 of this Agreement.

Section 3. Powers. The Tribe shall have all powers that the Secretary of the Interior would 

have exercised in administering the funds provided to the Tribe for such program under 23 

U.S.C. § 202 (b)(7)(H), except to the extent that such powers are powers that inherently cannot 

be legally transferred under the ISDEAA. Such powers shall include, but are not limited to the 

Secretary of the Interior’s powers under the TTP Regulations, together with such duties and 

responsibilities as may be performed by an Indian Tribe under the TTP Regulations, or as are 

otherwise permitted by law. 

Section 4. Dispute Resolution. In the event of a dispute arising under this Agreement, the 

Tribe and the Administrator agree to use mediation, conciliation, arbitration, and other dispute 

resolution procedures authorized under 25 CFR § 170.934. The goal of these dispute resolution 

procedures is to provide an inexpensive and expeditious forum to resolve disputes. The 

Administrator agrees to resolve disputes at the lowest possible staff level and by consent 

whenever possible. 
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Tribe_____ FHWA_____

Section 5. Construction of this Agreement. This Agreement shall be construed in a 

manner to facilitate and enable the transfer of programs authorized by 23 U.S.C. §§ 201-202 and 

Chapter 1 of Title 23.

Section 6. Activities to be Performed. Consistent with the provisions of 23 U.S.C. § 202 

(a)(1) and the TTP Regulations, the activities to be performed by the Tribe under this Agreement 

may include:

• Transportation Planning; and

• Program Administration; and

• Design; and

• Construction; and

• Construction Management; and

• Road Maintenance as authorized under 23 U.S.C. § 202 (a)(8)(A); and

• Development and negotiation of Tribal-State Road Maintenance agreements authorized 

under 23 U.S.C. § 202 (a)(8)(C); and

• Other TTP Program-eligible activities authorized under Chapter 1 or 2 of Title 23, the 

TTP Regulations, or other applicable law; and

• Other activities authorized under Chapter 1 of Title 23, or other applicable law including 

activities funded under agreements developed under 23 U.S.C. § 202 (a)(9). 

Section 7. Limitation of Costs. The Tribe shall not be obligated to continue performance 

under this Agreement that requires an expenditure of funds in excess of the amount of funds 

awarded under this Agreement. If, at any time, the Tribe has reason to believe that the total 

amount required for performance of this Agreement, or a specific activity or project conducted 

under this Agreement, would be greater than the amount of funds provided under this 

Agreement, the Tribe shall provide reasonable notice to the Administrator and may suspend 

performance of the Agreement until such time as additional funds are made available. 
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Tribe_____ FHWA_____

Section 8. Carryover. Any funds provided to the Tribe under this Agreement that have not 

been expended at the conclusion of the fiscal year in which such funds were allocated shall 

remain in the custody of the Tribe and be used for the purposes authorized under this Agreement. 

Determination of the priority and amount of funds to be used for each contractable activity shall 

be the responsibility of the Tribe, except as limited by law or otherwise proscribed by this 

Agreement. 

Section 9. Applicable Regulations. The TTP Regulations and 2 CFR Part 200 apply to this 

agreement, together with any amendments thereto, except where there is a conflict, in which case 

the TTP Regulations shall control. The Tribe may seek a waiver of these regulations to the 

extent permitted by law and as provided by 25 CFR §§ 170.625 and 170.626. 

Section 10. Use of Tribal Facilities and Equipment. The Parties agree that the Tribe shall 

be permitted to utilize TTP, other Federal Lands Highway funds, and additional TTP-eligible 

funds awarded under this Agreement to pay lease/rental rates for facilities and equipment, as 

well as to maintain such facilities and equipment when performing contractable activies under 

this Agreement. Consistent with subparagraph (49)(i) of Appendix A to Subpart B of 25 CFR 

Part 170, in those cases where the Tribe reasonably determines and provides written notice and 

analysis documentation to the Administrator that the purchase of construction equipment is more 

cost effective than the leasing of construction equipment, such equipment may be purchased 

upon written approval from FHWA. As provided by subparagraph 49(ii) the purchase of 

maintenance equipment shall be an allowable cost to the Tribe, so long as not more than 25% of 

the Tribe’s annual TTP funds or a maximum of $500,000 are used for this purpose and any other 

annual maintenance activities. Funding for the purchase of construction or maintenance 

equipment must be identified on an FHWA-approved TTIP prior to expenditure. 

ARTICLE III – RESPONSIBILITIES OF THE TRIBE

Section 1. Health and Safety. In exercising responsibility for carrying out the eligible 

programs and projects under this Agreement, the Tribe assures the Administrator that within 

available funding, the Tribe will meet all applicable health, safety, and labor standards related to 
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Tribe_____ FHWA_____

the administration, planning, engineering and construction activities performed. To this end, and 

within available funding, the Tribe agrees to obtain or provide qualified personnel, equipment, 

materials, and services necessary to administer the transportation programs, including 

opportunities that provide for Indian preference in employment and sub-contracting as mandated 

by 25 U.S.C. § 5307 (b) and (c). 

Section 2. Program Standards and Regulations. The Tribe agrees to initiate and perform 

the contracted programs and projects in accordance with the requirements of the TTP 

Regulations. Additionally, the Tribe may, at its sole option, adopt applicable FHWA or BIA 

policies, procedures, program guidelines and memoranda, or develop Tribal policies, procedures, 

program guidelines and memoranda that meet or exceed federal standards to facilitate operation 

or administration of any aspect of the TTP under this Agreement. 

Section 3. Plans, Specifications and Estimate (PS&E) Approval Authority. 

A. Tribal and BIA-owned facilities. The Tribe is authorized to review and approve plans, 

specifications and estimates (“PS&E”) for project packages in accordance with the 

requirements of 25 CFR §§ 170.460 through 170.463. The Tribe hereby: 

a. will provide a copy of the PS&E approval to the facility owner and FHWA; and 

b. provides assurances under this Agreement that the construction will meet or 

exceed applicable health and safety standards; and

c. obtain the advance review of the PS&E from a State-licensed civil engineer who 

has certified that the PS&E meets or exceeds the applicable health and safety 

standards; and 

d. provide a copy of the State-licensed civil engineer’s certification to the 

Administrator. 

B. Facilities owned or maintained by a public authority other than the Tribe or the BIA. In 

the interest of building stronger government-to-government relations in transportation 

planning and coordination, the Tribe voluntarily agrees to perform its PS&E review and 

approval function as to facilities owned or maintained by a public authority, as that term 

is defined in 23 U.S.C. § 101 (a). For a facility owned or maintained by a public 
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Tribe_____ FHWA_____

authority other than the BIA or the Tribe, in addition to satisfying the requirements of 

paragraph (A) of this Section, above, the Tribe further agrees to:

a. provide the public authority an opportunity to review and comment on the Tribe’s 

PS&E package when it is between 75 and 95 percent complete, unless an 

agreement between the Tribe and the public authority states otherwise; and 

b. allow the public authority at least 30 days for review and comment on the PS&E 

package, unless the Tribe and the public authority agree upon a longer period of 

time; and

c. prior to soliciting bids for the project(s), certify in writing to the Administrator 

that it afforded the public authority an opportunity to review and comment on the 

PS&E package and received no written comments from the public authority that 

prevent the Tribe from proceeding with the project. 

Section 4. Transportation Planning and Inventory. Within available funding, the Tribe 

agrees to carry out a transportation planning process and provide this information to the BIA, 

with courtesy copies to FHWA, as may be reasonably necessary for the BIA to maintain an 

updated NTTFI of TTP-eligible facilities per 23 U.S.C. § 202(b)(1). The Tribe further agrees to 

update its Long Range Transportation Plan (LRTP) at least every 5 years, and submit the draft 

LRTP update to FHWA or BIA for a midpoint review in accordance with 25 CFR 170.412. 

Section 5. Easements, Maintenance and Utility Agreements, Environmental Assessments. 

In coordination with local jurisdictions and to the extent required by Federal law, the TTP 

Regulations, and 25 CFR 169, if applicable, the Tribe agrees to develop appropriate construction 

easements or right-of-ways, maintenance and utility agreements needed for carrying out the 

construction of TTP facilities under this Agreement. The Tribe agrees to perform all environmental 

and archeological review functions under this Agreement in accordance with 23 U.S.C. § 139, the 

TTP Regulations, and other applicable laws. 

Section 6. Construction. 

A. In accordance with the FHWA-approved TTIP, the Tribe agrees to initiate and complete 

TTP construction projects in reasonable conformity with the approved PS&E and any 

tribally-approved change orders and shall ensure that construction engineering is 

performed according to applicable FHWA, BIA or Tribal standards that meet or exceed 

federal standards. 
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Tribe_____ FHWA_____

B. The Tribe agrees to expend TTP funds on: 

a. program and administrative expenses authorized under:

i. this Agreement; 

ii. the TTP Regulations, as amended by STRA-21; and

iii. 2 CFR Part 200; or 

iv. other applicable laws; and 

b. construction activities on projects that are listed on a FHWA-approved TTIP; and

c. in a manner consistent with the Buy America provisions of 23 U.S.C. 313 for all 

funds transferred under this Agreement. The Tribe may consult with the FHWA 

regarding the process for requesting a waiver of the Buy America provisions from 

the Secretary of Transportation under 23 U.S.C. 313(b).

C. Once a TTP construction project is completed, the Tribe will prepare for the 

Administrator a final construction report and as-built plans for final inspection in 

accordance with 25 CFR §§ 170.472 through 170.474 and CFR Part 169, if applicable. 

D. The Tribe agrees to allow FHWA Officials or by mutual agreement, a delegated 

representative of FHWA, the opportunity to visit project sites on a monthly basis or at 

critical project milestones, provided that FHWA gives the Tribe reasonable advance 

written notice. These visits are intended to allow FHWA to carry out its oversight and 

stewardship responsibilities for the TTP or project(s) assumed by the Tribe under this 

Agreement. FHWA will not provide direction or instruction to the Tribe’s contractor or 

any subcontractor at any time.

Section 7. Reporting Requirements. 

A. If a Tribe must have a Single Audit as required by 2 CFR 200.501, the Tribe shall submit 

its annual Single Audit report to the Federal Audit Clearinghouse. If the Tribe is not 

required by 2 CFR 200.501 to carry out a Single Audit for a specific fiscal year, then the 

Tribe shall provide a written statement to the Administrator certifying that a Single Audit 

is not required for that fiscal year. 

B. Additionally, in order to assist the Tribe with fulfilling the reporting requirements of 23 

U.S.C. §201 (c)(6)(C) applicable to all recipients of TTP funds, BIA and FHWA have 

established an electronic data reporting system known as the Tribal Transportation 

Program Online Reporting Tool (PORT). The Tribe shall be responsible for inputting all 
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Tribe_____ FHWA_____

of its required data into PORT no later than December 30, of each year. From that data, a 

report will be generated by BIA and FHWA for the Secretary and the Secretary of the 

Interior, respectively. The Tribe acknowledges its understanding that timely submission 

of its data is mandated by statute and that non-compliance with this requirement may be a 

sole basis for withholding available TTP funds until the Tribe complies with this 

paragraph or, in the event the Tribe fails to achieve compliance within a reasonable time, 

termination of this Agreement by the Administrator.

ARTICLE IV – RESPONSIBILITIES OF THE ADMINISTRATOR

Section 1. Provision of Funds. The Administrator shall provide funds to the Tribe in 

accordance with Article II, Section 2 of this Agreement. 

Section 2. Authorize Project Work. The Administrator authorizes the Tribe to carry out 

transportation planning, preliminary engineering, construction engineering, development of 

management systems, construction, and maintenance of the programs and projects carried out by 

the Tribe under this Agreement related to projects/facilities included on an FHWA-approved 

TTIP in accordance with the approved project packages, this Agreement, and applicable laws 

and regulations. 

Section 3. Coordination with BIA. The Administrator shall coordinate with the Bureau of 

Indian Affairs concerning transportation functions and activities delegated by law to that agency 

to aid the Tribe in the proper and efficient administration of the PFSAs performed by the Tribe 

under this Agreement. 

Section 4. Coordination with Public Authorities. The Administrator, upon the Tribe’s 

request, shall coordinate with representatives of a public authority to assist the Tribe during the 

public authority’s review of a PS&E package or final inspection of a completed project to ensure 

that the public authority’s input during the review and comment period, or during the final 

inspection does not interfere with the Tribe’s efficient administration of projects performed 

under this Agreement. 

Section 5. Designated Officials. All notices, proposed amendments, and other written 

correspondence between the Parties shall be submitted to the following officials:
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Tribe_____ FHWA_____

To the Tribe: To the FHWA:

Chairman/President

(INSERT NAME OF TRIBE) 

(INSERT ADDRESS)

Associate Administrator

Federal Lands Highways (HFL-1)

U.S. Department of Transportation

1200 New Jersey Ave, SE, 

Room E61-316

Washington, D.C. 20590

With a copy to: With a copy to:

Tribal Transportation Director

(INSERT NAME OF TRIBE) 

(INSERT ADDRESS)

Director – Office of Tribal Transportation 

Program Manager (HFPD-9)

Federal Highway Administration

U.S. Department of Transportation

1200 New Jersey Ave, SE,

Room E61-202

Washington, D.C. 20590

Section 6. Federal Construction Standards. The Administrator may provide information 

about Federal construction standards as early as possible in the construction process. If Tribal 

construction standards are consistent with or exceed applicable federal standards, the Tribe’s 

proposed standards will be accepted. The Administrator may also accept commonly used 

industry construction standards, including design and construction standards adopted by the State 

where the project is constructed.

Section 7. Joint Inspection. The Tribe shall conduct the final project inspection jointly with 

the FHWA and facility owner, and shall notify the BIA Regional Office that construction has 

been completed in reasonable conformity with the project plans and specifications for the 

purpose of project acceptance for BIA roads, and updating the NTTFI. 
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Tribe_____ FHWA_____

Section 8. Technical Assistance. Upon the request of the Tribe and subject to the 

availability of funds, the Administrator shall provide or make available technical assistance to 

the Tribe to aid the Tribe in carrying out its responsibilities under this Agreement. 

