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Manual Notice
| Traffic Safety Program Manual |
TxDOT Manual System
♦
Manual Notice 2005-1
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1.
Introduction
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1.
Overview
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Purpose of Manual
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Electronic Documents and Forms
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Availability of Manual
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Users of Manual
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Mission Statement
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Program Goal and Objective
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Background
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Organization
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Responsibilities
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Titles and Office Designations
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Definition of Subgrantee
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2.
Federal Laws and Regulations
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Background
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The Highway Safety Act of 1966
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Applicable Federal Regulations
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The Common Rule
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Other Applicable Office of Management and Budget Circulars
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Documents Available
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3.
State Laws and Regulations
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General
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The Texas Traffic Safety Act of 1967
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Uniform Grant Management Standards
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Governor’s Highway Safety Representative
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Governor’s Executive Orders
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Intellectual Property
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4.
Signature Authority
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Introduction
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Signature Authority
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Further Delegation of Signature Authority
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Specific Authority to Contract
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2.
Planning
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1.
Overview
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Background
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Planning Overview
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2.
State Highway Safety Plan
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Introduction
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Program Areas
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Program Funding
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Development Process
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Planning, Problem Identification, and Request for Proposals (Stages 1, 2, & 3)
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Internal Coordination (Stage 4)
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Review, Comment, and Approval (Stage 5)
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Implementation (Stage 6)
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Program Administration Process
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3.
Problem Identification and Community Assessment
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What Is Problem Identification?
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Purpose of Problem Identification
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General Problem Identification Procedure
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Data Collection and Analysis
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Data Elements
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Crash Specific Data
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Data Sources
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Data Analysis and Interpretation
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Some Key Questions in Problem Identification
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Problem Analysis
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Impediments to Effective Problem Identification
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Example Problem
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Traffic Safety Community Needs Assessment
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Purpose of Community Needs Assessment
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Baseline Data
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STEP Projects
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Web-based Tools for Identifying Resources
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What the Community Needs Assessment Should Cover
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Are DWI Issues Involved?
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Identifying Areas of Need Related to DWI Issues
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4.
Cost Assumption Plan
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Introduction
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CAP Submission Requirements
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Content of CAP
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Allowable Matching (Cost Sharing)
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Schedule
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Maximum Allowable Federal Support and Required Match
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Plan Approval
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Form
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5.
Highway Safety Project Proposals
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Introduction
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Description and Content
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Forms 1851, 1851-LE, & 1852
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Completing the Project Proposal
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6.
Project Selection
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Introduction
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Project Scoring
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Recommendation
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Scoring Process and Criteria
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Target-of-Opportunity Projects
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3.
Project Development
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1.
Overview
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Influencing Factors
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Highway Safety Program Areas
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2.
Program Area Strategies, Goals, and Performance Measures
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Introduction
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Overall State Goals
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Program Area Goals, Performance Measures, and Strategies
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3.
Project Development Process
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Introduction
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Grant Agreement Purpose
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Development Process
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Countermeasure Selection
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Implementation or Project Activation
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Grant Agreement Content
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Summary
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4.
Project Performance Measures and Standards
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Performance Measures
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Types of Performance Measures
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Performance Standards
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Measurement Characteristics
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Summary
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4.
Grant and Contract Preparation and Execution
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1.
Overview
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Introduction
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Grant Agreement
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Interagency Cooperation Contract
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Process Overview
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2.
Development Process
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Introduction
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Negotiation
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Grant Period or Term of Contract
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Project Period
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Multi-Year Agreements
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Grant Agreement and Contract Preparation
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Technical Analysis
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3.
Project Description
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Introduction
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Content
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Performance Measures
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Pro Forma Project Description
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Forms for Non-Law Enforcement Grants
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4.
Budget
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Introduction
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Pro Forma Budget
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Forms Available
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Method of Payment
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Maximum Amount Eligible for Reimbursement
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Profit Prohibited
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Reimbursement Policy
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Project Budget
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Budget Categories
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Overtime Rate
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Detailed Costs
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Project Support
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Other Criteria
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Cost Analysis
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Indirect Costs (Facilities and Administrative Costs)
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5.
Grant Agreement Preparation Details
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Introduction
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Federal Pass-Through / State Grant Funds
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Miscellaneous Contract Number
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Charge Number for Payments
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Project Year
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Required Information
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Legal Authority
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Attachments
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Grant Agreement General Terms and Conditions
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Disadvantaged Business Enterprises and Historically Underutilized Businesses
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Subcontracts
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Subcontract Agreement Forms
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6.
Interagency Cooperation Contract Preparation Details
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Introduction
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Expenditure
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Contract Number
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Charge Number
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Required Information
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The IAC Contents
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Transmittal Form
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7.
Subgrantee or Contractor Approval
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Introduction
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Local Resolutions and Ordinances
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Designation of Authority
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Educational Institutions
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8.
TxDOT Approval
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Introduction
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TxDOT Review
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When Problems Are Found
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Changes During Review and Approval
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TxDOT Signature Authority
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Additional Copies
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Originals
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9.
Miscellaneous Contract Summary Form
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Purpose
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Obtaining the Form
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Filling Out the Form
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Checkboxes for “Initial,” “Amendment,” and “Correction”
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Data Blocks
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Data Fields
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Unneeded Data
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“Prepared by” and “Date”
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Processing
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10.
Execution and Delivery
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Day of Execution
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Grant Delivery Meeting
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Meeting Participants
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Meeting Agenda
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Record of Meeting
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11.
