introduction to the federal aid process
DESCRIPTION
INTRODUCTION TO THE FEDERAL AID PROCESS. 17 th Annual Transportation and Planning Symposium October 29, 2007. Representatives. Bob Hansen , NYSDOT, Region One Diane Kenneally , NYSDOT, Main Office Roslyn Webber, FHWA, NY Division Dave Hart, FHWA, NY Division. Roles & Responsibilities. - PowerPoint PPT PresentationTRANSCRIPT
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INTRODUCTIONTO THEFEDERAL AIDPROCESS
17th Annual Transportation and Planning Symposium
October 29, 2007
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Representatives
Bob Hansen, NYSDOT, Region One
Diane Kenneally, NYSDOT, Main Office
Roslyn Webber, FHWA, NY Division
Dave Hart, FHWA, NY Division
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Roles & Responsibilities
FHWA
NYSDOT
Local Agency
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Roles & Responsibilities
FHWA’s authority and oversight roles are defined in:
23 USC & 23 CFR FHWA/NYSDOT SAFETEA-LU Agreement, our authority for delegation Chapter 2 of the Procedures for Locally Administered Federal Aid Projects
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Roles & Responsibilities
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FHWA’s Role
Ensure Contract Specifications are Fulfilled
Ensure Federal Standards are Met
Conduct Process Reviews
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FHWA’s Role
Technical Expertise
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NYSDOT’s Role
Ensures projects are developed and constructed in full compliance with Federal requirements
Protects Federal/State investment on projects regarding the quality, safety and financial integrity of the project
Takes necessary corrective actions regarding the above
Determines eligibility Federal and State funding
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The Procedures for Locally Administered Federal Aid Projects https://www.nysdot.gov/portal/page/portal/divisions/operating/opdm/local-programs-bureau/locally-administered-federal-aid-projects
The Regional Local Projects Liaison (RLPL)Interprets regulations, manuals and guidelinesMonitoringCompleteness reviewsConsulting with NYSDOT Main Office and FHWAStandard Federal-Aid Local Project Agreement
Local Programs Bureau
NYSDOT provides guidance and assistance to Sponsors thru…
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NYSDOT’s key project responsibilities
Seek Federal authorization for each project phase, i.e., design, ROW, construction
Process Sponsor’s reimbursement requests
Approve design exceptions/non-standard features for work on/related to non-NHS State Highways and non-Interstate NHS
Grant design approval for projects on/related to non-NHS State Highways and non-Interstate NHS
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NYSDOT’s key project responsibilities (cont’d)
Approve Railroad and Utility Relocation Agreements
Concur with Contract Award Recommendation
Verify Sponsor’s final inspection and final acceptance of construction contract
Close out local agreement and make final payment
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NYSDOT
Local Programs Bureauhttps://www.nysdot.gov/portal/page/portal/divisions/operating/opdm/local-programs-bureau
State Aid CHIPS SHIPS
Locally Administered Federal Aid Projects (LAFAP) Multi-modal and Member Items
Transportation Enhancement Program (TEP) Safe Routes to School Program (SRTS)
List of the RLPL's
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The Sponsor’s Role
Responsible for front-ending all project costs
Delegated responsibility for administering and implementing federal-aid projects
Planning
Programming
Environmental investigation
DesignConstructionMaintenance
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Standard Federal-Aid Local Project Agreement
Between Sponsor and NYSDOT
Project specific
Describes project phase, funding and deposit requirements
Describes allocation of responsibility
Municipal/Sponsor resolutionApproves project
Funding appropriation
Authorizes appropriate official to execute Agreement
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Sponsor’s key project decisions/activities
Getting the project into the STIP
Procuring and approving Consultant contracts
Preparing and submitting reimbursement requests
Performing/overseeing project design and environmental activities
Approving design exceptions/non-standard features on local roads/bridges
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Sponsor’s key project decisions/activities
Preparing and submitting NEPA Class II automatic and programmatic categorical exclusion determinations to NYSDOT for concurrence
Making SEQR determinations
Granting design approval
Certifying non-NYSDOT construction specifications on local roads/bridges
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Sponsor’s key project decisions/activities
Certifying and acquiring Right of Way (FHWA approval required if not completed prior to contract advertising)
Acquiring needed permits
Coordinating Railroad and Utility Relocation Agreements
Determining/approving DBE goals
Approving construction contract documents
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Sponsor’s key project decisions/activities
Advertising and awarding construction contracts
Administering the construction contract
Performing/overseeing construction inspection
Approving contract change orders
Accepting construction contract work
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Two Key Documents to Ensure Success
Project Management Plan (PMP)
Construction Management Plan (CMP)
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Project Management Plan (PMP)
Implementation strategyPrimary communication toolProvides clear assignment of authority and accompanying responsibility
Assigns project managerSchedule
Outlines milestones, products, reviews and approvals
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Construction Management Plan (CMP)
Outlines how contract will be administered
Provides clear assignment of authority and accompanying responsibility
Addresses procedures, record keeping, staffing, subcontractor approvals, EEO, inspection, change orders, contract close-out, etc.