Section 9. Notice of Availability of Additional Funds. If the Administrator receives notice 

of the availability of additional funding for any purpose authorized under this Agreement, 

including the availability of unspent TTP funds, the Administrator shall promptly notify the 

Tribe regarding such funding so that the Tribe may apply for any funds they may be eligible to 

receive on the same basis as any other Indian Tribe.

ARTICLE V – OTHER PROVISIONS

Section 1. Eligibility for Additional Funding and Services. The Tribe shall be eligible, 

under this Agreement, to receive additional TTP funds on the same basis as other Indian Tribes 

according to statutory formula as provided by 23 U.S.C. § 202 (b)(3), as well as other funds that 

are available to Tribes on a competitive, formula, or other basis, including non-recurring funding 

such as any Federal-aid funds under Chapter 1 of Title 23, United States Code, or funds from 

other sources that may be credited to the TTP as provided by 23 U.S.C. § 202 (a)(9) and made 

available to the Tribe, but only under the terms of an agreement to transfer such funds that is 

acceptable to, and approved by, the Administrator or his designee. Whenever there are errors in 

calculations or other mistakes regarding estimates of available funding that may need to be 

renegotiated, both Parties agree to take action as necessary to correct such errors.

Section 2. Access to Data Available to the Administrator to Administer the Program.

The Tribe is administering a Federal program under the authority of STRA-21 and by resolution 

of the tribal government. In order for the Tribe to carry out this program effectively and without 

diminishment of federal services to program beneficiaries, and consistent with this Agreement, 

the Administrator shall provide the Tribe with all releasable data and information necessary to 

carry out the contractable activies assumed by the Tribe under this Agreement. 
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Tribe_____ FHWA_____

Section 3. Sovereign Immunity. Nothing in this Agreement shall be construed as–

A. affecting, modifying, diminishing, or otherwise impairing the sovereign immunity from 

suit enjoyed by the Tribe; or

B. authorizing or requiring the termination of any existing trust responsibility of the United 

States with respect to the Indian people.

Section 4. Trust Responsibility. Nothing in this Agreement shall absolve the United States 

from any responsibility to individual Indians and the Tribe, including responsibilities derived 

from the trust relationship and any treaty, executive order, or agreement between the United 

States and the Tribe. 

Section 5. Federal Tort Claims Act/Insurance. In accordance with the provisions of 

Pub.L. 101-512, Title III, § 314, 104 Stat. 1959, as amended Pub.L. 103-138, Title III, § 308, 

107 Stat. 1416 (25 U.S.C. § 5321), for purposes of Federal Tort Claims Act coverage under this 

Agreement, the Tribe and its employees are deemed to be employees of the Federal government 

while performing TTP work under this Agreement. This status is not changed by the source of 

the funds used by the Tribe to pay the employee’s salary and benefits unless the employee 

receives additional compensation for performing covered services from anyone other than the 

Tribe. The Tribe is also authorized to use the funds provided under this Agreement to purchase 

such insurance coverage as may be necessary and prudent, in the determination of the Tribe. In 

full recognition of and without undermining the Federal Tort Claims Act protection provided in 

this section, the Parties understand and agree that prudent project management requires that 

Tribal contractors purchase adequate workers compensation, auto and general liability insurance 

when carrying out construction projects funded under this Agreement. Accordingly, the Tribe 

shall include in any construction contracts entered into with funds provided under this 

Agreement a requirement that tribal contractors maintain workers compensation, auto and 

general liability insurance coverage consistent with statutory minimums and local construction 

industry standards. The Parties understand and agree that this insurance requirement does not 

apply to the Tribe itself.
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Tribe_____ FHWA_____

Section 6. Indian and Tribal Preference.

A. Federal law gives hiring and training preferences, to the greatest extent feasible, to Indians 

for all work performed under the TTP. Under 25 U.S.C. § 5307 (b) and (c), Indian 

organizations and Indian-owned economic enterprises are entitled to a preference, to the 

greatest extent feasible, in the award of contracts, subcontracts, and sub-grants for all work 

performed under the TTP. 

B. The Tribe’s employment rights and contracting preference laws, including tribal preference 

laws, apply to this Agreement.

C. As required by 23 U.S.C. § 202 (a)(10), the Tribe shall establish procurement management 

standards providing for full and open competition in accordance with 25 CFR Part 900, 

Subpart F, as authorized by 23 U.S.C. § 202 (b)(7). Tribal labor and tribal force account 

procedures may be employed on any tribal transportation project pursuant to 23 U.S.C. § 

202 (a)(3). If the Tribe wishes to use a procurement method that is not provided for in its 

established procurement management standards or its tribal force account procedures for a 

particular tribal transportation project, the FHWA shall promptly review and respond to a 

written request from the Tribe justifying the alternative procurement method. In making its 

decision, FHWA shall work within the project procurement schedule and comply with the 

liberal construction requirements of 25 CFR § 170.2(h) and the federal obligations set forth 

in 25 CFR § 170.103.

Section 7. Program Review. The Tribe shall allow FHWA officials or their 

designees/representatives, and BIA officials if requested, to perform program reviews including 

but not limited to on-site and virtual reviews of the Tribe’s TTP. The review is intended to allow 

FHWA to carry out its oversight and stewardship responsibilities for the TTP assumed by the

Tribe under this Agreement. 
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Tribe_____ FHWA_____

Section 8. Severability. Should any portion or provision of this Agreement be held invalid, 

it is the intent of the Parties that the remaining portions or provisions thereof continue in full 

force and effect.

Section 9. Termination of the Agreement. In the event that the Tribe wishes to terminate 

this Agreement, the Tribe shall notify the Administrator in writing of its intention to do so, 

including specifying the effective date of termination. On the date of the termination of the 

Agreement by the Tribe as authorized under 23 U.S.C. § 202 (b)(7)(J), or if the Administrator 

makes a specific written finding that the Tribe has failed to comply with the terms of this 

Agreement and provides notice to the Tribe that it is no longer eligible to receive funding under 

this section as authorized under STRA-21, the Administrator shall allocate the funds that would 

have been provided to the Tribe under the Agreement to the Secretary of the Interior to provide 

continued transportation services in accordance with applicable law; provided that if the Tribe 

disputes the Administrator’s eligibility determination, the Parties may utilize the dispute remedies 

available under Article II, Section 4 herein, and the Administrator shall suspend any decision to 

transfer funds to the Secretary of the Interior pending the outcome of the dispute. At the Tribe’s 

election, the Tribe may perform such functions, services and activities as it chooses to include in 

an ISDEAA contract or agreement to be entered into with the Secretary of the Interior upon the 

termination of this Agreement. 

Section 10. Reserved

Section 11. Amendments. Any modification of this Agreement shall be in the form of a 

written amendment and shall require the signed agreement of a duly authorized representative of 

the Tribe and the Administrator. The Parties agree to work together in good faith, following the 

implementation of this Agreement, to identify additional issues or matters that should be 

addressed in this Agreement subject to the Parties’ mutual written consent. 

Section 12. Good Faith. The Parties agree to exercise the utmost good faith in the 

implementation and interpretation of this Agreement and agree to consider and negotiate such 

additional provisions as may be required to improve the delivery and cost-effectiveness of 

transportation services.
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Tribe_____ FHWA_____

Section 13. Successor Agreements. Consistent with the provisions of Article II, Section 1 

herein, the Parties shall commence negotiations of a successor TTP Agreement only after the 

enactment of the highway reauthorization legislation that succeeds STRA-21.

(INSERT NAME OF TRIBE) U.S. Department of Transportation

Federal Highway Administration

By___________________________

(INSERT NAME OF SIGNATORY) 

(INSERT TITLE)

By___________________________

 Stephanie Pollack 

 Acting Administrator

 _______________________

 Date 

 _______________________

 Date 
- 108 -

Exhibit 3.2 – Example Tribal Resolution for Intent to 

Enter into a TTPA

[Insert Tribe name]

[Insert address]

[Insert City, State Zip Code]

[Insert Ph: (xxx) xxx-xxxx]

[Insert Email: www.xyz.xxx]

RESOLUTION: [Insert Number]

Approving the [INSERT NAME OF TRIBE]’s Assumption of Transportation Functions under the “Surface 

Transportation Reauthorization Act of 2021” (STRA-21), also colloquially known as the “Bipartisan 

Infrastructure Law” (BIL), and Approving the Issuance of a Notice of Intent to Federal Highway 

Administration and Bureau of Indian Affairs.

WHEREAS, [INSERT NAME OF TRIBE] Council is the governing body of the [INSERT NAME OF 

TRIBE], a federally recognized Indian Tribe; and 

WHEREAS, the [INSERT NAME OF TRIBE] Council finds that transportation infrastructure and 

facilities provide access, services, and improves the safety and security of Tribal members and 

nonmembers; and 

WHEREAS, the Unites States Congress passed and the President of the United States signed STRA-21 

highway reauthorization; and 

WHEREAS STRA-21 authorizes the United States Secretary of Transportation to enter into a funding 

agreement with a federally recognized Indian tribal government to assume the responsibilities of and the 

associated funding for the Tribal Transportation Program (TTP) serving a Tribe; and 

WHEREAS, STRA-21 provides that an Indian tribal government may carry out any TTP Program or 

project through a contract or agreement with the United States Secretary of Transportation in accordance 

with the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5301 et seq.) and further 

provides that the Indian tribal government may assume all functions and duties that the United States 

Secretary of the Interior would have performed other than those functions and duties that inherently cannot 

be legally transferred under the Indian Self-Determination and Education Assistance Act (25 U.S.C. § 5301

et seq.).; and 

WHEREAS, the [INSERT NAME OF TRIBE] government believes that establishing a comprehensive 

transportation program will further the long-term interests of the Tribe, afford greater flexibility and control 

to prioritize transportation needs, and permit our Government to utilize flexible financing arrangements 

available by law to speed the development of transportation infrastructure; and

WHEREAS, the [INSERT NAME OF TRIBE] Council desires to assume the United States Secretary of 

the Interior's duties and functions with respect to the TTP and such other Tribal transportation programs-as 

may be appropriate under 23 U.S.C, 25 CFR Part 170, and STRA-21 ; and 
- 109 -

WHEREAS, the [INSERT NAME OF TRIBE] tribal transportation department possesses the financial 

stability and management capability required by STRA-21 to assume the United States Secretary of the 

Interior's responsibilities in the area of transportation planning, design, construction and maintenance;

NOW, THEREFORE BE IT RESOLVED, that the [INSERT NAME OF TRIBE] Council does hereby 

approve the issuing of a Notice of Intent to the United States Department of Interior, Bureau of Indian 

Affairs and the United States Department of Transportation, Federal Highways Administration to assume 

the transportation duties of the Secretary of the Interior under the TTP, together with transportation-related 

activities, and instructs the Tribal President to take all necessary actions to develop with the Federal 

Highway Administration a mutually acceptable government-to-government agreement to administer the 

TTP; and 

BE IT FURTHER RESOLVED, that the [INSERT TITLE] is hereby authorized and instructed to sign 

this Resolution and all necessary agreements and contracts for and on behalf of the Tribe in order to 

establish and assume the transportation duties of the Secretary of the Interior serving the [INSERT NAME 

OF TRIBE]. 

CERTIFICATION 

This resolution was duly considered and adopted at a meeting of the [INSERT NAME OF TRIBE], on 

[insert date], [enter year], at which a quorum of Council members were in attendance. 

For: Against: Abstain: 

Present: Absent: 

ATTEST:

 _______________________________________ 

First Name Last Name, Title Date

_______________________________________ 

First Name Last Name, Title Date
110

Exhibit 3.3 – FHWA Referenced Funding Agreement (RFA) Template

UEI #TRIBES UEI ID #BIA 6 Code GRANT # (FAIN) YYYYYYYYYYY PO # YYYYYYYYYY

FISCAL YEAR 20XX

REFERENCED FUNDING AGREEMENT

Pursuant to (INSERT NAME OF TRIBE)’s 

Tribal Transportation Program Agreement

with the Department of Transportation

Section 1. Authority. This Referenced Funding Agreement (RFA) is entered into by the 

Administrator, Federal Highway Administration (hereinafter “FHWA”) on behalf of the Secretary 

of Transportation, and by (INSERT NAME OF TRIBE) (Tribe) and together with the FHWA 

(collectively “the Parties”), pursuant to the Tribal Transportation Program Agreement (Program 

Agreement) between the Parties for comprehensive transportation planning, research, design, 

engineering, construction, maintenance of highway, road, bridge, parkway, or transit facility 

programs or projects that are located on, or which provide access to, (INSERT NAME OF 

TRIBE/Reservation/Alaska Native Village/Consortium) along with related program administration 

activities and associated transportation services authorized by the Tribal Transportation Program 

(TTP), 23 U.S.C. §§ 201-202, as amended by the Surface Transportation Reauthorization Act of 

2021 (STRA-21), Div. A of Pub. L. 117-58 (November 15, 2021), also colloquially known as the 

“Bipartisan Infrastructure Law,” or “BIL,” 25 C.F.R. Part 170 and 23 C.F.R. Part 661 (together, the 

“TTP Regulations”), and in accordance with the Indian Self-Determination and Education 

Assistance Act (ISDEAA), Pub. L. 93-638, as amended, 25 U.S.C. § 5301 et seq., including for 

purposes of Federal Tort Claims Act coverage, and by resolution of the Tribe’s governing body.

Section 2. Effective Date. This RFA is effective upon its approval and execution by 

authorized representatives of the Tribe and FHWA, except that if the Program Agreement is not yet 

in effect, then this RFA shall become effective upon approval of the Program Agreement by 

authorized representatives of the Tribe and FHWA.

