Internal Audit Guide
Chapter 6 –USDOT Agencies and Descriptions
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- Office of the Secretary of Transportation (OST)
- Federal Aviation Administration (FAA)
- Federal Highway Administration (FHWA)
- Federal Motor Carrier Safety Administration (FMCSA)
- Federal Railroad Administration (FRA)
- Federal Transit Administration (FTA)
- Maritime Administration (MARAD)
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Chapter 6 –USDOT Agencies and Descriptions 6.1—USDOT AGENCIES AND DESCRIPTIONS The United States Department of Transportation (USDOT) is responsible for overseeing all federal transportation programs. The USDOT was established by an act of Congress, signed into law by President Lyndon B. Johnson on October 15, 1966. The Department's first official day of operation was April 1, 1967. The USDOT consists of the Office of the Secretary, an independent Office of Inspector General (OIG), and the following 11 individual Operating Administrations: the Federal Aviation Administration (FAA), the Federal Highway Administration (FHWA), the Federal Motor Carrier Safety Administration (FMCSA), the Federal Railroad Administration (FRA), the National Highway Traffic Safety Administration (NHTSA), the Federal Transit Administration (FTA), the Maritime Administration (MARAD), the Saint Lawrence Seaway Development Corporation (SLSDC), the Research and Innovative Technologies Administration (RITA), the Pipeline and Hazardous Materials Safety Administration (PHMSA), and the Surface Transportation Board (STB). The Office of the Secretary, the OIG, and the 11 Administrations of USDOT are discussed in more detail on their website at: http://www.dot.gov/administrations
The next several sections provide more information about the Office of the Secretary, Office of Inspector General and 11 Administrations of USDOT. 6.2—OFFICE OF THE SECRETARY http://www.dot.gov/office-of-secretary Leadership of USDOT is provided by the Secretary of Transportation through the Office of the Secretary. The Secretary of Transportation is the principal adviser to the President of the United States in all matters relating to federal transportation programs. The Secretary of Transportation is assisted in their responsibilities by a Deputy Secretary of Transportation. The Office of the Secretary is responsible for the formulation of national transportation policy and promotes intermodal transportation. Specifically, they are responsible for:
These tasks are accomplished through the 11 USDOT operating administrations discussed below. Primary state interaction is through various grant programs; for specific information regarding the available programs and their significant compliance requirements, see the Catalog of Federal Domestic Assistance (CFDA) web site at: https://www.cfda.gov/ In addition, federal grant guidance has been combined and is now located at 2 CFR Part 200: “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.” 6.3—FEDERAL AVIATION ADMINISTRATION http://www.faa.gov/ The Federal Aviation Administration (FAA) oversees the safety of civil aviation. The FAA sees as its main priority its mission of safety, which includes the issuance and enforcement of regulations and standards related to the manufacture, operation, certification and maintenance of aircraft. The agency is responsible for the rating and certification of airmen and for certification of airports serving air carriers. It also regulates a program to protect the security of civil aviation, and enforces regulations under the Hazardous Materials Transportation Act for shipments by air. Programs implemented by states for oversight of aeronautics are based upon these federal regulations. The FAA operates a network of airport towers, air route traffic control centers, and flight service stations; develops air traffic rules; allocates the use of airspace; and provides for the security control of air traffic to meet national defense requirements. Other responsibilities include the construction or installation of visual and electronic aids to air navigation and promotion of aviation safety internationally. The FAA, which regulates and encourages the U.S. commercial space transportation industry, also licenses commercial space launch facilities and private sector launches. Primary interaction of STAs pertains to the issuance of grants for the planning and development of public use airports through the Airport Improvement Program (AIP). In some states, these grants are passed through the STA, and in other states grants are issued directly to airports or airport authorities, depending upon that state’s authority and laws. To promote the development of a system of airports to meet the nation's needs, the federal government embarked upon a grants-in-aid program for units of state and local governments shortly after the end of World War II. The first program was the Federal-Aid Airport Program (FAAP), which was authorized by the Federal Airport Act of 1946. In 1970, a more comprehensive program was established with the passage of the Airport and Airway Development Act of 1970. This Act provided grants for airport planning under the Planning Grant Program (PGP) and for airport development under the Airport Development Aid Program (ADAP). The current grant program, AIP, was established by the Airport and Airway Improvement Act of 1982 (Public Law 97-248). Since then, the AIP has been amended several times, most recently with the passage of the FAA Modernization and Reform Act of 2012. Funds obligated for the AIP are drawn from the Airport and Airway Trust fund, which is supported by user fees, fuel taxes, and other similar revenue sources. Grants through AIP are provided for improvements to public use airports. A public use airport is an airport that has been included in the National Plan of Integrated Airport Systems (NPIAS). The NPIAS, which is prepared and published every 2 years, identifies public-use airports that are important to public transportation and contribute to the needs of civil aviation, national defense, and the Postal service. A public-use airport is an airport open to the public that also meets one of the following criteria:
Recipients of grants are referred to as "sponsors." The description of eligible grant activities is described in the authorizing legislation and relates to capital items serving to develop and improve the airport in areas of safety, capacity, and noise compatibility. In addition to these basic principles, a sponsor must be legally, financially, and otherwise able to carry out the assurances and obligations contained in the project application and grant agreement. Eligible projects include those improvements related to enhancing airport safety, capacity, security, and environmental concerns. In general, sponsors can use AIP funds on most airfield capital improvements or repairs and in some specific situations, for terminals, hangars, and non-aviation development. Other eligible activities include any professional services that are necessary for eligible projects, such as planning, surveying, and design. Aviation demand at the airport must justify the projects, which must also meet Federal environmental and procurement requirements. 6.4—FEDERAL HIGHWAY ADMINISTRATION http://www.fhwa.dot.gov/ The Federal Highway Administration (FHWA) coordinates highway transportation programs in cooperation with states and other partners to enhance the country's safety, economic vitality, quality of life, and the environment. The first comprehensive federal highway program was signed into law by President Woodrow Wilson on July 11, 1916. This launched the partnership between the federal and state governments which became known as the Federal-aid Highway Program. It was endorsed by the American Association of State Highway Officials (AASHTO), which had been formed in December, 1914, by the various state transportation officials in an effort to coordinate transportation. FHWA was created on October 15, 1966, and in 1967 the functions of the Bureau of Public Roads were transferred to FHWA. The Office of Road Inquiry was the first predecessor to FHWA formed October 3, 1893. The name of the Office of Road Inquiry was changed to the Office of Public Roads in 1918. FHWA provides grants to states through the Federal-Aid Highway Program, which provides federal financial assistance to the states to construct and improve the National Highway System, urban and rural roads, and bridges. Programs include:
Through its various programs, FHWA provides funds for general improvements and development of safe highways and roads. The main revenue source for these grants is the Federal Motor Fuel Tax. USDOT provides support to the state highway system by providing financial assistance for the construction, maintenance, and operation of the nation’s 3.9 million-mile highway network, including the interstate highway system, primary highways, and secondary local roads. The program is administered by FHWA in cooperation with state and local governments. Local governments or local public agencies (LPAs) are the country’s cities, towns, and other municipal forms of government that operate about 75% or 2.9 million-miles of the nation’s roadways. The first major federal road program was established pursuant to the Federal Aid Road Act of 1916. Funding to state highway agencies was apportioned by a formula based upon land area, population and road miles. The Federal Aid Highway Act of 1956 provided for the development of the interstate highway system, which is now known as the Eisenhower Interstate System after President Eisenhower, who pushed for its enactment. President Eisenhower’s support for the interstate system was based largely upon civilian needs to support economic development, improved highway safety, and congestion relief, as well as reduction of motor vehicle-related lawsuits. He also understood the military value of the interstate system, as well as its use in evacuations. It has made travel between the states more efficient, economical, safe, and timely. That is why, since its inception, it has been considered a vital national interest. Federal-aid highway program funds are provided to assist STAs in the planning and development of an integrated, interconnected transportation system important to interstate commerce and travel by constructing and rehabilitating the National Highway System (NHS), including the Eisenhower Interstate System; and for transportation improvements to many other public roads. Funds may be used for:
Funds generally cannot be used for routine highway operational activities, such as police patrols, mowing, snow plowing, or maintenance, unless it is preventative maintenance. In addition, funds authorized for the National Highway Performance Program (NHPP), Surface Transportation Program (STP), Congestion Mitigation and Air Quality (CMAQ) Improvement Program, and some additional programs may be used for mass transportation improvements. CMAQ funds are limited to projects and programs in air quality, non-attainment, and maintenance areas for ozone, carbon monoxide, and small particulate matter that reduce transportation-related emissions, though provision is made for states without air quality issues. Eligibility criteria for the programs differ, so program guidance should be consulted. Projects in urban areas of 50,000 or more population must be based on a transportation planning process carried out by a metropolitan planning organization (MPO) in cooperation with the state and transit operators, and the projects must be included in metropolitan transportation plans and improvement programs. Projects in non-metropolitan areas of a state must be consistent with a statewide transportation plan. Projects in both metropolitan and non-metropolitan areas must also be included in a fiscally constrained Statewide Transportation Improvement Program (STIP) developed as part of the required statewide transportation planning process. The FHWA and the Federal Transit Administration (FTA) must approve the STIP jointly. Program requirements and restrictions are contained in Title 23 United States Code. There are discretionary funds remaining from previous authorizations, which may remain available until expended. 