Approved by NYSDOT before contract advertising
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Federal-Aid Process
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FAHP financial proceduresMulti-year
authorization act (SAFETEA-LU)
Annual distribution
(apportionment or allocation)
Total Federal aid available for a
fiscal year
Obligation (Federal
government’s promise to pay)
Reimbursement
Unobligated balances of prior
years’ distributions
Limitation on
obligations
Annual appropriations
act
Liquidating cash to reimburse
States
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Highway Trust Fund
18.4 cents
0.1 cent 18.3 cents
Leaking Underground Storage Tank Trust Fund
HTF
2.86 cents15.44 cents
Highway Acct Mass Transit Acct
Federal Gasoline Tax Breakdown
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Legislative Process
Key TermsAuthorization
Appropriation
Contract Authority
Rescission
Federal Legislative Process
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SAFETEA-LU
Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users
President signed the bill into law Aug.10, 2005
Provides Federal funding for FFY 05-09
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U.S. DEPARTMENT OF TRANSPORTATIONFEDERAL HIGHWAY ADMINISTRATION
FY 2007 OBLIGATION LIMITATION DISTRIBUTIONPURSUANT TO SECTION 1102 OF THE SAFE,
ACCOUNTABLE, FLEXIBLE, EFFICIENT TRANSPORTATION EQUITY ACT: A LEGACY FOR USERS AND THE CONTINUING APPROPRIATION
RESOLUTION, 2007, PUBLIC LAW 110-5
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U.S. DEPARTMENT OF TRANSPORTATIONFEDERAL HIGHWAY ADMINISTRATION
Rescission of Unobligated BalancesPursuant to the Continuing Appropriations Resolution,
2007, Pub. L. No. 110-5, Sec. 21014
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Authorization Act / Appropriations Act
Obligation Authority
Limitation
Redistribution
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SAFETEA-LU Earmarksin New York State
436 High Priority Projects
Totaling $ 738M
Mostly off-system projects
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High Priority ProjectsMain Features of SAFETEA-LU
Funding available in installments (20% per year, over five FFY’s)Funds obligated are available until expendedFederal share is 80%All projects require a matchObligation Authority (OA) limitations applyAcross the Board Rescissions may be enacted through annual Appropriation Acts
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Example of a Conservative Account For Funds Available for a Typical High Priority Project
A typical project listed for $1M in the billFederal Share 80% = $1M
Minimum Local Share 20% = $0.250M
Minimum Total Project Cost $1.250M
Total Cost may exceed $1.250M, but recipient must fund all additional costs
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Federal Allocation of $1M for this typical high priority project will be made available in five equal (20%) installments subject to Obligation Authority (OA) and Rescission
The allocation will be distributed as follows:FFY 05-$0.200M
FFY 06-$0.200M
FFY 07-$0.200M
FFY 08-$0.200M
FFY 09-$0.200M
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Reduction by Obligation Authority (OA),using 90% as an example for each FFY beyond 2006
For FFY 05: 85.5% of $0.200M = $0.171M
For FFY 06: 87.0% of $0.200M = $0.174M
For FFY 07: 90.0% of $0.200M = $0.180M
For FFY 08: 90.0% of $0.200M = $0.180M
For FFY 09: 90.0% of $0.200M = $0.180M
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Further Potential Reduction from Annual Rescission using 1% as an example for each FFY beyond 2005