Section 3. Purpose. The purpose of this RFA is to identify the source and amounts of funds 

for Fiscal Year 20XX made available to the Tribe under the Program Agreement, the time and 
111

method of payment, and such other provisions as the Parties agree in writing, if any, as provided 

below.

Section 4. Summary of Funds. The total amount and sources of funding provided under this 

RFA are as follows:

FY 20XX Tribal Transportation Program and other Funding: 

 TTP Funds $ 0.00 

 TTP Transportation Planning Funds (2%) $ 0.00 

 Tribal Transportation Facility Bridge Funds $ 0.00 

 TTP Tribal Safety Funds $ 0.00 

 Total FY 20XX Funds Available4

: $ 0.00 

Total Amount for this RFA: $ 0.00

Section 5. Time and Method of Payment. Subject to the availability of funds, and the 

execution of this RFA by both Parties, the Director shall provide to the Tribe or its designee the 

funds identified in Section 4 of this RFA in a single advance payment within thirty (30) calendar 

days. This transfer shall be made electronically. The final amounts available in the fiscal year are 

subject to the determination of the Tribe’s share and other funds described under Article II, Section 

2.A of the Program Agreement. 

Section 6. Amendments. Except as otherwise provided by the Program Agreement, any 

modification of this RFA shall be in the form of a written amendment and shall require the 

signatures of the authorized representatives of the Tribe and the Director.

4 The Parties acknowledge that the TTP funds identified on and made available through this RFA reflect the initial amount made 

available in FY 20XX as a result of the passage of Public Law 117-180, which resulted inXX.XX% of FYXX Program Levels being made 

available.
112

Section 7. Fiscal Year 20XX Referenced Funding Agreement. The Parties shall commence 

negotiation of a successor RFA at the beginning of Fiscal Year 20XX, with the intention that the 

FY20XX RFA be made available for use no later than November 1, 20XX.

(INSERT NAME OF TRIBE) U.S. Department of Transportation

Federal Highway Administration

By___________________________

 (INSERT NAME OF SIGNATORY),

 (INSERT TITLE)

By__________________________________

 Erin Kenley

 Director

 Office of Tribal Transportation

_______________________ 

Date

_______________________ 

Date

LOA: Fund (15X0G60050); Budget Year (0000); BPAC (114V600500); Object Class Code (41013)

Cost Center #1420003018

CFDA 20.205

CAGE 

1 The Parties acknowledge that the TTP funds identified on and made available through this RFA reflect the initial amount made available in FY 

20XX as a result of the passage of Public Law 117-180, which resulted inXX.XX% of FYXX Program Levels being made available.

UEI #TRIBES UEI ID #BIA 6 Code GRANT # (FAIN) YYYYYYYYYYY PO # YYYYYYYYYY
113

Exhibit 3.4 – FHWA Referenced Funding Agreement (RFA) Amendment 

Template

UEI #«UEI_» ID #«BIA_Tribe_Code» GRANT # (FAIN) «FAIN_s» PO #«PO_s» 

 «Bridge PO»

REFERENCED FUNDING AGREEMENT

Pursuant to the «FHWA_Tribe»’s Tribal Transportation Program Agreement 

with the Department of Transportation for Fiscal Year 20XX

Amendment # «Amendment_»

In accordance with Section 6. Amendments of the Referenced Funding Agreement, dated 

«Date_Signed», pursuant to the Tribal Transportation Program Agreement between 

«FHWA_Tribe» and the United States, Section 4. Summary of funds is hereby amended, as 

follows: 

4. Summary of Funds. The total amount and sources of funding provided under this RFA are as 

follows: 

FY 20XX Tribal Transportation Program Funding: 

 TTP Funds $«Full_Year_Tribal_Share» 

 TTP Transportation Planning Funds (2%) $ «Full_Year_2_Plang» 

FY 20XX Tribal Facility Bridge Program Funding: 

 TTP Bridge Funds $ «Bridge» 

Total Amount for this RFA: $ 

«Total_Amount_this_RFA»*

SUMMARY

Amount of this RFA $ «Total_Amount_this_RFA» 

Amount provided through prior FY 20XX RFAs

$ «Total_Amt_Prior_RFA» 

Total Amount provided to date through FY 20X

X RFAs $ «Total_Amt_Provided_to_date» 
114

«FHWA_Tribe»

By___________________________ 

 «Signator_Name», 

 «Signator_Title_» 

_______________________ 

Date

U.S. Department of Transportation

Federal Highway Administration 

By__________________________________ 

 Erin Kenley

 Director

 Office of Tribal Transportation

_______________________ 

Date

LOAs: 

«PO_s» in the amount of «Total_TTP»: Fund (15X1G60050); Budget Year (0000); BPAC (114V600500); Object Class 

Code (41013)

«IF BRIDGE»B in the amount of «BFP_Funds»: Fund (1540552B50); Budget Year (0000); BPAC (114N974500); 

Object Class Code (41013)

Cost Center #«Cost_Center»

CFDA# - 20.205

*

Parties acknowledge that the funds shown in this RFA reflect the remaining amounts made available in FY 2022 as a result of the passage of Public 

Law 117–103 which resulted in 91.3% of Authorized Program levels being made available.
- 115 -

Exhibit 3.5 – Formal On-Boarding Letter from FHWA to Tribe 

DATE

Tribal Chairman

Tribal address

Dear Mr. Chairman/President;

This letter is to inform you that FHWA has received your (letter/tribal resolution) indicating 

(TRIBAL NAME)’s request to enter into a Tribal Transportation Program (TTP) Funding 

Agreement with the Federal Highway Administration (FHWA). For purposes of tribal 

assessment and satisfying our on-boarding process, please provide copies of the following 

information to FHWA as soon as possible: (TC TO MODIFY LIST ACCORDINGLY)

• Tribal resolution;

• Immediate past 3 years of Annual Single Audits. Although FHWA doesn’t necessarily 

need the full audit report, any findings and discussions related to the Tribe’s DOT 

program, as well as for its other Federal programs should be provided, including; 

o Copies of auditor’s letters attesting to any internal controls or compliance findings 

or lack thereof; and

o Any corrective action plans/implementation schedules that were developed for 

any material findings identified in the Audits.

• If the Tribe expended less than $750,000 of Federal funding during a Tribal fiscal year, 

the Single Audit requirement identified above does not apply. In these cases, please 

provide:

o Copies of any internal or external financial review/audits that may have taken 

place over the past three fiscal years as well as any corrective action plans and 

implementation schedules that were developed; or

o If audits were not carried out, copies of the “Certification of Non-Audit 

Requirements letter” that was previously provided to BIA for the past three fiscal 

years.

• The Tribe’s organizational chart for the Transportation and Financial Departments; and

• Copies of the Tribe’s written Financial, Procurement, and Property Management 

Procedures, if available.

Enclosed with this letter, please find the following for your reference:

o A sample of the FHWA Program Agreement and Referenced Funding Agreement 

templates;

o A copy of the FHWA Program Agreement Orientation Presentation; and
- 116 - 

o A copy of the FHWA on-boarding orientation checklist.

All of this information and much more can be found in the Tribal Transportation Program 

Delivery Guide that was developed by FHWA and Tribes for our use in carrying out the 

program. The link to the Guide is https://highways.dot.gov/federal-lands/pddm. 

A member of the FHWA Office of Tribal Transportation (OTT) Team will be in contact with you in 

the very near future to review this material as well as to discuss the on-boarding process.

After review of the documentation and acceptance by FHWA, the primary stewardship and 

oversight of your Tribe’s TTP operations will shift to FHWA, including the providing of TTP 

funding. In order to make the transition as efficient as possible, we will work with you and the 

BIA Regional Office to arrange a meeting to discuss the following:

- Prior year and current year TTP funding that (TRIBE NAME) received;

- The status of any outstanding/ongoing projects with regards to Stewardship and 

Oversight responsibilities;

- Outstanding and future reporting requirements; and 

- Transportation Improvement Program (TIP) status.

FHWA appreciates the opportunity to work with you and we look forward to working together to 

make the (TRIBE’S) Transportation Program a success.

Respectfully,

Erin Kenley,

Director – FHWA Office of Tribal Transportation 

CC: BIA Regional Road Engineer

 BIADOT

 
- 117 -

Exhibit 3.6 – Formal Off-boarding Letter from FHWA to Tribe 

DATE

Tribal Chairman

Tribal address

Dear Mr. Chairman/President:

This is to inform you that the Federal Highway Administration (FHWA) has received your 

(letter/tribal resolution) indicating (TRIBAL NAME)’s request to terminate the Tribal 

Transportation Program Funding Agreement between yourself and FHWA. This termination will 

become effective on the date of this letter and will shift the Tribe’s Tribal Transportation 

Program operations to the Bureau of Indian Affairs (BIA). FHWA will provide all funding made 

available for (TRIBE) to the BIA from this point forward. In order to make the transition as 

efficient as possible, we request that you, with assistance from the BIA Regional Office, arrange 

a meeting with FHWA to discuss the following:

- Tribal shares that (TRIBE NAME) received under your previously signed Program 

Agreement with FHWA;

- The status of any outstanding/ongoing projects with regards to Stewardship and 

Oversight responsibilities;

- Outstanding and future reporting requirements; and 

- Transportation Improvement Program (TIP) status.

FHWA appreciates the opportunity we had to work together and wish you success in the future.

Respectfully,

Erin Kenley

Director – FHWA Office of Tribal Transportation

CC: BIA Regional Road Engineer

 BIADOT
- 118 -

Exhibit 3.7 – FHWA On-Boarding Orientation Checklist
- 119 

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- 120 

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- 121 -

Exhibit 3.8 – 202(a)(9) Intergovernmental Fund Transfer Agreement 

Template

INTERGOVERNMENTAL FUND

TRANSFER AGREEMENT

AMONG THE

[INSERT NAME OF STATE] STATE DEPARTMENT OF TRANSPORTATION

AND THE

UNITED STATES DEPARTMENT OF TRANSPORTATION

FEDERAL HIGHWAY ADMINISTRATION

AND THE

[INSERT NAME OF TRIBE]

This Intergovernmental Fund Transfer Agreement (“Agreement”) is entered into by and among the 

[INSERT NAME OF STATE] State Department of Transportation (“State”), the United States of 

America, Department of Transportation, Federal Highway Administration – Office of Federal 

Lands Highway (“FHWA”), and the [INSERT NAME OF TRIBE] (“Tribe”), a federally 

recognized Indian Tribe.

WHEREAS, the Tribe, in cooperation with the State, are proposing improvements to INSERT 

NAME OF TRANSPORTATION FACILITY – HERE’S AN EXAMPLE: Marine Drive, a major 

arterial within the boundaries of the Tulalip Reservation; and

WHEREAS, INSERT OVERVIEW OF THE PROJECT, INCLUDING SOME DETAILS –

HERE’S AN EXAMPLE: the Marine Drive Pedestrian Pathway (“Project”) provides for a 

pedestrian and bicycle facilities along the Marine Drive corridor. Currently, Marine Drive has 

sidewalks and bicycle lanes from I-5 to 7th Drive NW, providing approximately 3.1 miles of 

pedestrian facilities. The Project will add a multi-use trail, connecting 7th Drive NW to 36th

Avenue NW. Once constructed, the Project will provide approximately 2.4 miles of illuminated, 

multi-use trail for users and enhanced storm water management facilities. This Project includes 

design elements that provide pedestrian facilities that meet federal accessibility guidelines, 

establish new storm water management facilities, and adds new pedestrian illumination. These 

improvements are integrated with and are empowered by the Tribe’s Long Range Transportation 

Plan. The Project will be constructed in accordance with the approved plans and specifications; 

and

WHEREAS, the Project will be carried out on a transportation facility that is listed on the 

National Tribal Transportation Facility Inventory (“NTTFI”); and

WHEREAS, in accordance with 23 U.S.C. §§ 104 (f)(3)(A) and 202 (a)(9), the State desires to 

transfer to the Tribe, via FHWA, contract and obligation authority in the sum of 

$INSERT (“Funds”) so the Tribe may carry out the Project in accordance with Addendum A; and

WHEREAS, details of the Project are fully described in Addendum A to this Agreement; and

WHEREAS, under the Fixing America’s Surface Transportation Act (“FAST Act”), P.L. 114-94 

(December 4, 2015), the Congress of the United States appropriated Federal-aid funds to be 
- 122 -

apportioned or allocated to the State for use on State and local agency priorities throughout the 

State; and

WHEREAS, Section 1118 of the FAST Act, reauthorized the Tribal Transportation Program 

(TTP) under 23 U.S.C. § 202, which distributes on a tribal shares basis funds for eligible planning 

and construction activities on transportation facilities that are located within, or provide access to, 

tribal lands; and

WHEREAS, FHWA and the United States Department of the Interior, Bureau of Indian Affairs 

(“BIA”) jointly administer the TTP pursuant to a Memorandum of Agreement between the BIA 

and FHWA; and

WHEREAS, the State and FHWA wish to support the Tribe’s involvement in the improvement of 

road safety, planning and construction of infrastructure to facilitate and support economic 

development and other activities that are within, or provide access to, the Tribe’s lands consistent 

with the purposes of the TTP; and

WHEREAS, the Project will be administered in accordance with all applicable Federal 

requirements including, but not limited to, the National Environmental Policy Act (NEPA) and the 

regulations governing the TTP at 25 C.F.R. Part 170; and

WHEREAS, 23 U.S.C. § 202 (a)(9) – Cooperation, provides that the cooperation of States, 

counties, or other local subdivisions may be accepted in construction and improvement, and that 

any funds received from a State, county, or local subdivision shall be credited to appropriations 

available for the TTP; and

WHEREAS, the State and the Tribe have requested that FHWA accept the Funds from the State 

and transfer the Funds to the Tribe, that FHWA accept all stewardship and oversight responsibility 

involving the use of the Funds by the Tribe, and the Parties agree that any Federal-aid match 

requirements have been met.