6.5—FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION http://www.fmcsa.dot.gov/ The Federal Motor Carrier Safety Administration (FMCSA) was established within the Department of Transportation on January 1, 2000, pursuant to the Motor Carrier Safety Improvement Act of 1999, which was effective December 9, 1999. The FMCSA's primary mission is to prevent commercial motor vehicle-related fatalities and injuries. To accomplish these activities, the Administration works with federal, state, and local agencies, the motor carrier industry, and labor safety interest groups. FMSCA activities contribute to:
Funding for the activities of the various states for this program is provided through the National Motor Carrier Safety program grants which include the following:
6.6—FEDERAL RAILROAD ADMINISTRATION http://www.fra.dot.gov/Page/P0001 The Federal Railroad Administration (FRA) promotes safe and environmentally sound rail transportation. With the responsibility of ensuring railroad safety throughout the nation, the FRA employs safety inspectors to monitor railroad compliance with federally mandated safety standards including track maintenance, inspection standards, and operating practices. The FRA conducts research and development tests to evaluate projects in support of its safety mission and to enhance the railroad system as a national transportation resource. Public education campaigns on highway-rail grade crossing safety and the danger of trespassing on rail property are also administered by FRA. The FRA was created by the Department of Transportation Act of 1966. A series of bankruptcies and consolidations left the rail system in the hands of a few large operations by the 1980s. Almost all long-distance passenger traffic was shifted to Amtrak, which was formed during President’s Nixon’s administration in 1971 when Congress passed the Rail Passenger Service Act of 1970. This legislation established the National Railroad Passenger Corporation to take over the intercity passenger rail service that had been operated by private railroads. Amtrak began service on May 1, 1971, serving 43 states with a total of 21 routes. This greatly relieved the railroads from the burden of supplying the less profitable passenger rail service. FRA supports passenger and freight railroading through a variety of competitive grants, dedicated grant and loan programs to develop safety improvements, relieve congestion, and encourage the expansion and upgrade of passenger and freight rail infrastructure and services. FRA also provides training and technical assistance to grantees and stakeholders. The FRA provides grants primarily through states for the development of rail transportation through various programs including:
6.7—FEDERAL TRANSIT ADMINISTRATION http://www.fta.dot.gov/ The Federal Transit Administration (FTA) assists development of improved mass transportation systems for cities and communities nationwide. The responsibilities of the FTA were originally handled by the Department of Housing and Urban Development (HUD). President Lyndon Johnson transferred most of HUD’s responsibility for mass transit to the USDOT, effective July 1, 1968. Through its grant programs, delivered primarily through STAs, FTA helps plan, build, and operate transit systems with convenience, cost and accessibility in mind. While buses and rail vehicles are the most common type of public transportation, other kinds include commuter ferryboats, trolleys, inclined railways, subways, and people movers. In providing financial, technical, and planning assistance, the agency provides leadership and resources for safe and technologically advanced local transit systems while assisting in the development of local and regional traffic reduction. Funds may be used for capital projects to finance the planning, acquisition, construction, cost-effective lease, improvement, and maintenance of equipment and facilities for use in transit for both urban and non-urban areas; and assist in development of transportation improvement programs, long-range transportation plans, and other technical studies in metropolitan areas. Activities include:
The FTA's research program seeks to deliver solutions that improve public transportation. Its primary goals are to increase transit ridership, improve safety and emergency preparedness, improve operating efficiencies, protect the environment, promote energy independence, and provide transit research leadership. To accomplish this, FTA funds research on:
Funds may be used to assist in the development of cost effective multimodal transportation improvement programs, which include the planning, engineering, and designing of federal transit projects, and other technical studies in a program for a unified and officially coordinated statewide transportation system. The FTA maintains the National Transit library (NTL), a repository of reports, documents, and data generated by professionals and others from around the country. The NTL is designed to facilitate document sharing among people interested in transit and transit related topics. 