FFY 05: Reduction of $0.171M by 0%= $171,000
FFY 06: Reduction of $0.174M by 1%= $172,260
FFY 07: Reduction of $0.180M by 1%= $178,200
FFY 08: Reduction of $0.180M by 1%= $178,200
FFY 09: Reduction of $0.180M by 1%= $178,200
No rescission in FFY 2005; FFY 2006 1% across the board
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Estimated Federal Funds Available in Each FFY
FFY 05: $ 171,000 (Original Amount $0.200M)FFY 06: $ 172,260 (Original Amount $0.200M)FFY 07: $ 178,200 (Original Amount $0.200M)FFY 08: $ 178,200 (Original Amount $0.200M)FFY 09: $ 178,200 (Original Amount $0.200M)
For a typical $ 1M project listed in the Bill, approximate amount of funds available is $0.178M per year
Your $1,000,000 authorization is now $877,860 of contract authority
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Options for Advancing High Priority Projects
Wait until sufficient funding is available
Fund the project with 100% sponsor funds and receive reimbursement as Federal HPP funding becomes available for obligation
Meeting funding shortfalls is the recipient’s responsibility
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Other Provisions of the SAFETEA-LU Bill
All High Priority Projects need to be added to the TIP/STIP
All Federal and State rules apply to all High Priority Projects
All environmental regulations apply to all projects
Amount allocated to a High Priority Project can be used for that project only
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All Earmark Projects are to be Implemented According to the Rules and Process Reflected in the Procedures for Locally Administered Federal Aid Projects
https://www.nysdot.gov/portal/page/portal/divisions/operating/opdm/local-programs-bureau/locally-administered-federal-aid-projects
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Project Finances
Reimbursement Program, NOT A GRANT
Federal Share Cannot Exceed 80%
Non-Federal Share Required With Limited Exceptions
Local FundsCHIPs Capital FundsLegislative Member ItemsSoft Match : PE / Cost of ROW / Architectural
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Federal-aid Financing Procedures
Reimbursement Process
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Reimbursements
Process1. Sponsor Pays Bills
2. NYSDOT Pays Sponsor
3. FHWA Pays NYSDOT
TimingPeriodic or Final Lump Sum
Federal Aid: Varies with billing cycle
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Federal-aid Financing Procedures
Audit Procedures
OMB Circular No. A-133
“Audits of States, Local Governments, and Non-Profit Organizations”
Uniform audit requirements for non-Federal entities and implements the Single Audit Act Financial Integrity Review and Evaluation
(FIRE) Order – FHWA Order 4560.1A
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Federal Aid Project Proposal (FAPP)
Prepared by Sponsor
Reviewed by NYSDOT
Approved by Sponsor and NYSDOT
Project Added to TIP/STIP
NYSDOT Requests FHWA to Obligate Federal Funds and Receives Federal Authorization
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Prerequisites to Agreement
Project Initiation
Project Listed on TIP & STIP after conformity review (non attainment areas)
High Priority Projects in NYC conformity (Earmarks)
STP-TEP & CMAQ Projects
Project Application
Enhancement
FHWA Authorization
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REMEMBER. . .
All Work Performed Prior to • Initiating Project (FAPP)• Adding Project to TIP & STIP• Processing State-Local Project Agreement• Receiving an Authorization to Proceed From
NYSDOT
Is Ineligible For Federal Reimbursement.