NOW THEREFORE, the Parties agree as follows –

A. Project Identification and Source of Funding

1. As described in Addendum A, the Tribe and State have identified the need and 

agreed upon a plan to carry out the Project.

2. The State has agreed that the Project will be carried out by the Tribe under the 

terms of Addendum A.

3. As described above, Congress has appropriated the Funds to carry out the Project 

and the Funds were made available to the State.

4. The Funds are not part of any appropriations made available by the Congress for 

obligation by FHWA or the BIA for the TTP.
- 123 -

B. Authority for this Agreement

1. The authority for this Agreement is 23 U.S.C. §§ 104 (f)(3)(A) and 202 (a)(9).

2. This Agreement shall not constitute a contract, compact, annual funding 

agreement, or other agreement under the Indian Self Determination and Education 

Assistance Act (ISDEAA), P.L. 93-638, as amended, and no provisions of the 

ISDEAA are specifically adopted, incorporated by reference, or otherwise included 

in this Agreement.

C. State Responsibility

1. Pursuant to 23 U.S.C. § 104 (f)(3)(A), the State shall request that the FHWA 

Division Office transfer the Funds to the FHWA – Federal Lands Highway 

Headquarters in furtherance of implementation of 23 U.S.C. § 202 (a)(9)(B).

2. The State shall provide certain services or activities for the Project, if any, as 

described in Addendum A.

3. The State shall be relieved of all stewardship and oversight obligations involving 

the Funds upon transfer of the Funds to FHWA.

D. FHWA Responsibilities

1. FHWA shall accept the Funds from the State and upon receipt of the Funds FHWA 

shall become responsible for all stewardship and oversight obligations involving 

use of the Funds by the Tribe in accordance with Addendum A, the terms of which 

are incorporated by reference and fully made part of this Agreement.

2. Subject to the requirements described in Paragraph E.1, below, FHWA shall 

transfer the Funds to the Tribe.

3. FHWA shall continue carrying out program management and oversight of the 

Project in accordance with the TTP, its regulations at 25 C.F.R. Part 170 and any 

applicable Federal law, but this Agreement shall not bind FHWA or BIA to 

providing funds from other sources for designing, constructing, managing or 

supervising the Project.

E. INSERT NAME OF TRIBE’s Responsibilities

1. The Tribe shall establish a separate bank account to receive the Funds from 

FHWA and transmit the bank, name, address, routing, and account numbers to 

FHWA within ten business days of full execution of this Agreement.

2. In accordance with Addendum A, the Tribe will undertake and perform only those 

eligible activities associated with the Project that are allowed under Title 23 of the 

United States Code and any applicable regulations at Parts 23 or 25 of the Code of 

Federal Regulations.

3. In the event that the Tribe does not carry out the Project or the total amount of 

Funds transferred pursuant to this Agreement are not expended, the Tribe agrees to 

return the remaining Funds to the State upon written demand of the State and 

agreement by the Tribe, whose agreement shall not be unreasonably withheld. 
- 124 -

4. The Tribe shall invite State representatives to participate in the final inspection of 

the Project, as well as any other activities as provided under Addendum A.

F. Transfer of Funds from FHWA to the INSERT NAME OF TRIBE

FHWA shall notify the Tribe when the Funds are received from the State. If the Tribe has 

not already done so, the Tribe shall provide FHWA with its bank information described in 

Paragraph E.1, above. FHWA shall then transfer the Funds to the Tribe within ten 

business days of receipt of the Funds from the State or the Tribe’s banking information, 

whichever FHWA receives last.

G. General Provisions

1. FHWA shall not act as a surety or guarantor of any Tribal or State private, 

commercial, or governmental financing instrument obtained for the planning, 

design or construction of the Project.

2. FHWA shall not be liable under any theory of law or equity to transfer to the Tribe 

under this Agreement any funds other than the Funds that are the subject of this 

Agreement.

3. Should any portion or provision of this Agreement be held invalid, the remaining 

portions or provisions shall continue in full force and effect.

4. This Agreement is binding upon the signatories hereto not as individuals but solely 

in their capacities as officials of their respective governments and each 

acknowledges that he or she is authorized to execute this Agreement on behalf of 

their respective government.

5. This Agreement contains all of the terms and conditions governing the transfer of 

Funds from the State to FHWA and on to the Tribe. No other terms or conditions 

apply. Any amendment or modification of the Agreement must be made in writing 

and signed by the authorized representative of the Tribe, the State, and FHWA.

6. Nothing in this Agreement shall be construed as a waiver of the Tribe’s sovereign 

immunity regarding the activities undertaken by the Tribe as described generally 

herein or in Addendum A, including any contracts, grants or subcontracts entered 

into between the Tribe and third parties necessary for the Project. The Tribe does 

not, by entering into this Agreement, consent to the jurisdiction of a State court to 

hear any claims or disputes arising under this Agreement, whether arising as 

claims against the Tribe itself, its wholly owned entities, or any employee of the 

Tribe performing work hereunder. No Tribe employee shall be subject to the 

jurisdiction of the State's courts as a result of having performed work associated 

with the Project.

7. Nothing in this Agreement shall be construed as a waiver of the State's sovereign 

immunity or of any limitation of liability afforded to the State by its laws. The 

State does not, by entering into this Agreement, consent to the jurisdiction of a 

tribal court to hear any claims or disputes arising under this Agreement, whether 

arising as claims against the State itself or against any employee of the State 

performing work hereunder. No State employee shall be subject to the jurisdiction 

of the Tribe’s court as a result of having performed design, inspection, or other 

work associated with the Project.
- 125 -

H. Authorized Representatives. Each authorized representative below will have the 

responsibility to administer and, unless otherwise noted, serve as the main point of contact for 

the Project described in this Agreement and Addendum A.

For FHWA:

NAME

TITLE

STREET ADDRESS

CITY, STATE ZIP

Work Phone 

Mobile Phone (OPTIONAL)

Email

For the Tribe:

NAME

TITLE

STREET ADDRESS

CITY, STATE ZIP

Work Phone 

Mobile Phone (OPTIONAL)

Email

For the State:

NAME

TITLE

STREET ADDRESS

CITY, STATE ZIP

Work Phone 

Mobile Phone (OPTIONAL)

Email
- 126 - 

IN WITNESS WHEREOF, the Parties hereto have executed this Agreement as of the Party’s 

date last signed below. 

STATE OF [INSERT NAME OF STATE]

DEPARTMENT OF TRANSPORTATION

 Date 

NAME

TITLE

APPROVED AS TO FORM:

 Date 

NAME

TITLE

UNITED STATES DEPARTMENT OF TRANSPORTATION

FEDERAL HIGHWAY ADMINISTRATION

 Date 

Timothy Hess 

Associate Administrator

APPROVED AS TO FORM:

 Date 

Vivian Philbin

Assistant Chief Counsel – Federal Lands

INSERT NAME OF TRIBE

 

NAME

TITLE

APPROVED AS TO FORM:

NAME OF TRIBAL LEGAL OFFICE

 Date 

NAME

TITLE
- 127 -

Exhibit 3.09 – 202(a)(9) Addendum to the Intergovernmental Fund 

Transfer Agreement

ADDENDUM A

to the

INTERGOVERNMENTAL FUND

TRANSFER AGREEMENT

among the

[INSERT NAME OF STATE ] STATE DEPARTMENT OF TRANSPORTATION

and the

UNITED STATES DEPARTMENT OF TRANSPORTATION

FEDERAL HIGHWAY ADMINISTRATION

and the

[INSERT NAME OF TRIBE]

PROJECT: [INSERT SHORT TITLE]

FUND AMOUNT: $

TRIBAL MATCHING FUNDS: $ 

TOTAL: $

SOURCE OF FUNDING: [INSERT NAME OF FUNDING SOURCE]

INTRODUCTION

The [INSERT NAME OF TRIBE] (“Tribe”) has elected to enter into an Intergovernmental Fund 

Transfer Agreement (“Agreement”) with the [INSERT NAME OF STATE] State Department of 

Transportation (“State”) and the United States Department of Transportation, Federal Highway 

Administration, Office of Federal Lands Highway (“FHWA”) in order to transfer funding 

through the Agreement pursuant to 23 U.S.C. § 202 (a)(9) for a [INSERT SHORT TITLE OF 

PROJECT] project. This statute permits the transfer of the State’s contract and obligation 

authority (“Funds”) for the project to the Tribe through FHWA. Upon receipt of the Funds from 

the State, FHWA shall be responsible for all stewardship and oversight responsibility associated 

with the Funds.

PROJECT

[INSERT OVERVIEW OF PROJECT INCLUDING SOME DETAILS – COPYING AND 

PASTING FROM THE SECOND “WHEREAS” CLAUSE IN THE IGFTA SHOULD BE 

ACCEPTABLE – HERE’S AN EXAMPLE FROM TULALIP’S 202 (a)(9)] he Marine Drive 

Pedestrian Pathway (“Project”) provides for a pedestrian and bicycle facilities along the Marine 

Drive corridor. Currently, Marine Drive has sidewalks and bicycle lanes from I-5 to 7th Drive 

NW, providing approximately 3.1 miles of pedestrian facilities. The Project will add a multi-use 

trail, connecting 7th Drive NW to 36th Avenue NW. Once constructed, the Project will provide 

approximately 2.4 miles of illuminated, multi-use trail for users and enhanced storm water 

management facilities. This Project includes design elements that provide pedestrian facilities 
- 128 -

that meet federal accessibility guidelines, establish new storm water management facilities, and 

adds new pedestrian illumination. These improvements are integrated with and are empowered 

by the Tribe’s Long Range Transportation Plan.

SCOPE OF AGREEMENT

The parties agree to cooperate to ensure the implementation of the Project as follows

1. The State agrees to:

a. Transfer the Funds to FHWA’s Washington Division Office for transfer 

to Federal Lands Highway – Headquarters and final transfer to the Tribe 

through its FHWA Tribal Transportation Program Agreement (“FHWA 

TTP Agreement”);

b. Rely on FHWA for stewardship and oversight responsibility for the 

Funds and the Project; and

c. Upon request, cooperate with the Tribe and FHWA in the 

implementation of the Project and cooperate in Project reviews deemed 

necessary by FHWA.

2. FHWA agrees to:

a. Accept the transfer of the Funds from the State and credit the Funds to 

the TTP for use by the Tribe under the authority cited in the current 

TTP Agreement between the Tribe and FWHA;

b. Provide oversight and ensure that the Funds are utilized in accordance 

with all applicable laws and regulations. 

c. Administer the funds and provide them to the Tribe, subject to normal 

procedures under the Tribe’s FHWA TTP Agreement; 

d. Provide the State with copies of the Tribe’s semi-annual Project reports 

required under the Tribe’s FHWA TTP Agreement;

e. Upon request provide records to [INSERT NAME OF STATE] DOT and 

cooperate in any type of Project reviews; and

f. Provide final Project closeout report to the State for review and 

acceptance, as required under the Tribe’s FHWA TTP Agreement.

3. Tribe agrees to:

a. Receive the Funds in accordance with its current FHWA TTP 

Agreement, which authorizes the Tribe, as public authority under 23 

U.S.C. § 101 (a)(20), to carry out all but the inherently Federal 

functions of the Tribal Transportation Program;

b. Carry out the Project in accordance with all applicable Federal laws and 

regulations;

c. Comply with all aspects of the Tribe’s FHWA TTP Agreement 

including project reporting, oversight, and closeout requirements; and
- 129 -

d. Notify FHWA and the State of Project completion and timely respond 

to inquiries regarding the Project prior to completion.

AUTHORIZED REPRESENTATIVES

 

Each authorized representative below will have the responsibility to administer and, unless 

otherwise noted, serve as the main point of contact for the Project described in this Addendum A 

and the Agreement:

For FHWA:

NAME

TITLE

STREET ADDRESS

CITY, STATE ZIP

Work Phone 

Mobile Phone (OPTIONAL)

Email

For the Tribe:

NAME

TITLE

STREET ADDRESS

CITY, STATE ZIP

Work Phone 

Mobile Phone (OPTIONAL)

Email

For the State:

NAME

TITLE

STREET ADDRESS

CITY, STATE ZIP

Work Phone 

Mobile Phone (OPTIONAL)

Email
- 130 -

Exhibit 4.1 – TTP Online Reporting Tool - Financial Report
- 131 

-
- 132 

-
- 133 

-
- 134 - 

Exhibit 4.2 – TTP Online Reporting Tool - Report on NonConstruction Activities

 
- 135 

-
- 136 

-
- 137 - 
- 138 - 
- 139 - 
- 140 

-
- 141 -

Exhibit 4.3 – TTP Online Reporting Tool - Report on Each Project
- 142 - 
- 143 - 
- 144 - 
- 145 - 
- 146 -

Exhibit 5.1 – Example TTP Transportation Planning Process
- 147 -

Exhibit 5.2 - Microsoft Access FHWA TTIP Template
- 148 

-
- 149 - 
- 150 - 

Exhibit 5.3 - Tribal Resolution Template to Accept/Approve the TTIP

[Insert Tribe name] 

[Insert address]

[Insert City, State Zip Code]

[Insert Ph: [xxx] xxx-xxxx] 

[Insert Email: xyz@xxx] 

RESOLUTION [# 14-##] 

A RESOLUTION AUTHORIZED BY THE [insert Tribal Council’s name] TO ACCEPT AND 

APPROVE THE TRIBAL TRANSPORTATION PROGRAM [TTP] 2018 TIP

WHEREAS, [insert Tribal Council’s name] is fully authorized to act on behalf of our members of the 

[insert Tribe’s name] in matters arising from the Indian Self-Determination Act of 1975, P.L. 93-638, as 

amended, 25 U.S.C.§ 5301 etSeq,; and 

WHEREAS, the governing body of [insert Tribal Council’s name] is a [insert number of members that 

make up the Tribal Council] member council empowered to act for and on behalf of its Tribal members 

in adopting resolutions; and 

WHEREAS, the TTP 2014 TIP is necessary to approve spending FHWA funds; 

WHEREAS, the [insert Tribal Council’s name] finds that rebuilding roads and bridges on, or which 

provide access to [insert Tribe name] improves the safety and security of Tribal members and 

nonmembers who live or work in the [Insert Tribe name], and renews the sense of pride that all members 

have for our Tribe; and 

NOW, THEREFORE BE IT RESOLVED: The [insert Tribal Council’s name] accepts and approves 

the TTP 2014 TIP, consistent with Title 23 USC Section 135 and 204 and the Tribe’s Long Range 

Transportation Plan. 

