Office of the

Inspector General Audit Report

Opportunities Exist to Strengthen FHWA’s Coordination Guidance and Oversight of the

Tribal Transportation ProgramOctober 30, 2013

Purpose◦ To assess whether FHWA is:

effectively coordinating with BIA to administer and manage the TTP; and

Providing adequate oversight of TTP projects under agreements with Tribes

Overview

Between May 12, 2012 and August 13, 2013 Interviews

◦ FLH TTP Staff◦ BIA DOT◦ BIA Regional Offices◦ DOI Office of Self-Governance◦ DOI Office of the Inspector General◦ 10 Tribes◦ Western Federal Lands

Reviewed◦ Regulations, agreements, project documentation,

FHWA data files

When and Who was involved

FLH and BIA routinely coordinate in key areas such as coordinating reviews, fund distribution, and consulting with tribal organizations.

Opportunities for improvement◦ NEPA Approvals◦ Final Acceptance of TTP Projects

Results could be improved with a updated interagency agreement

Results in Brief

FHWA should conduct more formal reviews based on data assessing tribal program risks and needs◦ Effects both new and existing Tribes working with

FHWA Unclear Guidance hinders FHWA in carrying

out:◦ Effective workload analysis;◦ Project and program monitoring;◦ Assessment of tribal capabilities; and ◦ Limited scope during site visits

Results in Brief

1. Coordinate with BIA to update the Memorandum of Agreement and Stewardship Plan to reflect FHWA’s role to directly assist Tribes, and define coordination between FHWA and BIA Regional Offices.

ACTIONS: New National Business Plan being developed

◦ Identifies roles, responsibilities, procedures, communications

Recommendations

2. Create a centralized database to capture financial and status information for tribal transportation projects.

ACTIONS: FHWA is looking at various database options including BIA Alaska Region’s system as well as developing a new database internally.

Recommendations

3. Develop a process that ensures sufficient consultation with BIA fro tribes transitioning to FHWA and requires FHWA to consistently assess tribal capabilities and associated risks in administering transportation projects

ACTIONS: ◦ Formal on boarding process developed◦ Risk assessment similar to G2G assessment◦ Requires significant discussion/coordination with

BIA Regions

Recommendations

4. Develop a process that ensures consistent and comprehensive reviews of tribal projects, including a standard site visit checklist of key risk areas for tribes.

ACTIONS: - Risk based project/program reviews- Project review checklist for each visit

- what is reviewed each visit- Updated Program Guide

Recommendations

5. Coordinate with BIA to revise TTP Regulations to reflect FHWA’s role to directly assist Tribes and clarify the requirements for eligible uses of funds

ACTIONS: FHWA and BIA have developed an update to 25 CFR 170 and NPRM process should be underway after January 1.

Recommendations

6. Develop a series of remedial actions that FHWA officials can take for a Tribe that may not be meeting program requirements.

ACTION: ◦ Actions being developed and will be discussed

with each FHWA Tribe after development.◦ Will focus on non-responsiveness and non-

reporting◦ Will be included in Program Guide and Program

Agreements

Recommendations

7. Revise TTP Guidance to ensure consistent definitions of key terminology, particularly financial constraint, and require Tribes to provide more detailed information on project scope and funding source.

ACTIONS: ◦ Training on TIP Requirements and development

Consistent definitions (Program Guide)◦ TIPS will require additional information

Identification of additional funding sources Reasonableness of project funding

Recommendations

FHWA and BIA will be working on resolution and actions so as to have all of the new procedures in place by the end of FY 14.

Timeframe for Actions

Thank you to all that were involved

FHWA recognizes the importance of the TTP and is committed to work with the all of the Tribes and BIA to deliver transportation projects that provide access to community services.

Bob SparrowDirector – FHWA TTPWashington, DC(202) 366-9483robert.sparrow@dot.gov

Closing