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OVERVIEW OF FEDERAL AID PROJECT PROCESS
OBTAINPROJECTFUNDING
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJEC
T
CONSTRUCT & INSPECT PROJECT
ACQUIREPROPERT
Y
PREPAREDESIGN REPORT
OPERATE &
MAINTAINFACILITY
PREPARE CONTRACT DOCUMENT
S
SELECT &HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
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OBTAINPROJECTFUNDIN
G
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUCT &
INSPECT PROJECT
ACQUIREPROPERT
Y
PREPAREDESIGN REPORT
OPERATE &
MAINTAINFACILITY
PREPARE CONTRACT DOCUMENT
S
SELECT &HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
PLAN & IDENTIFY PROJECT
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Project PlanningProject Planning
Project Should Be Consistent With:Project Should Be Consistent With:– Municipality’s Comprehensive PlanMunicipality’s Comprehensive Plan– Regional Transportation PlanRegional Transportation Plan– Municipality’s Land Use PlanMunicipality’s Land Use Plan– Any Local Pedestrian Plan and Asset Any Local Pedestrian Plan and Asset
Management PlanManagement Plan
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Project Should describe:
Objective(s)Logical TerminiIndependent UtilityPublic UseTransportation Function Project should be consistent with TIP and Conformity process
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Good Cost Estimate
Costs For All Project PhasesPreliminary EngineeringProperty AcquisitionConstructionMiscellaneous (Utilities, Railroads)Any overrun responsibility of the sponsor, subject to prior guidelines.
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PLAN & IDENTIFY PROJECT
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUCT & INSPECT PROJECT
ACQUIREPROPERTY
PREPAREDESIGN REPORT
OPERATE & MAINTAINFACILITY
PREPARE CONTRACT
DOCUMENTS
SELECT &HIRE
CONSULTANT
CLOSE PROJECT AGREEMENT
OBTAINPROJECT FUNDING
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Seek FundingWhen Seeking Funding
Become Familiar with Sources and Rules
Consider Willingness/Ability to Comply
Consider Timing
When Preparing Project Documentation
Clearly Describe Project Scope
Quantify Realistic Benefits
Ask for Appropriate Funds
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDIN
G
BID & AWARD PROJECT
CONSTRUCT &
INSPECT PROJECT
ACQUIREPROPERT
Y
PREPARE
DESIGN REPORT
OPERATE &
MAINTAINFACILITY
PREPARE CONTRACT DOCUMENT
S
SELECT &HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
EXECUTE PROJECT
AGREEMENT
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Project Agreement
Prepared by NYSDOTSigned by
Local GovernmentNYSDOTNYS Attorney GeneralOffice of State Comptroller
Executed by NYSDOT Returned to Local Government
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Authorization to Proceed with Authorization to Proceed with Preliminary Design &Preliminary Design &
Right-of-Way Incidental PhasesRight-of-Way Incidental Phases
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDIN
G
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUCT &
INSPECT PROJECT
ACQUIREPROPERT
Y
PREPARE
DESIGN REPORT
OPERATE &
MAINTAINFACILITY
PREPARE CONTRACT DOCUMENT
S
CLOSE PROJECT
AGREEMENT
SELECT & HIRE
CONSULTANT
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Consultant SelectionConsultant Selection
• Consultant Federally Funded – Select Using Qualifications-Based
Process– Cost Not a Selection Factor
• Consultant Locally Funded – Hire Using Local Process
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Qualifications-Based ProcessQualifications-Based Process
• Part I – Selection– Place Advertisement– Committee Evaluates Proposals– Committee Interviews Top Rated Firms– Committee Re-Ranks Based on Interviews– Final Selection Made
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Qualifications-Based ProcessQualifications-Based Process
• Part II – Negotiation– Prepare Task List– Develop Independent Estimate– Negotiate Tasks and Resources With Consultant– Apply Salary & Overhead Rates; Add Fixed Fee
(Profit)– Perform Pre-Negotiation Audit, If Necessary– Execute Agreement (Include Federal Language)– Send Signed Agreement to RLPL
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Locally Driven Selection Agreement (LDSA) Locally Driven Selection Agreement (LDSA) ListsLists
• Consultant Agreement pertain with city that follows federal guidelines can be used.