BE IT FURTHER RESOLVED, that the [insert title of leader of tribal government, such as Tribal 

President] is hereby authorized and instructed to sign this Resolution and all necessary agreements and 

contracts for and on behalf of the Tribe in order to establish and assume the transportation duties of the 

Secretary of the Interior serving the [insert Tribe name]. 

CERTIFICATION 

This resolution was duly considered and adopted at a special meeting of the [insert Tribal Council’s 

name] called and convened this ____day of _______, 2014, with a quorum present, by a vote of ___ in 

favor, ___against and ____abstaining. 

_________________________________________ _______________ 

[Insert name of leader of Tribal Government, Title] Date

[Insert Tribe name]
- 151 -

Exhibit 5.4 - TTIP Certification 

Transportation Planning Process

and

Tribal Transportation Improvement Program (TTIP)

Certification Statement

As agreed upon in the Tribal Transportation Program (TTP) Agreement with the United State 

Department of Transportation for the [insert reservation name, Alaska native village, or service 

area], the [ Tribe] hereby certifies that it has fulfilled the functions and duties of the Secretary of 

the Interior in accordance with the requirements of 25 CFR § 170 in carrying out a planning 

process and in developing the Tribal Transportation Improvement Program including: 

1. Facilitating Public Involvement on the TTIP with all stakeholders, 

2. All projects in the TTIP are consistent with the Tribal Long Range Transportation

 Plan, 

3. All projects listed in TTIP are on the National Tribal Transportation Facility Inventory

 (NTTFI), 

4. TTIP contain all TTP funded projects programmed for construction in the

next 4 years, 

5. TTIP is financially constrained, 

6. TTIP contains uncompleted project(s) from previous TTIP carried-over,

7. Consultation and coordination with State DOT and/or MPO’s for regionally significant

 projects are complete (if applicable).

________________________ 

[Name and title] 

[Entity] 

[Date]
- 152 - 

Exhibit 5.5 - Pre-Project Planning Worksheet

I. General Project Information 

1. Project name: ______________________________________________________ 

2. TTP route number: ____________ 

3. Type of work:______________________________________________________ 

(Resurfacing, signalization, reconstruction, etc.) 

______________________ 

Length or area: _____________ 

Historical cost for type of work: _________________ 

PS&E (usually between 10-25% of the overall project costs) $__________ 

CE (usually between 10-15% of the overall project costs) $_____________ 

 Estimated Project Cost: $_______________ 

(Use these estimates for documenting the project in the TTIP) 

II. Purpose and need of project: (Answer these two questions: (1) What is the problem? (2) What 

are the consequences of not addressing the problem?

. 

. 

Cooperation with other government agencies needed? __ Yes __ No 

Agency name: ______________________________________________ 

Is project regionally significant? __ Yes __ No 

Note: Regionally significant projects are typically projects anywhere in the State that 

have direct impact on a regional transportation system or those projects that serve 

regional transportation needs (e.g., major activity centers, major planned developments 

such as major retail malls, sport complexes, employment centers, or transportation 

terminals) and are normally part of the metropolitan or regional transportation network 

model. For more information contact the State Department of Transportation or the 

Metropolitan Planning Organization in your area. 

III. Existing Facility: Will facilities be impacted? Example: utilities, culverts, bridges, etc. If so, 

what will the cost be for removing / replacing? 

Type Estimate Cost ($)
- 153 - 

IV. Socioeconomic/Environmental: Are any expected to be impacted?

Type Yes No

Endangered Species

Historical/Archeological

Wetlands

Public hearing needed

Other?

V. Proposed Project Development: (place a check mark next to the proposed entity to perform the work) 

Type Tribe BIA 

Region/Agency

FLH Estimate 

Cost ($)

Survey

NEPA*

Preparing NEPA 

Documents

Preparing 

environmental resource 

documents

Design

Safety Audit

Power line – Overhead

Other Cost

Right-of-Way 

Relocation

Type of ROW Fee___ Non-Fee___

* FLH and BIA are Lead Federal agencies responsible for writing NEPA decision
- 154 -

Exhibit 5.6 - Example TIP Administrative Modification and Amendment 

Guidelines

Revision 

Type

Amendment Administrative Modification*

Addition or 

deletion of a 

project

Any addition or deletion 

not specifically listed as 

an administrative 

modification.

Addition or deletion of a project that is:

a) An emergency repair;

b) From a grouped project, provided it is within 

the funded amount;

c) Not regionally significant.

Change in 

project cost

Any amount above the 

cost threshold. Changes 

that adversely impacts 

financial constraint.

Any amount equal or below the cost threshold.

Thresholds that are a percentage of total project cost and/or a flat dollar amount. The actual 

amounts should be based on the average cost of projects in the program, and so will vary 

from Tribe to Tribe.

Example of Change in Project Cost Amendment vs. Administrative Modification:

Total Project Cost 

Estimate

Amendment Criteria Administrative 

Modification Criteria

$0 - $25,000 > 50% of total project cost ≤ 50% of total project cost

$25,000-$200,000 > 40% ≤ 40%

$200,000 > 30% ≤ 30%

Change in 

project or 

project phase 

initiation dates

Changes in initiation 

dates of a project or 

project phases that are 

not within the same 4-

year TTIP cycle.

Changes in initiation dates of project 

development phases, including moving different 

project phases from one year of the TTIP to 

another within the same 4-year TTIP cycle.

Addition of a project development phase.

Change in 

funding 

sources of 

currently 

included 

projects

Any funding changes that 

are not specifically listed 

as an administrative 

modification.

Changes in funding that involve:

a) Shifting funds between projects or groupings 

with the TTIP, provided the thresholds 

established are not exceeded;

b) Shifting program funds between projects, 

provided the thresholds established are not 

exceeded;

c) Adding, removing, increasing, or decreasing 

Advance Construction/TTP allocation (25 

CFR Part 170.227);

d) Converting a non-federally funded project to 

a federally funded one with no change in 

cost or scope;
- 155 -

Revision 

Type

Amendment Administrative Modification*

e) Funding source changes between Federal 

funds (e.g., TTP to HSIP) with no change in 

cost or scope.

Change in 

design 

concept or 

scope, or 

project limits

Any design concept or 

scope, or project limit 

changes that are not 

specifically listed as an 

administrative 

modification.

Change in scope or project limits that:

a) Change in logical termini (e.g., less than 

0.25 mile);

b) Minor changes to project descriptions;

c) Does not trigger a National Environmental 

Policy Act (NEPA) re-evaluation;

d) A change to a grouped project that allows it 

to stay in the group;

e) Does not change the purpose and need;

f) May, but are not required to, consider 

including certain common activities in the 

criteria, such as extending a turn lane, 

adding a guiderail, paving, or other minor 

activities not included in the original scope;

g) Combine or split projects, provided it is 

compliant with NEPA.

Change 

across 

oversight 

operating 

agencies

All changes that are not 

administrative 

modifications.

Change in oversight agency from FHWA to BIA

or vice-versa.

*All administrative modifications include the requirement that the project is still consistent with 

the Long-Range Transportation Plan and there is no effect on fiscal constraint.
- 156 -

Exhibit 6.1 – TTP Environmental Checklist/Categorical Exclusion
- 157 

-
- 158 

-
- 159 

-
- 160 

-
- 161 

-
- 162 

-
- 163 

-
- 164 

-
- 165 - 

Exhibit 6.2 - OUTLINE FOR AN ENVIRONMENTAL ASSESSMENT (EA)

The following format generally complies with requirements for EAs and finding of no 

significant impacts (FONSIs) as specified in 23 CFR 771.119 and 771.123 and in FHWA’s 

Technical Advisory T6640.8A, “Guidance for Preparing and Processing Environmental 

and Section 4(f) Documents” at 

http://environment.fhwa.dot.gov/projdev/impta6640.asp 

The following outline is generally used for chapters when preparing an EA. 

1. Cover Sheet 

2. Signatory Sheet 

3. Table of Contents 

4. List of Abbreviations 

5. Description of the Proposed Action 

6. Purpose of and Need for the Project 

7. Alternatives 

8. Affected Environment or Environmental Setting 

9. Environmental Consequences 5 

10. Section 4(f) (if applicable)

11. Coordination 

12. Appendices

1. COVER SHEET- The cover sheet lists the title of the project, the type of NEPA document 

(Environmental Assessment), the location, the project sponsor, and the date (month & year). 

2. SIGNATORY SHEET - The signatory sheet contains the following: 

a. The title, Environmental Assessment 

b. The information, Submitted Pursuant to Public Law 91-190, National Environmental 

Policy Act

c. Our full title, U.S. Department of Transportation, Federal Highway Administration 

d. The list of cooperating agencies 

e. A signature block, including the date, for the TTP Field Team Leader. 

f. The contact person, including address and phone number. 

3. TABLE OF CONTENTS 

4. LIST OF ABBREVIATIONS – Provides a list of abbreviations one would find listed in the 

EA for the reader to easily reference.

5 The Chapters on Affected Environment and Environmental Consequences can be combined.
- 166 -

5. DESCRIPTION OF THE PROPOSED ACTION – This is the opening chapter of the EA that 

contains introductory information such as a brief project description, lead, cooperating, and 

partner agencies, funding and a description of the following items:

a. Location of the Proposed Project – This text is often accompanied by maps and figures.

b. Scope and Nature of the Proposed Work

i. Funding

ii. Planning by Others 

6. PURPOSE OF AND NEED FOR THE PROJECT - This chapter of the EA describes the 

condition or conditions requiring relief and purpose in taking action. Often the EA describes 

the problems and the consequences of not taking action. This section should clearly 

demonstrate that a need exists and should define the need in terms understandable to the 

general public. It is critically important to provide sufficient data to convince the reader that 

the need exists. Therefore, it is recommended that each need be discussed in turn, with 

accompanying data. The purpose and need will be the basis for development of the 

alternatives, including the identification of the preferred alternative. Charts, tables, maps, and 

other illustrations are encouraged as useful presentation techniques.

7. ALTERNATIVES – This chapter identifies the alternatives developed throughout the scoping 

and NEPA process. In it, it describes the:

a. No Action Alternative – The no action alternative provides the baseline and the 

consequences should nothing be done to address the conditions requiring relief. It is 

preferable to give an estimated cost for the no action alternative.

b. All Reasonable Alternatives – All reasonable alternatives should be developed to a 

comparable level of detail. If a preferred alternative has been identified, this should be 

documented in this chapter, and the reasons should be stated why it is preferred. It is 

preferable to give estimated costs.

c. Other Alternatives - Alternatives that were considered but rejected should be briefly 

discussed with the reasons why they were eliminated or rejected.

d. Entire Action – As stated for CEs, the alternatives should take into account the entire 

action, not just the road project itself. This would include, but would not be limited, to the 

following: 

i. Type of work

ii. Corridor location

iii. Length

iv. Road width

v. Number of lanes

vi. Design speed

vii. Surface type

viii. Major structures

ix. Material sources

x. Staging areas

xi. Waste areas

xii. Mitigation areas

xiii. Other major features
- 167 -

8. AFFECTED ENVIRONMENT OR ENVIRONMENTAL SETTING. In this chapter of the 

EA, there needs to be a description of the environmental conditions in the study area. For this 

chapter, the study area needs to be defined, and it may need to be defined differently depending 

on the resource described. The setting topic areas usually covered are (only topics applicable 

to the particular project should be covered):

a. Geology

b. Soils

c. Climate

d. Air Quality

e. Noise

f. Waters and Water Quality

g. Wetlands

h. Vegetation, including T&E species

i. Wildlife and Fish, including T&E species

j. Land Use

k. Socioeconomics

l. Transportation

m. Historic and Archaeological Resources

n. Hazardous Materials

o. Public Services and Utilities

p. Recreation

q. Aesthetics

9. ENVIRONMENTAL CONSEQUENCES – In this chapter, the EA describes how the 

environmental topic areas listed in the chapter above will be affected by all the reasonable 

alternatives. The discussion should be limited to information and issues that have a bearing on 

potential important impacts, including the mitigation. Impacts may be adverse or beneficial, 

and the data and analyses should be commensurate with the importance of the impacts. 

Cumulative and secondary impacts need to be summarized for each alternative. In this chapter 

of the EA, the text must show how all applicable executive orders and environmental laws and 

regulations were met (some are listed in the text on CEs). Photographs, illustrations, tables, 

figures, and other graphics should be used with the text. 

10. SECTION 4(F) – In the EA, insert a section for 4(f) analysis if needed. Some of the 4(f) 

discussion may be pertinent to both the Environmental Setting and Environmental 

Consequences chapters also. 

11. COORDINATION – Comments received from public involvement efforts should be described 

in this chapter. Usually a chronology of coordination and consultation efforts is provided.

12. APPENDICES – Usually pertinent coordination results are provided in the appendices such 

as concurrence letters under Section 7 of the ESA, Section 106 of the NHPA, Consistency 

Concurrence for the Coastal Zone Management Act, etc.
- 168 - 

Exhibit 6.3 – EXAMPLE NOTICE OF AVAILABILITY

PUBLIC NOTICE OF AVAILABILITY AND

SOLICITATION OF PUBLIC COMMENT

PROJECT NAME

LOCATION

The Federal Highway Administration, in partnership with the TRIBE, is pleased to announce the 

availability of the Environmental Assessment (EA) for PROJECT NAME. The proposed project 

includes PROJECT SIMPLE DESCRIPTION AND SCOPE. 