Grant Agreement and Contract Amendment
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Introduction
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Amendment Process
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Budget Amendments
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Allowable Cost Overruns
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Suspension of Time
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Amendment Document
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Completing the Grant Agreement Amendment
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Amendment Processing
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Amendment Filing
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5.
Program and Project Administration
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1.
Overview
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Introduction
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2.
Grant Management and Administration
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Introduction
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Cost Eligibility
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Amendments
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Other Grant Administration Tasks
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3.
Submitting Requests for Reimbursement
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Introduction
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Reimbursement Conditions
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Documentation
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Advances Prohibited
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Submission
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Obtaining the 1858 RFR Form
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Using the 1858 RFR Form
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Accounting for Program Income
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Summary of Documentation
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Direct Deposit
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4.
RFR Review and Processing
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Introduction
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Process Overview
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Review
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RFR Checklist
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Coding Information
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Approval for Payment
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Submission to Finance Division
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Interagency Cooperation Contracts
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Professional Services and Consultant Contracts
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Finance Division Review
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Questions and Assistance
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5.
Program Income
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Introduction
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Definition
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Exceptions
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Program Income as Project Match
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Requirements
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Disposition
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Reporting Income Received
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Reporting Income Disbursed
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6.
File Maintenance
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Introduction
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On-line File Maintenance System
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Background
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File of Record
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File of Record Content
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Managing File Contents
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File Security
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File Retention
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7.
Training
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Introduction
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Summary
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8.
Public Information and Education
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Introduction
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Definition of PI&E Materials
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Production Approval Required
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Limitations on Purchase of Advertising
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Ownership of Art Work
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Use of Promotional Items
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Criteria for Production Approval
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Requesting Approval
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Review and Approval
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Local Participation Important
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Outside-of-TxDOT Participation
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Obtaining PI&E Material
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District Inventory
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Receiving Materials
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Inventory Records
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Report on Activities
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Forms
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Professional Service Contracts and Subcontracts
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Sources for PI&E Material
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PI&E Workgroup
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9.
Travel for Subgrantees
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Introduction
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Criteria for Reimbursement
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Grant Inclusion
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Requesting Approval
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Out-of-State Travel Request Processing
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Requesting Reimbursement
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Forms
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10.
Property Management
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Introduction
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Definitions
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Acquisition of Equipment
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Property Procurement
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Notification of Property Purchase
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Property Management Standards
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Certification of Subgrantee Property
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Property Insurance
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Tagging
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Disposition
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11.
Financial Information Management System
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Introduction
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Financial Information Management System
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Assignment of Charge Numbers and Contract Numbers
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12.
Federal Payment Voucher Processing
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Introduction
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Requests For Reimbursement Review
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Voucher Processing
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Electronic Transfer of Funds
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Grants Tracking System
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Obligation Limitation Transaction
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Obligation Cost Summary Transaction
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Advance of Funds Transaction
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Advance Reduction Transaction
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Voucher Transaction
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GTS Reports
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Audit Exceptions
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6.
Monitoring
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1.
Overview
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What Is Project Monitoring?
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Purpose
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Types of Monitoring
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Major Elements of Monitoring
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2.
Ongoing Monitoring
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Introduction
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Frequency
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Items
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Procedures
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Participants
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Documentation
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3.
Project On-Site Monitoring
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Background
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Frequency
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Items to Review
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Advance Preparation
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Review of Source Documents
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Review of Project Status
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Review of Budget Requirements
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Direct Observations
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Documentation
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4.
District Compliance Monitoring
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Background
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Frequency
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Items to be Reviewed
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Advance Preparation
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Review of Source Documents
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Review of Project Files
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Direct Observations
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Documentation
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5.
Project Performance Reports
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Introduction
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Content
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Frequency
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Documentation Requirements
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Annex Report
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6.
Resolution of Findings
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Introduction
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First-line Resolution — Minor Findings
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Resolution of Minor Findings: Options
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Second-line Resolution — More Serious Error or Discrepancy
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Resolution of Significant Findings
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Resolution of Major, Significant Findings: Options
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Project Audit
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Mediation or Cancellation
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Right to Appeal
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7.
Evaluation
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1.
Overview
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Background
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Purpose of Evaluation
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Why Evaluation is Sometimes Neglected
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Decision Outcomes
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2.
Project Evaluation
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Introduction
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Periodic Project Monitoring
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Midyear Review
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Final Performance Report and Administrative Evaluation Report
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Final Requests for Reimbursement
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3.
Annual Report to NHTSA
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Introduction
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Report Contents
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Final Administrative Evaluation
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Financial Obligation Closeout
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8.
Program Closeout
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1.
Overview
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Introduction
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2.
Project Closeout and Final Federal Reimbursement
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Final Federal Voucher
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Closeouts
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3.
Single Audit Procedures
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Introduction
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Background
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Responsibilities
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Monitoring Subgrantees
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Reviewing Single Audit Reports
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Issuance of Final Audit Reports
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Site Audits
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4.
Audit Coordinating Responsibilities
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Introduction
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Purpose
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Procedures
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Substandard Reports
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5.
Resolving Audit Findings
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Division Responsibility
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District Responsibility
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Types of Findings
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Process Overview
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Notification of Findings
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Handling of Refunds
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Handling Appeals
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When Refund Is Not Received
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File of Record
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Questions
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A.
Forms
Traffic Safety Program Manual
November 2005
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