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDING
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUCT & INSPECT PROJECT
ACQUIREPROPERTY
OPERATE & MAINTAINFACILITY
PREPARE CONTRACT
DOCUMENTS
SELECT &
HIRE CONSULTANT
CLOSE PROJECT
AGREEMENT
PREPARE DESIGN
APPROVAL DOCUMENT
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Purpose of Design Approval Purpose of Design Approval DocumentDocument
EligibilityEligibility Technical DecisionsTechnical Decisions Environmental ReviewEnvironmental Review Public InvolvementPublic Involvement Coordination With Affected Coordination With Affected
Municipalities & Regulatory Municipalities & Regulatory AgenciesAgencies
CostsCosts
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LEGISLATIVE HISTORY
• NEPA – 1969• PL 91-190•23 CFR 771 http://www.fhwa.dot.gov/environment/index.htm
• SEQRA – 1975•Article 8 of Environmental Conservation Lawhttps://www.nysdot.gov/portal/page/portal/divisions/engineering/environmental-analysis
• City/Local CQRA
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NEPANEPA(23 CFR 771)(23 CFR 771)
Applies To All Federal Aid Applies To All Federal Aid ProjectsProjects
Final Determination Made Final Determination Made After Final SEQRA and CEQR After Final SEQRA and CEQR
DeterminationDetermination By FHWA or NYSDOT By FHWA or NYSDOT
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NEPA CHECKLISTNEPA CHECKLIST
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SEQRASEQRA(6 NYCRR Part 617)(6 NYCRR Part 617)
Applies to All ProjectsApplies to All Projects SponsorSponsor
Is Lead AgencyIs Lead Agency Makes Final Makes Final
DeterminationDetermination
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Public InvolvementPublic Involvement Appropriate Public Involvement Must be Appropriate Public Involvement Must be
UndertakenUndertaken ExamplesExamples
When an EIS Will be UndertakenWhen an EIS Will be Undertaken When M&PT Will Close LanesWhen M&PT Will Close Lanes When Businesses Will be AffectedWhen Businesses Will be Affected When Parking Will be AffectedWhen Parking Will be Affected
Who May be Involved?Who May be Involved? Elected OfficialsElected Officials NYSDOT or Other AgenciesNYSDOT or Other Agencies Affected Organizations and BusinessesAffected Organizations and Businesses General PublicGeneral Public
Describe in Design Approval DocumentDescribe in Design Approval Document Categorical Exclusion doesn’t need public Categorical Exclusion doesn’t need public
involvementinvolvement
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Right-of-WayRight-of-Way
Plans in Design Approval Document Must Plans in Design Approval Document Must ShowShow Existing Property LinesExisting Property Lines Proposed Property AcquisitionsProposed Property Acquisitions
Table of ROW Acquisition in Design Table of ROW Acquisition in Design Approval DocumentApproval Document
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Design ApprovalDesign Approval
After SEQRA and NEPA After SEQRA and NEPA DeterminationsDeterminations
Recommended by Design ProfessionalRecommended by Design Professional Professional Engineer Professional Engineer Registered Architect (Buildings)Registered Architect (Buildings)
Granted by SponsorGranted by Sponsor Additional Approval May Be Required Additional Approval May Be Required
(NYSDOT for NHS/State System)(NYSDOT for NHS/State System)
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ROW Incidental PhaseROW Incidental Phase
Concurrent with design Report Concurrent with design Report preparationpreparation
Includes:Includes: Title SearchesTitle Searches BrochureBrochure Map and Deed PreparationMap and Deed Preparation Property AppraisalsProperty Appraisals Table of proposed ROW AcquisitionTable of proposed ROW Acquisition
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Authorization to Proceed Authorization to Proceed With Detailed Design &With Detailed Design &
Right-of-Way Acquisition Right-of-Way Acquisition PhasesPhases
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDING
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUCT & INSPECT PROJECT
PREPARE DESIGN REPORT
OPERATE & MAINTAINFACILITY
PREPARE CONTRACT
DOCUMENTS
SELECT &
HIRE CONSULTANT
CLOSE PROJECT
AGREEMENT
ACQUIREPROPERTY
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ROW Acquisition PhaseROW Acquisition Phase
After Design ApprovalAfter Design Approval Includes:Includes:
Written Offers of “Just Compensation” To Written Offers of “Just Compensation” To Property OwnersProperty Owners
PaymentsPayments Acquisition of Title or Rights to PropertyAcquisition of Title or Rights to Property Written DiariesWritten Diaries ROW Clearance CertificateROW Clearance Certificate ROW Acquisition Must be Accomplished ROW Acquisition Must be Accomplished
Prior to Advertisement for BidsPrior to Advertisement for Bids
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NYSDOT Permit RequirementNYSDOT Permit Requirement
ROW Certification is Required from the ROW Certification is Required from the sponsor agency.sponsor agency.