The purpose of this notice is to announce the availability of the EA for public review and 

comment. The EA is available at the following locations:

• LOCATION 1

• LOCATION 2

• Online at: http://website location of document.pdf

A copy of the EA may also be requested by contacting Terry Schumann at FHWA at (360) 619-

7607. 

Please send written comments by email to Terry Schumann at Terry.Schumann@dot.gov or by 

mail to the address below by DATE. 

Contact Information: 

Terry Schumann 

Tribal Transportation Program 

Federal Highway Administration

610 East 5th St, Vancouver, WA 98661 

(360) 619-7607 
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Exhibit 7.1 – Ice Road Information 

The following information may be applied to ice roads located on rivers, lakes, sloughs and other freshwater

bodies. This information does not apply to ice roads on saltwater or on land. 

Steps for Establishing the Ice Road Each Year. Perform the following steps each year at the beginning 

of the ice season, once the ice is considered safe to travel on. It is important to perform these steps every 

year for each ice road, due to the variables that affect how the waterway may freeze from year to year. 

Step 1. Perform field reconnaissance of the waterway to identify the best possible ice road route(s). 

• Locate a preliminary route for the ice road to be as straight as possible. Lay out the turns (curves) 

as gradual as possible. If sharp turns must be made due to conditions, then install additional pole 

markers with reflectors on the turns. 

• Sometimes near the shoreline the water level will drop after the initial ice sheet is formed, leaving 

the ice sheet unsupported near the shore. This may be detected by hearing a hollow sound when 

probing with an ice chisel 1

. Do not locate the ice road in these unsafe locations. 

• The middle of the river may not be a good location. That is where the water flows the swiftest, so 

the ice may be thinner there.

• Avoid sand/gravel bars and stay away from steep cut banks. Be aware of areas where snow collects 

in the wind along the banks. Try to avoid these areas by keeping the ice road route further out. 

Also, locate the ice road route to follow the main channel during the lowest water levels of the year. 

Step 2. Drill Test Holes. Drill test holes with an ice auger in the ice along the preliminary ice road route 

at 1⁄4 mile maximum distance apart, and measure ice thickness. Place a marker about every 1⁄4 mile 

as long as the test holes are showing suitable ice thicknesses. Finalize the ice road route location 

using that process. Then drill the rest of the test holes along the finalized ice road route. All test 

holes should be drilled, measured and recorded according to the following:

a. Drill the Test Holes along the finalized ice road route at distances according to Table 1 below. 

Table 1: Maximum Spacing Of Auger Test Holes 

For Measuring Ice Thickness 2

Water Body Type Distance Between Test Holes

along Ice Road Centerline

Rivers – fast moving or high currents 80 ft.

Rivers – slow moving and within 800 ft. of shore 200 ft.

Rivers – slow moving and more than 800 ft. offshore 325 ft.

Lakes – within 800 ft. of shore 200 ft.

Lakes – more than 800 ft. offshore 325 ft.

Note: Additional measurements may be needed to locate areas with thin ice 

that are observed on site.

________________________________________________________________________________ 

1 U.S. Army Cold Regions Research & Engineering Laboratory - Safety on Floating Ice Sheets 

2 BEST PRACTICE for Building and Working Safely on Ice Covers in Alberta, January 2013

Step 2. (cont’d.) 
- 170 - 

An auger being used to drill a Test Hole through the ice 1 

b. Drill the Test Holes with an ice auger to the full depth of the ice, then measure the clear ice 

thickness and the white ice thickness (see information on types of ice on next page). Use a tape 

measure to find ice’s thickness. Put the tape measure into the Test Hole and hook the bottom 

edge of ice before taking measurement. 

c. Write the Test Hole information and other related information on the Ice Inspection Form

while at the Test Hole site. File the completed Ice Inspection Form(s) at the Tribal office in

the Tribe’s filing system. The Ice Inspection Form is on the last two pages of this Exhibit. 

Types of Ice. There are two main categories of ice that affect an ice road’s ability to carry loads, 

Clear ice and White ice. The thicknesses of each of these types of ice need to be measured and 

recorded separately when measuring the depth of the Test Hole.

• Clear ice (sometimes called “blue ice”) has 

randomly arranged crystals that contain few air 

bubbles. It may look blue because it’s clear enough 

to see the water underneath it. Clear Ice can be 

“rough” or “smooth”. Rough packed ice is often 

stronger than just plain smooth ice.

• White ice (sometimes called "snow ice") is ice that 

forms on top of the clear ice, as shown in this 

photo. It’s white because it contains a significant 

number of air bubbles. This type of ice should not

be included in the thickness of ice needed for an ice 

road.

Clear Ice 1 

 White Ice 1

_____________________________________________________________________________ 

1 BEST PRACTICE for Building and Working Safely on Ice Covers in Alberta, January 2013
 

- 171 - 

Step 3. Use the information in Table 2 below to determine the Minimum Ice Thickness needed to carry 

the Load on the Ice, which is the heaviest vehicle or equipment that will be using the ice road. 

This includes the heavy equipment that will prepare, plow and maintain the ice road. When using 

Table 2, read and comply with the Notes below Table 2. 

Table 2: Minimum Ice Thickness Needed For the Load on the Ice 1, 2 

Load on the Ice 

(Weight of vehicle, equipment, 

passengers, cargo and trailers) 

Example Required Minimum 

Ice Thickness (in.)

0.1 Tons Person walking 4 

0.5 Tons Snowmachine plus rider 7 

5 Tons 3⁄4 ton 4x4 pickup truck,

passengers and load 15 

5 to 10 Tons Equipment to plow and 

prepare the ice road 24 

20 Tons 27 

30 Tons 33 

40 Tons 38 

50 Tons 42 

60 Tons 46 

Notes for using the above Table 2: 

• The Required Minimum Ice Thickness includes only Clear Ice. Do not include White Ice. 

• If the air temperature stays above freezing (32 o

F) for 24 hours or more, the ice begins to lose 

strength, and the above Table 2 no longer represents safe conditions. Stay off the ice! 3 . 

• If the air temperature has been above freezing for at least six of the previous 24 hours, multiply 

by 1.3 the total weight of vehicle, equipment, passengers, cargo and trailers, and use that as the

Load on the Ice in the above Table 2 to obtain a larger minimum required ice thickness. Doing 

this may take into account possible weakening of the ice 3 . 

• A rapid and large air temperature drop causes an ice sheet to become brittle, and the ice may not 

be safe to use for 24 hours 3 . 

• Do not leave vehicles or equipment sitting on the ice. Doing so may cause failure of the ice.

___________________________________________________________________________ 

1 BEST PRACTICE for Building and Working Safely on Ice Covers in Alberta, January 2013

2 Mark Leary, Transportation Director for Napaimute Native Village

3 U.S. Army Cold Regions Research & Engineering Laboratory - Safety on Floating Ice Sheets
 

- 172 -

Steps for Establishing the Ice Road Each Year (continued):

Step 4. Compare the Clear Ice thicknesses measured out in the waterway (from Step 2) against the 

required thickness found in the Ice Thickness Table 2 (from Step 3). 

Step 5. Do the measured Clear Ice thicknesses satisfy the ice thickness required in Table 2? If yes, then 

mark and prepare the ice road for traffic according to the following steps 6 through 10. 

Step 6. Along the ice road route, delineate with markers all the open water areas and the other areas,

such as thin ice, that need to be off-limits to vehicles. 

Step 7. Place pole markers no farther apart than 1/10th of a mile along the ice road route. Drill the markers 

into the ice so they stay in place. Fill gaps between the marker and the drilled hole with snow and 

or ice and tamp down. Pole markers should be set a minimum of 12 inches deep in the ice, and have 

reflectors securely mounted on them a minimum of 4 feet above the surface of the ice to be seen in 

ground storms. The pole markers are intended to show that the ice has been checked and verified 

to be suitable for the posted weight of equipment. 

In areas of open water – even though the open water is marked – install extra pole markers so there 

is no losing sight of the ice road in bad weather near open water areas.

Pole Markers on Ice Road on the Kuskokwim River 1

Open Water Area 1

____________________________________________________________________________
 

- 173 - 

1 Mark Leary, Transportation Director for Napaimute Native Village

Step 8. Plow the selected ice road route as needed to create a smooth and safe ice road. Perform the 

plowing only if it’s been determined that the ice is thick enough for heavy equipment (see Steps 3 

and 4 above). Plowed snowbanks create concentrated loads on the ice which may stress the ice. 

To avoid this, spread the snowbanks over as large an area as possible.

Step 9. Place a Weight Limit sign and Speed Limit sign at each entrance to the ice road. Weight Limit 

and Speed Limit signs should conform to MUTCD Signs R12-1 and R2-1, shown here. The weight 

limit number posted on the weight limit sign may be increased as the cold season progresses and 

the ice thickness increases, if verified by new test holes taken on the ice road. Install signs securely 

on posts high enough to be visible above accumulated snow. 

Step 10. Open the Ice Road for public use. 

Speed Limits on Ice Roads. Certain speeds, known as “critical speed”, may make the ice deflect and 

crack more, causing the ice to fail. To help avoid this, the following speed limits are recommended to be 

posted for an ice road according to Step 9 above 1 : 

• 15 mph when traveling in ideal ice and driving conditions. 

• 5 mph when approaching a vehicle coming from the opposite direction. 

• 5 mph when approaching the shoreline to leave the ice road.

Minimum Distance Between Vehicles Moving in the Same Direction 1 : 

• 650 feet for light vehicles up to 5 Tons including passengers and load. 

• 1,600 feet for heavier vehicles between 5 Tons and 70 Tons including passengers and load. 

• If the water body is smaller than these distances, then only one vehicle or piece of equipment should 

be on the ice at a time. 

• A vehicle should never pass another vehicle going in the same direction. 

Ice Road Closure 1

. Normally, ice roads are closed before spring thaw begins and the ice cover begins to 

decay. Monitor regularly the ice temperature, thickness and quality of ice during spring thaw to determine 

if the ice road has adequate bearing capacity to support the posted weight limit. 

When the ice road is closed, immediately remove all the weight limit and speed limit signs. 

_________________________________________________________________________ 

1 BEST PRACTICE for Building and Working Safely on Ice Covers in Alberta, January 2013
 

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Cracks in the Ice. Cracks in the ice are either Dry or Wet. Keep the ice road clear of snow so you can 

see if any cracks have developed. Immediately repair any cracks in an ice road, according to the following. 

• Dry Cracks. These are visible on the ice surface and go only part way down into the ice thickness. 

At locations where there are intersecting dry cracks over 4 inches wide, repair the dry cracks by 

filling them with water. Allow time for the water to freeze fully in the cracks before running any 

equipment or vehicles over them 1 . 

Dry Crack 1

• Wet Cracks. These go through the entire thickness of the ice sheet. Where there are wet cracks, 

close off the wet cracks area, and reroute the ice road around it using appropriate barriers and 

markers. Flood the wet cracks if necessary and allow them to freeze back before allowing traffic 

on these areas. A new Test Hole should be augured at each re-frozen wet crack to make sure the 

thickness of the re-frozen ice satisfies the thickness required in the Ice Thickness Table 2 1

 . 

Wet Crack 1

Ice Inspection Form. The Ice Inspection Form on the following pages may be used by Tribes and others. 

Write the Test Hole information and other related information on the Ice Inspection Form while at the 

Test Hole site. File the completed Ice Inspection Form(s) at the Tribal office in the Tribe’s filing system. 

___________________________________________________________________________ 

1 GUIDELINES FOR SAFE ICE CONSTRUCTION 2015, Northwest Territories Transportation
 

- 175 - 

Ice Inspection Form Page __ of ___

Date(s) Test Holes made: 

__________________________________

Completed by:

__________________________________________________

NTTFI Route-Section 

__________________________________

Beginning and Ending of Ice Road (Villages or Landmarks):

__________________________________________________

Climate Condition (circle one): 

Calm – Snow – Rain –Wind

List Names of Workers 

Present 3)

Visibility Factors (circle one): 

Clear – Fog – Light – Dark 1) 4)

Temperature on each date: 

_____________________deg. Fahrenheit 2) 5)

Ice Data

Note : Test holes should be numbered in order from the beginning of the ice road route

Test Hole 

#

Milepost or 

Station

Distance 

from last 

Test Hole 

(ft.)

Ice Thicknesses 

Measured in the 

Test Hole

Ice Surface Condition

Ice 

Surface: 

R = Rough 

S = Smooth 

Ice crack(s)

(Between 

Test Holes) 

D = Dry

W=Wet

Depth of 

Ice Crack 

Clear Ice White Ice (in.) 

in. in.

in. in.

in. in.

in. in.

in. in.

in. in.

in. in.

in. in.

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in. in.

Use additional sheets to record all the Test Holes.
 

- 176 - 

Ice Inspection Form – Continuation Sheet Page __ of ___

Date(s) Test Holes made: 

__________________________________

Completed by:

__________________________________________________

NTTFI Route-Section 

__________________________________

Beginning and Ending of Ice Road (Villages or Landmarks):

__________________________________________________

Ice Data

Note : Test holes should be numbered in order from the beginning of the ice road route

Test Hole 

#

Milepost or 

Station

Distance 

from last 

Test Hole 

(ft.)

Ice Thicknesses 

Measured in the 

Test Hole

Ice Surface Condition

Ice 

Surface: 

R = Rough 

S = Smooth 

Ice crack(s)

(Between 

Test Holes) 

D = Dry

W=Wet

Depth of 

Ice Crack 

Clear Ice White Ice (in.) 

in. in.

in. in.

in. in.

in. in.

in. in.

in. in.

in. in.

in. in.

in. in.