6.8—MARITIME ADMINISTRATION http://www.marad.dot.gov/ The Maritime Administration (MARAD) promotes development and maintenance of an adequate, well-balanced United States merchant marine, sufficient to carry the nation's domestic waterborne commerce and a substantial portion of its waterborne foreign commerce, and capable of serving as a naval and military auxiliary in time of war or national emergency. MARAD also seeks to ensure that the United States enjoys adequate shipbuilding and repair service, efficient ports, effective intermodal water and land transportation systems, and reserve shipping capacity in time of national emergency. President Harry S. Truman established MARAD in 1950 under his Reorganization Plan No. 21. However, MARAD traces its origins to the Shipping Act of 1916, which established the U.S. Shipping Board. The Marine Highway Program does not develop or operate marine highway services. The private sector or state/local governments develop and operate marine highway services. The program was designed to reduce landside congestion by integrating the commercially operated marine highway services into the nation's surface transportation system. Once integrated, these marine highway services connect seamlessly with all modes of transportation for freight and passengers, thus providing a convenient transportation alternative alongside congested landside transportation corridors. America’s marine highways are navigable waterways that have been designated by the Secretary of Transportation and have demonstrated the ability to provide additional capacity to relieve congested landside routes serving freight and passenger movement. Each marine highway has a corridor designation that reflects the congested landside route it parallels. For example, M-95 stretches from Maine to Florida and is the designation for the shipping lane along the Atlantic Coast paralleling interstate highway I-95. 6.9—NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION http://www.nhtsa.gov/ The National Highway Traffic Safety Administration (NHTSA) is responsible for reducing deaths, injuries and economic losses resulting from motor vehicle crashes. NHTSA sets and enforces safety performance standards for motor vehicles and equipment, and through grants to state and local governments, enables them to conduct effective local highway safety programs. In 1970, the Highway Safety Act authorized the establishment of NHTSA. Although the law added somewhat to USDOT’s safety mission, the FHWA originally had handled most of the functions that NHTSA assumed. Besides establishing another operating administration and adding to the secretary's span of control and coordination workload, the Highway Safety Act separated highway administration into two parts:
Under the oversight of NHTSA, formula grant funds may be used for problems identified within the nine national priority program areas of:
Other program areas identified by a state as constituting a highway safety problem in that state may be eligible for federal funding if they encompass a major highway safety problem in that state and the state has identified effective countermeasures. One such example that has received federal funding is pupil transportation safety programs. The law provides that at least 40 percent of these federal funds apportioned to a state for any fiscal year will be expended by the political subdivisions of such state. NHTSA is responsible for the following:
6.10—OFFICE OF INSPECTOR GENERAL https://www.oig.dot.gov/ On October 12, 1978, the Inspector General (IG) Act established twelve federal Offices of Inspector General (OIG), including the Department of Transportation OIG. The Act passed the House of Representatives by a vote of 388 to 6 and was later approved by the Senate by unanimous consent. Two OIGs had previously been established, one in 1976 and another the following year. President Jimmy Carter signed the IG Act into law and described the new statutory IGs as “perhaps the most important new tools in the fight against fraud.” The President charged the IGs to always remember that their ultimate responsibility is not to any individual but to the public interest. The OIG is committed to fulfilling its statutory responsibilities and supporting members of Congress, the Secretary, senior department officials, and the public in achieving a safe, efficient, and effective transportation system. It builds on its long-standing record as a highly respected contributor to the department's mission. They are USDOT’s sole in-house source for objective examination of its programs and their integrity. Their core values and audit and investigative expertise ensure they remain highly responsive to the needs of the Secretary, Congress, and the American people. Their mission is to protect USDOT programs from fraud, waste, abuse, and violations of law and promote effectiveness of the USDOT’s programs. They accomplish this through audits and investigations. The OIG also consults with Congress about programs in progress and proposed new laws and regulations. The Inspector General Act of 1978 gives the Office of Inspector General autonomy to do its work without interference. The Inspector General is chosen by the President; this choice is based not on political affiliation but rather on integrity and ability. IG candidates can show accomplishment in several fields, including accounting, auditing, law, financial or management analysis, public administration or investigations. Inspector General appointees are subject to Senate confirmation. Only the President has the power to remove an inspector general and the reasons for doing so must be communicated to Congress. The Inspector General Act of 1978 prevents officials in the scrutinized agency from interfering with audits or investigations; it also requires the IG to keep the Secretary of Transportation and Congress informed of findings. However, much of OIG's most significant work is accomplished with the cooperation of the officials whose programs are being reviewed. 6.11—PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION Directory: Documents Documents -> Concept stage Documents -> Concept stage Documents -> The great global switch-off Documents -> Nonprofit grant application Documents -> The Truth about the Rwandan Genocide Documents -> Annual InStructional unit plan Documents -> Chaos equipment included Download 433.12 Kb. Share with your friends:
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