ROW Certification is Required From ROW Certification is Required From NYSDOT if Work Will Affect NYSDOT ROWNYSDOT if Work Will Affect NYSDOT ROW
ROW Certification is required for ROW Certification is required for construction.construction.
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WARNINGWARNING
Do Do NotNot
Begin Property NegotiationsBegin Property Negotiations Make Any Commitments or OffersMake Any Commitments or Offers Acquire PropertyAcquire Property
Before Receipt of Written Authorization Before Receipt of Written Authorization To Proceed With ROW Acquisition To Proceed With ROW Acquisition Activities Activities
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDING
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUCT & INSPECT PROJECT
ACQUIREPROPERTY
PREPARE DESIGN REPORT
OPERATE &
MAINTAINFACILITY
SELECT &HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
PREPARE CONTRACT
DOCUMENTS
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Contract PlansContract Plans
Consistent with Design Approval Consistent with Design Approval DocumentDocument
Stamped by the Licensed Professional Stamped by the Licensed Professional Responsible for DesignResponsible for Design
Signed by the SponsorSigned by the Sponsor Additional Approval May be Required Additional Approval May be Required
if Project is on NHS/State Systemif Project is on NHS/State System
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Contract SpecificationsContract Specifications
NYSDOT SpecificationsNYSDOT Specifications On National Highway System On National Highway System On State HighwayOn State Highway When Sponsor Does Not Have Approved When Sponsor Does Not Have Approved
SpecsSpecs Sponsor’s Approved SpecificationsSponsor’s Approved Specifications
On Local RoadsOn Local Roads Outside of Highway ROWOutside of Highway ROW
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Buy AmericaBuy America
• Sheet PilingSheet Piling• RebarRebar• GuiderailGuiderail• Bridge BeamsBridge Beams
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Buy AmericaBuy America
• All Project Steel All Project Steel Should be U.S. Should be U.S. SteelSteel
• Waivers in Rare Waivers in Rare InstancesInstances
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Bid DocumentsBid Documents
May IncludeMay Include Alternate Bids, If Approved by NYSDOTAlternate Bids, If Approved by NYSDOT
May Not IncludeMay Not Include Proprietary ItemsProprietary Items Warrantee for the entire projectWarrantee for the entire project Typical Retainage (Some Exceptions Typical Retainage (Some Exceptions
May Apply)May Apply) Language That Conflicts With Federal Language That Conflicts With Federal
RequirementsRequirements
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Bid DocumentsBid Documents
EVERY Contract Must Include EVERY Contract Must Include Standard Federal ClausesStandard Federal Clauses Federal Davis-Bacon Wage RatesFederal Davis-Bacon Wage Rates NYS Prevailing Wage RatesNYS Prevailing Wage Rates NYS Wicks Law Provisions (Buildings)NYS Wicks Law Provisions (Buildings)
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DBE & EEO DBE & EEO RequirementsRequirements
Disadvantaged Business Enterprises Disadvantaged Business Enterprises (Firms)(Firms) Standard Federal ClausesStandard Federal Clauses Goals for Contracts > $1MGoals for Contracts > $1M Supersedes M/WBE ProgramsSupersedes M/WBE Programs
Equal Employment Opportunities Equal Employment Opportunities (People)(People) Standard Federal ClausesStandard Federal Clauses Female Goal = 6.9%Female Goal = 6.9% Minority Goal Determined by LocationMinority Goal Determined by Location
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Reviewed By RLPLReviewed By RLPL