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177

Exhibit 7.2 – TTP HIGHWAY DESIGN STANDARDS CERTIFICATION

Project Number and Name: 

NTTFI Route(s) and Section Number(s): 

Type of Project: New Construction Reconstruction RRR Other (describe)

Description of Work: 

System: TTP BIA National Highway System (NHS)

TTP Tribal State Transportation Plan Non NHS

TTP County, Borough or Municipal Off State Transportation Plan

TTP State Other (describe)

Functional Classification Description: 

Owner Agency & Address: 

Terrain

TRAFFIC YEAR AVERAGE SEASONAL DHV

PERCENT

TRUCKS DHV

ADT

D

Current

Design

Design Standards: AASHTO Green Book AASHTO Low Volume County/Borough

State Other (describe)_____ 

% %

% %
 

178

GEOMETRIC AND BRIDGE CRITERIA - Show Station Range

GEOMETRIC AND

BRIDGE CRITERIA

STANDARD AS DESIGNED EXCEPTION

Design Speed

Design Speed

should equal or

exceed Posted or

Regulatory Speed

of completed

facility

Lane Width

Shoulder Width

Horizontal Curve

Radius

Superelevation Rate

Stopping Sight

Distance

Maximum Grade

Cross Slope

Vertical Clearance

Design Loading

Structural capacity

For each exception provide description (including context), reasons, alternatives

considered, analysis of risk, and proposed mitigation. (Attach additional sheet if needed)
 

179

RECOMMENDED ACTION

There are no exceptions to applicable standards.

The listed exceptions to design standards and their related risks have been reviewed with the

appropriate agencies and interested parties, and are considered acceptable for this project.

PREPARED BY:

Lead Designer, Consultant Firm Stamp and Date

APPROVAL IS RECOMMENDED:

Design Manager or Project Manager, Consultant Firm Stamp and Date

Tribal Road Department: Date: 

I CONCUR WITH THE ABOVE RECOMMENDATIONS (optional):

Owning Agency: Date: 

Maintaining Agency:

(if different from above)

THE ABOVE RECOMMENDATIONS ARE APPROVED:

 

Tribal Transportation Program, 

Federal Lands Highway Office

Date: ________________
 

180

Exhibit 7.3 - PS&E CERTIFICATION CHECKLIST

PS&E Certification Checklist

Tribe:

Agency with Jurisdiction over Facility:

Project Name:

Project Location:

Type of Work:

State:

County or Borough:

Action Item √

1. The project facility is included in the National Tribal Transportation Facility Inventory. 

2. The project is on a FHWA-approved TTIP.

3. Public involvement has been completed in accordance with 25 CFR § 170.435 through 

170.441.

4. There is a Tribal resolution or other authorized document (signed and dated by the 

Tribal Government Leader) supporting the project.

5. Appropriate construction easements, maintenance and utility agreements have been 

obtained in accordance with the Uniform Relocation Assistance and Real Property 

Acquisition Policies Act of 1970 for fee lands and 25 CFR 169 for trust lands.

6. Cultural resources and environmental requirements have been met, that are listed in 

the official Tribal Transportation Program Delivery Guide on the Federal Lands Highway – 

Office of Tribal Transportation Website at https://highways.dot.gov/federallands/programs-tribal.

7. This PE&E package meets or exceeds applicable design, health and safety standards 

according to 25 CFR § 170.454. 

8. No design exceptions are required for the design or specifications in this PS&E.

9. For other than facilities under Tribal and BIA jurisdiction, the owner public authority 

was provided an opportunity to review and comment on the Tribe’s PS&E package when 

it was between 75 and 95 percent complete.

10. All applicable federal, state, and local permits (environmental, land use, etc.) have 

been obtained, and the resulting relevant conditions/commitments have been 

incorporated into the PS&E as appropriate.

Tribal Signature: Date:
 

181

Exhibit 7.4 - Right-of-Way Certification Letter Template 

[Note: remove brackets and yellow highlighting when editing is completed]

[Insert: name of Tribe or Tribal Council 

Address 

Phone number 

FAX number] 

[Insert date]

To Whom It May Concern: 

RIGHT-OF-WAY CERTIFICATE

STATEMENT: As required by 25 CFR Part 170.460 and 23 CFR Part 635.309, and other pertinent Federal

regulations, right-of-way has been acquired for the [insert project name] in accordance with the Uniform Relocation 

Assistance and Real Property Acquisition Policies Act of 1970 for fee lands and 25 CFR 169 for trust lands. 

I hereby certify that: all necessary rights-of-way, including control of access rights (when pertinent), have been

acquired, including legal and physical possession; all lands and improvements (if appropriate) are vacant; and, 

the (agency) has physical possession and the right to enter upon all lands.

I further certify that there were no individuals or families displaced by this project. Therefore, the provisions of 

the current FHWA directives, including 49 CFR Part 24, covering the relocation of displaced persons to decent,

safe and sanitary (DSS) housing and availability of adequate replacement housing are not applicable to this

project.

Or,

I further certify that there were [insert number] of individuals or families displaced by the project. The provisions 

of the current FHWA directives, including 49 CFR Part 24, covering the relocation of displaced persons to decent,

safe and sanitary (DSS) housing and availability of adequate replacement housing were followed on this project.

There are no improvements (if appropriate) to be removed or demolished as a part of this project. 

Sincerely,

__________________________________ ______________________________ 

[insert name] Date

Tribal Representative
 

182

Exhibit 7.5 – Documents Needed Prior to Construction Template 

INSTRUCTIONS FOR FILLING OUT “DOCUMENTS NEEDED 

PRIOR TO CONSTRUCTION” FORM

(The field number below correspond to the numbered boxes on the “Documents

Needed Prior to Construction” Form

Purpose of the form:

This form ensures that all documents have been provided by the Tribe before the start of 

construction in accordance with 25 CFR 170.460 (project package documents) and Article III, 

Section 1.C. (PS&E Approval Authority) of the FHWA Tribal Transportation Program

Agreement.

Documentation of the Form:

The completed and signed form shall be documented in Project folder in the FLH HQ

Shared Server under the name “DNPC.pdf.” These instructions do not need to be 

documented.

Heading Fields

Tribe. Provide the Tribe’s name.
 

183

Public Authority. Provide the Federal, State, county, town, or township, Indian Tribe, municipal, 

or other local government or instrumentality with authority to finance, build, operate, or maintain 

toll or toll-free facilities, according to 25 CFR 170.5. 

Project Name. Provide the Project Name

Field 1: PLANS, SPECIFICATIONS, AND ESTIMATES

Receipt of the Plans, Specifications, and Estimates satisfies the requirements of 25 CFR 

170.460(a).

Documentation verification needed:

1. Plans are certified (stamped) by a State-licensed civil engineer, which also

satisfies the requirements of 25 CFR 170.461(c).

2. Specifications are certified (stamped) by a State-licensed civil engineer, which also

satisfies the requirements of 25 CFR 170.461(c).

3. Engineer’s Estimate showing bid items, units, and unit prices.

Note: According to 25 CFR 170.461, a Tribe may approve plans, specifications, and estimates if the

Indian Tribal government:

(a) Provides assurances in the contract or [Program] agreement that the construction will meet or 

exceed applicable health and safety standards. In Article III, Section 1.C(1)(a) the Tribe provides

their assurance by signing the FHWA Program Agreement.

(b) Obtains advance review of the plans and specifications from a State-licensed civil engineer that

has certified the plans and specifications meet or exceed the applicable health and safety 

standards. This is addressed through the state-licensed civil engineer certifying (stamping) the 

plans.

(c) Provides a copy of the certification under paragraph (a) of this section to the...Department of

Transportation; and

(d) Provides a copy of 25 CFR 170.460 (project package) to...FHWA before the start of construction.

Documentation of the files will be in the “PS&E” folder in the FLH HQ Shared Server.

Fill in the date the document was received.
 

184

Field 2: TRIBAL RESOLUTION OR OTHER AUTHORIZED DOCUMENT

SUPPORTING THE PROJECT

The Self-Certification and/or Tribal Resolution accompanying the current FHWA-approved TTIP 

satisfies the requirements of 25 CFR 170.460(b). 

Documentation verification needed:

1. The project is included in the current FHWA-Approved TTIP

2. The project facility, as applicable, is included in the National Tribal Transportation

Facility Inventory

Documentation of the files will be maintained in the “TTIP” folder in the FLH HQ Shared Server.

Fill in the first Fiscal Year that the current FHWA-approved TTIP has been approved for.

Field 3: CERTIFCATION OF COMPLIANCE WITH THE REQUIREMENTS

OF 25 CFR PART 169, AS WELL AS ANY ADDITIONAL PUBLIC TAKING 

DOCUMENTATION CLEARANCES, IF APPLICABLE

Receipt of the right-of-way certification satisfies the requirements of 25 CFR 170.460(c).

Documentation verification needed:

1. Right-of-way certification signed by the Tribe or authorized designee. Documentation of 

the packet from BIA Region is also acceptable. If no Right-of-Way was needed to be 

acquired, there should also be a certification document stating that no Right-of-Way was 

needed to be acquired. 
 

185

Documentation of the files will be maintained in the “ROW and Utility” folder in the FLH HQ 

Shared Server.

Fill in the date the document was received.

Field 4: REQUIRED ENVIRONMENTAL, ARCHEOLOGICAL, AND CULTURAL

CLEARANCES

Documentation of the TTP Environmental Checklist signed by the Tribe and FHWA satisfies the 

requirements of 25 CFR 170.460(d). 

Documentation verification needed: 

1. TTP Environmental Checklist signed by the Tribe and FHWA.

Documentation of the files will be maintained in the “NEPA” folder in the FLH HQ Shared Server.

Fill in the date the document was signed by FHWA.

Field 5: IDENTIFICATION OF DESIGN EXCEPTIONS IF USED IN THE PLANS

Documentation of the design exceptions, if used, satisfies the requirements of 25 CFR 170.460(e). 

If design exceptions are not identified, it is assumed that the State-licensed civil engineer ensures 

that there are no design exceptions by certifying (stamping) the plans and specifications. 

Documentation verification needed:

1. Design exceptions signed and approved by FHWA, if used.
 

186

Documentation of the files will be in the “PS&E” folder in the FLH HQ Shared Server.

Fill in the date the design exception was signed by FHWA or;

Fill in the date with an “N/A” if no design exceptions were identified.

Field 6: TRIBE’S CERTIFICATION THAT THE PUBLIC AUTHORITY,

OTHER THAN THE TRIBE OR BIA, WAS AFFORDED AN OPPORTUNITY 

TO REVIEW AND COMMENT ON THE PS&E

Documentation of the Tribe’s Certification that the public authority, other than the Tribe or BIA, 

was afforded an opportunity to review and comment on the PS&E satisfies the requirements 

outlined in Article III, Section 1.C. of the FHWA Tribal Transportation Program Agreement. 

The requirements outlined states that the Tribe agrees to (a) provide the public authority an 

opportunity to review and comment on the Tribe’s PS&E package when it is between 75 and 95 

percent complete, unless an agreement between the Tribe and the public authority states 

otherwise; and (b) allow the public authority at least 30 days for review and comment on the 

PS&E package, unless the Tribe and the public authority agree upon a longer period of time. 

25 CFR 170.5 defines a Public Authority as a Federal, State, county, town, or township, Indian 

Tribe, municipal, or other local government or instrumentality with authority to finance, build, 

operate, or maintain toll or toll-free facilities.

Documentation verification needed:

1. If the Public Authority, in the header, is not the Tribe or BIA, a certification is

required by the Tribe.
 

187

Documentation of the files will be in the “PS&E” folder in the FLH HQ Shared Server.

Fill in the date the certification was received or;

Fill in the date with an “N/A” if no certification is required.

Field 7: FHWA TRIBAL COORDINATOR PROVIDES COPY OF PROJECT

PACKAGE TO BIA ON BIA- OWNED FACILITIES (INTERNAL POLICY)

When a project is being constructed on a BIA owned facility, the FHWA Tribal Coordinator will

send the project package document to the appropriate Regional Road Engineer.

Fill in the date the project package was sent to the Regional Road Engineer or; 

Fill in the date with an “N/A” if BIA is not the facility owner.
- 188 - 

Documents Needed Prior to Construction

Tribe:

Public Authority:

Project Name:

Docume

nt

Date

25 CFR 170.460 Requirements (Project Package)

1. Plans, specifications, and estimates (25 CFR 170.460(a))

a. Plans (stamped)

b. Specifications (stamped)

c. Engineer’s Estimate

2. Tribal resolution or other authorized document supporting the project. (25 CFR

170.460(b))

3. Certification of compliance with the requirements of 25 CFR part 169, as well as any 

additional public taking documentation clearances, if applicable. (25 CFR 170.460(c))

4. Required environmental, archeological, and cultural clearances. (25 CFR 170.460(d))

5. Identification of design exceptions if used in the plans. (25 CFR 170.460(e))

Tribal Transportation Program Agreement Requirement

6. Tribe’s certification that the Public Authority, other than the Tribe or BIA, was afforded

an opportunity to review and comment on the PS&E. (FHWA Tribal Transportation

Program

Agreement Article III, Section 1.C)

BIA-owned Facilities

7. FHWA Tribal Coordinator provides a copy of project package to BIA.

FHWA Tribal Coordinator

Signature: Date:
- 189 - 

Exhibit 9.1 – TTP Pre-Advertisement Checklist

TTP PRE-ADVERTISEMENT CHECKLIST

Project Name: .........................................................Project Number: .................................................................

National Tribal Transportation Facility Inventory Route No.: ....................................................................... 

National Tribal Transportation Facility Inventory Sections: ..........................................................................

 DOCUMENT or MILESTONE DATE

Project Agreement (with Facility Owner for Maintenance) .......................................... 

TTP Design Standards Certification Form signed........................................................... 

Environmental Clearance (CE___ EA___ or EIS___)...................................................... 