Final Contract DocumentsFinal Contract Documents Plans Plans Specifications Specifications Bid DocumentsBid Documents
Engineer’s EstimateEngineer’s Estimate Construction Management PlanConstruction Management Plan ROW Clearance CertificateROW Clearance Certificate Certifications by Design Professional & Certifications by Design Professional &
SponsorSponsor Copies ofCopies of
Agreements With Utility CompaniesAgreements With Utility Companies Agreements With RailroadsAgreements With Railroads Required Environmental Permits Required Environmental Permits
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Authorization to Proceed Authorization to Proceed With Construction PhaseWith Construction Phase
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDIN
G
EXECUTE PROJECT
AGREEMENT
CONSTRUCT &
INSPECT PROJECT
ACQUIREPROPERT
Y
PREPAR
E DESIGN REPORT
OPERATE &
MAINTAINFACILITY
PREPARE CONTRACT DOCUMENT
S
SELECT &HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
BID & AWARD
PROJECT
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Advertisement for BidsAdvertisement for Bids Include DBE GoalsInclude DBE Goals Place InPlace In
NYS Contract ReporterNYS Contract Reporter Local NewspaperLocal Newspaper
Publish Minimum of 3 Weeks Prior Publish Minimum of 3 Weeks Prior to Bid Openingto Bid Opening
How do you amend the contract?How do you amend the contract?
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Bid Opening & Pre-Bid Opening & Pre-AwardAward
Sponsor MustSponsor Must Open Bids Publicly Open Bids Publicly Analyze Low BidAnalyze Low Bid Evaluate Low Bidder’s Evaluate Low Bidder’s
ResponsibilityResponsibility Review Proposed DBE Plan & Review Proposed DBE Plan &
Obtain NYSDOT ApprovalObtain NYSDOT Approval Sponsor Must NOTSponsor Must NOT
Negotiate With Low BidderNegotiate With Low Bidder
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AwardAward
Obtain NYSDOT Concurrence if Obtain NYSDOT Concurrence if Project isProject is On National Highway System RoadOn National Highway System Road On State Highway On State Highway
Award to Lowest Responsive & Award to Lowest Responsive & Responsible BidderResponsible Bidder
Submit Award Package to NYSDOT Submit Award Package to NYSDOT
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDIN
G
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
ACQUIREPROPERT
Y
PREPAR
E DESIGN REPORT
OPERATE &
MAINTAINFACILITY
PREPARE CONTRACT DOCUMENT
S
SELECT &HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
CONSTRUCT & INSPECT PROJECT
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Pre-Construction Pre-Construction MeetingMeeting
Required Required After Contract AwardAfter Contract Award Before Start of WorkBefore Start of Work
Attended ByAttended By SponsorSponsor Construction InspectorConstruction Inspector ContractorContractor NYSDOTNYSDOT
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Construction Construction Management PlanManagement Plan
Sponsor Must Develop a Written Management PlanSponsor Must Develop a Written Management Plan
Construction Management Plan Should AddressConstruction Management Plan Should Address Contract AdministrationContract Administration Contract DocumentationContract Documentation OOC ProceduresOOC Procedures Subcontractor ApprovalsSubcontractor Approvals InspectionInspection QC/QAQC/QA Labor RelationsLabor Relations EEOEEO Record RetentionRecord Retention Contract CloseoutContract Closeout
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Construction InspectionConstruction Inspection Sponsor Must ProvideSponsor Must Provide Ensure ComplianceEnsure Compliance
PlansPlans SpecificationsSpecifications Federal RequirementsFederal Requirements
Consistent With Construction Management Consistent With Construction Management PlanPlan
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Change OrdersChange Orders Required For All ModificationsRequired For All Modifications Must be Submitted to NYSDOTMust be Submitted to NYSDOT Minor Changes That Do Not Require Minor Changes That Do Not Require
NYSDOT ApprovalNYSDOT Approval Simple Quantity Increases Within Contract Simple Quantity Increases Within Contract
Limits and ScopeLimits and Scope Minor New Items Within ScopeMinor New Items Within Scope
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Change OrdersChange Orders
Major Changes That Do Require NYSDOT Major Changes That Do Require NYSDOT ApprovalApproval Significant New ItemsSignificant New Items Significant ChangesSignificant Changes Outside Contract LimitsOutside Contract Limits Outside ScopeOutside Scope Significant Cost IncreasesSignificant Cost Increases Limited Federal Aid $ AvailableLimited Federal Aid $ Available
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Construction CompletionConstruction Completion
Final InspectionFinal Inspection Performed By SponsorPerformed By Sponsor NYSDOT Invited to AttendNYSDOT Invited to Attend
Contract Close-Out Contract Close-Out Accept Contract WorkAccept Contract Work Close Contracts With Utilities, Railroads, Close Contracts With Utilities, Railroads,
ConsultantsConsultants Notify NYSDOT of Project AcceptanceNotify NYSDOT of Project Acceptance
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDING
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUCT &
INSPECT PROJECT
ACQUIREPROPERTY
PREPARE DESIGN REPORT
OPERATE & MAINTAINFACILITY
PREPARE CONTRACT
DOCUMENTS
SELECT &HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
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Close OutClose Out DocumentationDocumentation
Final Reimbursement Final Reimbursement RequestRequest
Final Acceptance FormFinal Acceptance Form Acceptance of Work on Acceptance of Work on
State Highway State Highway (Highway Work Permit (Highway Work Permit Closed)Closed)
As-Built PlansAs-Built Plans Work on NHS or SHWork on NHS or SH BridgesBridges
Project Financial Project Financial SummarySummary
Date Of Most Recent Date Of Most Recent Federal Single AuditFederal Single Audit
Date Of Consultant Audit Date Of Consultant Audit (> $300,000)(> $300,000) Final ReportsFinal Reports
DBE UtilizationDBE Utilization EEO Utilization EEO Utilization Prime Contractor’s Prime Contractor’s
PaymentsPayments
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Audit Procedures
OMB Circular No. A-133 “Audits of States, Local
Governments, and Non-Profit Organizations”
Uniform audit requirements for non-Federal entities and implements the Single Audit Act
FIRE Order – FHWA Order 4560.1A
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PLAN & IDENTIFY PROJECT
OBTAINPROJECTFUNDIN
G
EXECUTE PROJECT
AGREEMENT
BID & AWARD PROJECT
CONSTRUC
T & INSPECT PROJECT
ACQUIREPROPERTY
PREPAR
E DESIGN REPORT
PREPARE CONTRACT
DOCUMENTS
SELECT & HIRE
CONSULTANT
CLOSE PROJECT
AGREEMENT
OPERATE &
MAINTAIN FACILITY
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OperateOperate
Generally, User or Access Fees Generally, User or Access Fees Cannot Be ChargedCannot Be Charged
In Rare Instances When Fees Are In Rare Instances When Fees Are Allowed, Proceeds Must Be Used Allowed, Proceeds Must Be Used For Maintenance And Operation Of For Maintenance And Operation Of FacilityFacility
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MaintainMaintain
Maintain For Useful LifeMaintain For Useful Life If Useful Life Not Attained, If Useful Life Not Attained,
Sponsor Responsible For Prorated Sponsor Responsible For Prorated Costs Associated With Unfulfilled Costs Associated With Unfulfilled LifeLife
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110