Environmental Commitment Review by:________________________

(Verified all commitments incorporated into the PS&E) ....................................... 

Permits (if applicable):

404 Permit (Individual No.______, or Nationwide No._____)............................... 

401 Permit.............................................................................................................. 

NPDES Permit (Notice of Intent)........................................

SWPPP filed ............................................................................................................ 

Encroachment Permit (State DOT, County, Municipality)...................................... 

Special Use Permit (for USFS projects)................................................................... 

Other: (Any additional items to be included in SCRs) ........................................... 

Tribal resolution or other authorized document (signed and dated by the Tribal Government Leader) 

supporting the project 

.................................................... 

Right-of-Way and Utility Certification (Certification Level ____ ) ................................. 

Right-of-Way Agreements w/landowners or others..................................................... 

Right-of-Entry/Letter of Consent (if applicable)........................................................... 

Utility Data Quality Level Certification .......................................................................... 

Utility Agreements......................................................................................................... 
- 190 - 

Fire Plan (USFS Projects)................................................................................................ 

External Review Distribution (Agency:__________________) ..................................... 

External PS&E Review comments reviewed/incorporated ........................................... 

Approvals (attach Standards Certification Form):

State.................................................................................................................................

County .................................................................................................................... 

Other ...................................................................................................................... 

Internal PS&E Review comments reviewed/incorporated............................................ 

PS&E QA/QC Completed by:_________________________________

Engineer Estimate (EE) Check by: _____________________________

Unit Price Analysis performed by: _____________________________

All Plan Sheets Stamped, Sealed and Front Page of SCRs Stamped, Sealed and Signed

.................................................................... .................................................................... Signed

.................................................................... Signed...................................................................

Anticipated Advertisement Date...............................................

If Developed By A/E Firm:

.....................................Instrument in place for A/E design support during construction ..........................................

Name, phone #, and e-mail address of A/E Firm Contact:

...............................................................................................................................................................................................

Recommended for Approval by Tribal Official

Signature: _________________________________ Date:________________________

Title:______________________________________ 
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Exhibit 10.1 – OTT Trip Inspection Report
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Exhibit 10.2 - Final Letter of Acceptance

XY&Z Construction Company

[Insert address]

[Insert address]

[date]

RE: DPW Project No. [Insert project number]

Dear [name],

This letter is an acceptance to your work and acknowledges that all work on the project has been 

completed in accordance with the terms and conditions of the contract documents dated [Insert 

date]. This releases you on any further responsibilities. Further, the due to work performed is 

included as requested in your final request for payment.

Please contact me if you have any questions concerning this letter.

Sincerely,

[insert name]

Tribal Representative

cc: FHWA
- 205 -

Exhibit 10.3 - Final Letter of Acceptance

For BIA Owned Facility

[Insert Tribe]

[Insert Tribal address]

[Insert Tribal address]

[date]

RE: DPW Project No. [Insert project number]

Dear [name],

This letter is an acceptance of all work on the referenced project. This acceptance is based on our 

review of daily and weekly status reports; participation in interim project construction reviews 

and final inspection; our review of progress reports, subcontracts, as-built-drawings, contract 

modifications, material certifications/testing reports; completion of contract modifications, final 

estimates, and no pending claims; and verification of environmental commits. 

In summary, we find that all work on the project has been completed with the terms and 

conditions of the contract documents dated [Insert date]. Further, this releases you on any further 

responsibilities. 

As a reminder, forward us the final as-built plans when completed. 

Please contact me if you have any questions concerning this letter.

Sincerely,

[insert name]

BIA Representative

cc: FHWA
- 206 -

Exhibit 10.4 - Project Closeout Forms for Tribes – Optional
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CLOSEOUT REPORT

FOR TRIBES IN A FHWA TRIBAL TRANSPORATION PROGRAM 

AGREEMENT

(TO BE FILLED OUT BY TRIBE)

Project Information

Tribe Name: [Fill-in]

Project Name: [Fill-in Project Name]

Final Inspection: [Fill-in Date that final inspection was conducted with the Contractor]

Final Acceptance: [Fill-in Date that Facility Owner made Final Acceptance]

Financial Closeout

Funding Source(s)

Check any that apply or enter 

funding source not listed under 

“Other”

TTP Formula Funds

TTP Bridge Program

TTP Safety Funds

Other: [Specify]

Other: [Specify]

Expenditures:

Final Construction Contract Cost

[Same as provided in Project 

Narrative]

[fill-in TTP expenditure $]

[fill-in other expenditure (TTP Safety, TTP Bridge Program, or 

others specified) $]

Pending claims/litigation or 

Warranties with Retainage: 

[outstanding]

[Delete these instructions prior to submittal of final 

construction closeout report.

A closeout report must be submitted for each project even 

when there are pending claims/litigation or warranties with 

retainage.

Include the $ amount of the pending claim and a brief 

description.

*Any pending claims/litigation or warranties with retainage 

that are resolved and paid to the project shall be identified in 

the PORT Report.]

[fill-in “N/A” if there are no pending claims]

[fill-in Pending Claim #1, $, and description]

[fill-in Warranty with Retainage #1, $, and description]

Tribes’ Signature: Date:
- 215 - 

Exhibit 10.5 – Safety Checklist

Version 1.0, 2/7/2014

SAFETY CHECKLIST

for Construction Projects

Date of Review: Conducted by:

General

Is the project constructible using the construction Traffic Control Plan (TCP) as 

shown in the PS&E? Y/N

Does the traffic control affect the design, such as material requirements from 

roadways used for public use during the construction? Y/N

Are there traffic restrictions? Y/N

Is there enough work area and staging areas for the Contractor to do the 

necessary construction operations? Y/N

Does the construction traffic control allow for Contractor access? Y/N

Is the speed based on the existing posted speed? Y/N

Is the work site safe for both traffic and workers? Y/N

Comments:

Signing

Are the signs being used per the new MUTCD? Y/N

Do the sign messages convey the intended actions that are required to be taken? Y/N

Do the signs have the proper legends, sizes, color combinations, and reflectivity? Y/N

Do the signs have the proper legends, sizes, color combinations, and reflectivity? Y/N

Is the location of the sign per the MUTCD? Y/N

Are the signs properly spaced? Y/N

Are the layout measurements tied to a physical feature so the Contractor can do 

the layout in the field? Y/N

Is there proper sight distance to the sign? Y/N

Is it physically possible to place the sign where indicated? Y/N

Is there sufficient horizontal clearance? Y/N

Any existing signing that needs to be replaced to be in accordance with the 

MUTCD? Y/N

Any conflicting existing signing? Y/N

Markings

Have passing zones been verified? Y/N

Matching existing? Y/N

Handicap parking meets ADA requirements? Y/N

Striping requirements per the new MUTCD? Y/N

Meets Centerline warrants? Y/N

Meets edge line warrants? Y/N

Comments:

Construction Signing

Are the signs being used per the MUTCD? Y/N
- 216 - 

SAFETY CHECKLIST

for Construction Projects

If the situation calls for a standard traffic control scheme, do the advance warning 

signs match those shown in the standard layouts in the MUTCD? Y/N

Do the sign messages convey the intended actions that are required to be taken? Y/N

Do the signs have the proper legends, sizes, color combinations, and reflectivity? 

(The MUTCD provides that the minimum letter size for signs should not be less 

than five inches for low volume traffic.)

Y/N

Is the location of the sign per the MUTCD? Y/N

Are the signs properly spaced? Y/N

Are the layout measurements tied to a physical feature so the Contractor can do 

the layout in the field? Y/N

Are there existing signs within the construction zone that may conflict with the 

Traffic Control Plan? Y/N

Do any of the existing signs obscure the view of advance warning signs? Y/N

If stage construction is used, is the signing from stage to stage consistent (sign 

types and locations)? Y/N

If a numbered route, are the numbered routes used for the detour? Y/N

If a detour is not provided could a detour work? Y/N

Are all access points properly signed? Y/N

Is it physically possible to place the sign where indicated? Y/N

Is there sufficient horizontal clearance? Y/N

Is there a need for any pedestrian or bicycle signing? Y/N

Comments:

Channelizing Devices

Are the correct devices used for a particular operation? (Drums should be used 

instead of barricades, type II; Temporary concrete barriers should not be used as 

a channelizing device.)

Y/N

Are channelizing tapers located correctly? Y/N

Are channelizing tapers the correct length? Y/N

Are devices spaced correctly in the taper? Y/N

Are devices spaced correctly in the work area? Y/N

Do the devices meet MUTCD requirements for size, type, color, and reflectivity? Y/N

Are the devices properly ballasted (weighted down)? Y/N

Comments:

Pavement Markings

If short-term markings required, do they coincide with MUTCD 6D and Federal 

Lands Highway policy? Y/N

Is marking consistent, especially during stage construction? Y/N

Do existing pavement markings conflict with the proposed temporary markings? Y/N

Comments:

Lighting Devices 

Are warning lights used correctly? (Warning lights, type A should be used on 

drums or barricades to mark point hazards, or on the first two devices in a taper: 

Warning lights, type B, if used, should be used on signs and the batteries should 

be placed no higher than 12 inches off the ground: Warning lights, type C should 

be used on drums or barricades used in a series for delineation.)

Y/N
- 217 - 

SAFETY CHECKLIST

for Construction Projects

Are arrow panels placed on the shoulder adjacent to the beginning of the taper? (If 

there is limited shoulder, the arrow board should be placed in the closed lane 

towards the beginning of the taper.)

Y/N

Is there adequate sight distance for the arrow board? Y/N

Is the arrow panel being used correctly? (Arrow panels should not be used in 

"passing arrow" mode on two-lane two-way roadways, shoulder closures, or lanes 

shifts: For the cases listed above the arrow board can be used in the "caution" 

mode.)

Y/N

Comments: 

Barriers 

Are untreated temporary barrier ends exposed to traffic? Y/N

Is the area between the barrier and the travel lanes relatively flat (approximately 

10:1)?

Y/N

Are temporary barriers required due to drop-off close to the travel lanes? Y/N

Are existing barriers being removed such that the hazards they were protecting 

are now a hazard during the construction?

Y/N

Is temporary barrier properly accounted for? (For stage construction, use the 

greatest amount of barrier required for a particular stage as the barrier quantity, 

and remember to account for storing barrier during stages with less than the 

greatest amount for moving barrier.)

Y/N

Are construction areas properly shielded? Y/N

Should temporary barrier be bolted to the pavement or bridge deck do to their 

deflection?

Y/N

Are barriers flared away from the roadway in accordance with AASHTO Roadside 

Design Guide? Y/N

Comments:

Flaggers

If flaggers are being used are the proper warning signs displayed? Y/N

Is the flagging station visible to oncoming traffic? Y/N

When the flagger is not on station, is the flagger sign covered or removed? Y/N

Comments:

Miscellaneous

Does the Project Engineer have names and phone numbers of persons to contact 

in case of emergencies? Y/N

If there are special construction events (i.e., roadway closures) are there 

provisions for the Contractor to notify the Project Engineer in advance so the 

Engineer can notify authorities?

Y/N

Are roadway drop-offs excessive? Y/N

Does the Contract identify time restrictions placed so that the Contractor can only 

perform work during certain times? Y/N

Is there a possibility of pedestrians and cyclists in the project area? Y/N

For projects with stage construction, when the traffic control is switched from one 

stage to the next, are there provisions in the Contract to accomplish that 

operation?

Y/N

Can the traffic control switching be accomplished under traffic? Y/N
- 218 - 

Exhibit 10.6 – Construction Equipment Purchase Request Form

This form shall be used and submitted for all construction equipment purchase requests by Tribal 

Governments who have a Tribal Transportation Program Agreement with FHWA.

1. How will this construction equipment be used for the Tribal Transportation Program (TTP)? 

(If more space is needed, provide attachment)

2. What storage is available for the equipment? Check one: Garage Outdoors 

3. How will the equipment be maintained? Check one: In-house Contract Services 

4. Lease/Purchase Cost Analysis:

Equipment Make and 

Model Model Year

Equipment 

Attachments or 

Accessories

Lease Cost Plus 

Shipping 

Round-trip ($)*

Purchase Price 

Plus Shipping 

One-Way ($)

* Note: Multiply the monthly lease cost by the number of months the equipment will be leased. 

Add the cost of round-trip shipping from vendor to the project site and return.

5. What is the amount of TTP funds to be used for this purchase? $_______________

6. Enter the funding available for this construction equipment as shown on the current approved 

Tribal TIP: $_______________

7. Attach copies of vendors’ quotes that show the costs entered in the above table. Vendors’ 

quotes may be on copies of emails from vendors and/or letters on vendors’ letterhead.

Requestor: Date:

FHWA Approved By: Date: 

Name/Title

Name/Title
- 219 -

Exhibit 12.1 – National Bridge Inventory

Structure Inventory and Appraisal Sheet
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Exhibit 12.2 – TTP Bridge Program Certification Checklist

TTP BRIDGE PROGRAM CERTIFICATION

CHECKLIST – Bipartisan Infrastructure Law (BIL)

Project Name: Project 

Number: Structure No. 

(Item 8):

ID Number: BIA Region: 

Agency: 

Reservation: 

County: State: Project 

Location: 

General Description of the Work:

Ownership: BIA (Yes/No): If non-BIA owned, provide the following:

Name of Owner:

Point of Contact: Name and Phone Number

 

Bridge Condition (Good/Fair/Poor):

Note: Attach NBI Data Information for bridge (https://infobridge.fhwa.dot.gov/) 

Type of Construction (Rehabilitation/Replacement/New Construction):

 
- 222 - 

Do School Buses use this bridge (Yes/No)? 

Safety issues involved with this project?

Does the bridge project have Right-of-Way (Yes/No)? If Yes, date obtained: 

NEPA Compliance, Date: PS&E Approval, Date:

Amount of Funding Request: $ 

Remarks:

We certify that the bridge project information is accurate and complete.

Tribal Transportation Director (approval):

Print Name: