1 introduction to the federal-aid highway “reimbursement” process may 23, 2012

1

Introduction to Introduction to thethe

Federal-Aid Federal-Aid Highway Highway

“Reimbursement“Reimbursement””

ProcessProcessMay 23,

2012

2

Workshop AgendaWorkshop Agenda

Module 1: Roles and Module 1: Roles and ResponsibilitiesResponsibilities

Module 2: Key Elements of the Module 2: Key Elements of the Federal-Aid Highway ProgramFederal-Aid Highway Program

Module 3: Overview of the Module 3: Overview of the Federal-Aid Highway Project Federal-Aid Highway Project ProcessProcess

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Module 1Module 1

Roles and Roles and ResponsibilitiesResponsibilities

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Roles & ResponsibilitiesRoles & Responsibilities

FHWAFHWA NYSDOTNYSDOT Local AgencyLocal Agency

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Roles & Roles & ResponsibilitiesResponsibilities

FHWA’s FHWA’s authority and oversight roles are defined in:authority and oversight roles are defined in: 23 USC & 23 CFR 23 USC & 23 CFR FHWA/NYSDOT SAFETEA-LU Agreement, our FHWA/NYSDOT SAFETEA-LU Agreement, our

authority for delegation authority for delegation Chapter 2 of the Procedures for Locally Chapter 2 of the Procedures for Locally

Administered Federal Aid Projects (PLAFAP)Administered Federal Aid Projects (PLAFAP)

Link to PLAFAP – Chapter 2, Page 14Link to PLAFAP – Chapter 2, Page 14

https://www.dot.ny.gov/PLAFAP https://www.dot.ny.gov/PLAFAP

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FHWA’s RolesFHWA’s Roles

Ensure the Federal-aid program Ensure the Federal-aid program accomplishes its purposeaccomplishes its purpose

Ensure Federal Laws, Regulations, Ensure Federal Laws, Regulations, and Standards are Metand Standards are Met

Ensure that NYSDOT adequately Ensure that NYSDOT adequately administers the projectadministers the project

Project Funds Management Project Funds Management Inactive Project; De-obligate Inactive Project; De-obligate oror

Withdraw

STEP 10:Authorization to

Proceed With Construction

STEP 14: Operate &

Maintain Facility

STEP 13:Close Project

Agreement

STEP 12:Construct &

Inspect Project

STEP 11: Bid & Award

Project

STEP 9:Prepare Contract

Documents

STEP 8:Acquire Property


Proceed With Detailed Design

STEP 6:Prepare Design

Approval Document


Proceed with Preliminary

Design

STEP 4:Select and Hire

Consultant

STEP 3:Execute a Project

Agreement

STEP 2:Obtain Project

Funding

STEP 1Plan and Identify

Project

Federal-Aid Highway

“Reimbursement” Process

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NYSDOT’s RoleNYSDOT’s Role

Determines eligibility Federal and Determines eligibility Federal and State fundingState funding

Ensures projects are developed and Ensures projects are developed and constructed in full compliance with constructed in full compliance with Federal requirementsFederal requirements

Protects Federal/State investment on Protects Federal/State investment on projects regarding the quality, safety projects regarding the quality, safety and financial integrity of the projectand financial integrity of the project

Takes necessary corrective actions Takes necessary corrective actions regarding the aboveregarding the above

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The Procedures for Locally Administered The Procedures for Locally Administered Federal Aid Projects Manual (PLAFAP)Federal Aid Projects Manual (PLAFAP)

https://www.dot.ny.gov/PLAFAP The Regional Local Projects Liaison (RLPL)The Regional Local Projects Liaison (RLPL)

Interprets regulations, manuals and Interprets regulations, manuals and guidelinesguidelines

MonitoringMonitoring Completeness reviewsCompleteness reviews Consulting with NYSDOT Main Office and Consulting with NYSDOT Main Office and

FHWAFHWA Standard Federal-Aid Local Project Standard Federal-Aid Local Project

AgreementAgreement Periodic Program Update Meetings Periodic Program Update Meetings

Local Programs Bureau in the Main OfficeLocal Programs Bureau in the Main Office

NYSDOT provides guidance NYSDOT provides guidance and assistance to Sponsors and assistance to Sponsors

thru…thru…

https://www.dot.ny.gov/PLAFAP

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https://www.dot.ny.gov/plafap



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NYSDOT’s Key Project NYSDOT’s Key Project ResponsibilitiesResponsibilities

Seek Federal authorization for each project Seek Federal authorization for each project phase, i.e., design, ROW, constructionphase, i.e., design, ROW, construction

Process Sponsor’s reimbursement requestsProcess Sponsor’s reimbursement requests Approve design exceptions/non-standard Approve design exceptions/non-standard

features for work on/related to non-NHS features for work on/related to non-NHS State Highways and non-Interstate NHS State Highways and non-Interstate NHS

Grant design approval for projects Grant design approval for projects on/related to non-NHS State Highways and on/related to non-NHS State Highways and non-Interstate NHSnon-Interstate NHS

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NYSDOT’s Key Project NYSDOT’s Key Project Responsibilities (cont’d)Responsibilities (cont’d)

Approve Railroad and Utility Approve Railroad and Utility Relocation AgreementsRelocation Agreements

Concur with Contract Award Concur with Contract Award RecommendationRecommendation

Verify Sponsor’s final inspection and Verify Sponsor’s final inspection and final acceptance of construction final acceptance of construction contractcontract

Close out local agreement and make Close out local agreement and make final paymentfinal payment

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NYSDOTNYSDOT

Local ProgramsLocal Programshttps://www.dot.ny.gov/divisions/operating/opdm/local-programs-bureau

State Aid CHIPS State Aid CHIPS Scenic BywaysScenic Byways Locally Administered Federal Aid Projects (LAFAP) Locally Administered Federal Aid Projects (LAFAP) Local Projects GreenLites ProgramLocal Projects GreenLites Program Transportation Enhancement Program (TEP) Transportation Enhancement Program (TEP) Safe Routes to School Program (SRTS)Safe Routes to School Program (SRTS) Pedestrian InformationPedestrian Information Biking InformationBiking Information Industrial Access ProgramIndustrial Access Program

https://www.dot.ny.gov/divisions/operating/opdm/local-programs-bureau

https://www.dot.ny.gov/divisions/operating/opdm/local-programs-bureau

National Highway SystemNational Highway System

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Functional Functional ClassificatiClassificationon

https://www.dot.ny.gov/divisions/engineering/technical-services/highway-data-services/functional-class-maps

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The Sponsor’s RoleThe Sponsor’s Role Responsible for front-ending all project Responsible for front-ending all project

costscosts Delegated responsibility for administering Delegated responsibility for administering

and implementing federal-aid projectsand implementing federal-aid projects Responsible for any work done by contractResponsible for any work done by contract

PlanningPlanning ProgrammingProgramming Environmental Environmental

InvestigationInvestigation

DesignDesign ConstructionConstruction MaintenanceMaintenance

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Standard Federal-Aid Standard Federal-Aid Local Project Local Project AgreementAgreement

Between Sponsor and NYSDOTBetween Sponsor and NYSDOT Project specificProject specific Describes project phase, funding and deposit Describes project phase, funding and deposit

requirements (Schedule A)requirements (Schedule A) Describes allocation of responsibility (Schedule Describes allocation of responsibility (Schedule

B)B) Municipal/Sponsor ResolutionMunicipal/Sponsor Resolution

Approves projectApproves project Funding appropriationFunding appropriation Authorizes appropriate official to execute AgreementAuthorizes appropriate official to execute Agreement

Sponsor’s RoleSponsor’s Role

Initiates TIP/STIP ProcessInitiates TIP/STIP Process Reviews and signs Master Agreement for Reviews and signs Master Agreement for

NYSDOT’s approval and processingNYSDOT’s approval and processing Requests Obligation of Funding NYSDOT Requests Obligation of Funding NYSDOT

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Sponsor’s key project Sponsor’s key project decisions/activitiesdecisions/activities

Getting the project into the STIP and Getting the project into the STIP and authorizedauthorized

Procuring and approving Consultant Procuring and approving Consultant contractscontracts

Preparing and submitting Preparing and submitting reimbursement requestsreimbursement requests

Performing/overseeing project design Performing/overseeing project design and environmental activitiesand environmental activities

Approving design exceptions/non-Approving design exceptions/non-standard features on local roads/bridgesstandard features on local roads/bridges

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Preparing and submitting NEPA Class Preparing and submitting NEPA Class II automatic and programmatic II automatic and programmatic categorical exclusion determinations categorical exclusion determinations to NYSDOT for concurrenceto NYSDOT for concurrence

Making SEQR determinationsMaking SEQR determinations Granting design approval Granting design approval

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Certifying and acquiring Right of Way Certifying and acquiring Right of Way (FHWA approval required if not (FHWA approval required if not completed prior to contract advertising)completed prior to contract advertising)

Acquiring needed permitsAcquiring needed permits Coordinating Railroad and Utility Coordinating Railroad and Utility

Relocation AgreementsRelocation Agreements Determining/approving DBE goalsDetermining/approving DBE goals Approving construction contract Approving construction contract

documentsdocuments

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Advertising and awarding construction Advertising and awarding construction contractscontracts

Administering the construction contractAdministering the construction contract Performing/overseeing construction Performing/overseeing construction

inspectioninspection Initiating contract change ordersInitiating contract change orders Accepting construction contract workAccepting construction contract work

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What Sponsor Needs to What Sponsor Needs to KnowKnow

All Work Performed Prior to All Work Performed Prior to • Adding Project to TIP & STIP (excluding Adding Project to TIP & STIP (excluding

Emergency Relief Program)Emergency Relief Program)• Processing State-Local Project Processing State-Local Project

AgreementAgreement• Receiving an Authorization to Proceed Receiving an Authorization to Proceed

From NYSDOTFrom NYSDOT

Is Is IneligibleIneligible for Federal for Federal ReimbursementReimbursement

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Fundamentals & Fundamentals & ResponsibilitiesResponsibilities

Program is based on laws, regulations and Program is based on laws, regulations and policiespolicies

FHWA is accountable for the Federal-aid FHWA is accountable for the Federal-aid Highway ProgramHighway Program

NYSDOT assumes certain project NYSDOT assumes certain project responsibilities delegated by FHWAresponsibilities delegated by FHWA NYSDOT/FHWA Oversight Agreement (EB 07-001)NYSDOT/FHWA Oversight Agreement (EB 07-001) SAFETEA-LU Design Related Approval Matrix (EB SAFETEA-LU Design Related Approval Matrix (EB

08-001)08-001) SAFETEA-LU Design Related Approval Matrix for SAFETEA-LU Design Related Approval Matrix for

Locally Administered Federal-Aid Projects Locally Administered Federal-Aid Projects (handout)(handout)

PLAFAP -Chapter 8PLAFAP -Chapter 8Project Approvals MatrixProject Approvals Matrix

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Sponsor ResponsibilitySponsor Responsibility

Administering…Administering… Contracts with Design FirmsContracts with Design Firms Construction Inspection TeamsConstruction Inspection Teams Construction Contracting FirmsConstruction Contracting Firms

Ineligible items are the Ineligible items are the responsibility of the Sponsorresponsibility of the Sponsor

The Sponsor is responsible even if a The Sponsor is responsible even if a “hired hand” made the mistake“hired hand” made the mistake

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Two Key Documents Two Key Documents to Ensure Successto Ensure Success

Project Management Plan (PMP)Project Management Plan (PMP) Chapter 2 of PLAFAPChapter 2 of PLAFAP

Construction Management Plan (CMP)Construction Management Plan (CMP) Chapter 12 of PLAFAPChapter 12 of PLAFAP

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Project Management Plan Project Management Plan (PMP)(PMP)

Implementation strategy (a LIVING Implementation strategy (a LIVING document)document)

Primary communication toolPrimary communication tool Provides clear assignment of authority Provides clear assignment of authority

and accompanying responsibilityand accompanying responsibility Assigns project manager, Schedule & Assigns project manager, Schedule &

Funding/BudgetFunding/Budget Outlines milestones, products, reviews, Outlines milestones, products, reviews,

approvals approvals Sample PMP in PLAFAP Chapter 2 Sample PMP in PLAFAP Chapter 2

Appendix Appendix https://www.dot.ny.gov/PLAFAP

https://www.dot.ny.gov/PLAFAP

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Construction Management Construction Management Plan (CMP)Plan (CMP)

Outlines how contract will be administeredOutlines how contract will be administered Provides clear assignment of authority and Provides clear assignment of authority and

accompanying responsibilityaccompanying responsibility Addresses procedures, record keeping, staffing, Addresses procedures, record keeping, staffing,

subcontractor approvals, EEO, inspection, change subcontractor approvals, EEO, inspection, change orders, contract close-out, etc.orders, contract close-out, etc.

Approved by NYSDOT Approved by NYSDOT beforebefore contract advertising contract advertising

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Construction Construction Management PlanManagement Plan

Sponsor Must Develop a Written Sponsor Must Develop a Written Management PlanManagement Plan

Construction Management Plan Should Construction Management Plan Should AddressAddress Contract AdministrationContract Administration Contract DocumentationContract Documentation OOC ProceduresOOC Procedures Subcontractor ApprovalsSubcontractor Approvals InspectionInspection QC/QAQC/QA Labor RelationsLabor Relations Civil Rights / EEOCivil Rights / EEO Record RetentionRecord Retention Contract CloseoutContract Closeout Any project specific issues Any project specific issues

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New requirements for New requirements for CMPCMP

PLAFAP Chapter 12 updated March 2011PLAFAP Chapter 12 updated March 2011 Appendix 12-3 includes sample CMPAppendix 12-3 includes sample CMP Submitted as part of PS&E packageSubmitted as part of PS&E package Reviewed and Signed at Pre-Con Reviewed and Signed at Pre-Con

MeetingMeeting CI Team – SupervisorCI Team – Supervisor CI Team – Resident EngineerCI Team – Resident Engineer NYSDOT Representative – RLPLNYSDOT Representative – RLPL SponsorSponsor

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Learning Assessment Learning Assessment QuestionsQuestions

1. What PLAFAP chapter addresses Roles 1. What PLAFAP chapter addresses Roles and Responsibilities?and Responsibilities?

2. One of NYSDOT’s roles is to ensure 2. One of NYSDOT’s roles is to ensure projects are developed and constructed projects are developed and constructed in full compliance with federal in full compliance with federal requirements. True or False?requirements. True or False?

3. All work performed prior to receiving an 3. All work performed prior to receiving an authorization to proceed from NYSDOT authorization to proceed from NYSDOT are eligible for federal reimbursement.are eligible for federal reimbursement.

True or False?True or False?

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4. Which of the following are some of the 4. Which of the following are some of the sponsor’s key project decisions/activity? sponsor’s key project decisions/activity? A. Making SEQRA determination.A. Making SEQRA determination.

B. Acquiring needed permits?B. Acquiring needed permits?

C. Administers construction contract.C. Administers construction contract.

D. All of the aboveD. All of the above

5. The sponsor is responsible even if a 5. The sponsor is responsible even if a “hired hand” (Consultant, contractor, “hired hand” (Consultant, contractor, etc.) made the mistake. etc.) made the mistake.


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Module 2Module 2

Key Elements of the Key Elements of the

Federal-Aid Highway Federal-Aid Highway ProgramProgram

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ObjectivesObjectives

Identify the key elements of the Identify the key elements of the Federal-Aid highway program that Federal-Aid highway program that you need to knowyou need to know

Identify contacts and sources of Identify contacts and sources of information for additional assistanceinformation for additional assistance

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Key Program ElementsKey Program Elements ReimbursementReimbursement AuthorizationAuthorization Eligible CostsEligible Costs PlanningPlanning EnvironmentEnvironment Right-of-WayRight-of-Way Contract AdministrationContract Administration Special ProjectsSpecial Projects AuditsAudits

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ReimbursementReimbursement

Reimbursement ProgramReimbursement Program NOT A GRANTNOT A GRANT Federal Share Cannot Exceed Federal Share Cannot Exceed

100% 100% Federal Share is 80% in most Federal Share is 80% in most

casescases

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Reimbursement ProgramReimbursement Program(a range of monthly-quarterly)(a range of monthly-quarterly)

Contractor Does Work

Local Agency Pays Contractor Local

Agency Submits Bill to NYSDOT

NYDSOT Submits Bill to FHWA

FHWA Reimburses NYSDOT

NYSDOT Reimburses Local Agency

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Authorization Authorization Formal contract defining the scope of Formal contract defining the scope of

work, and other project related work, and other project related commitmentscommitments

Constitutes the Federal obligation to pay Constitutes the Federal obligation to pay its share of the project costs for eligible its share of the project costs for eligible items.items.

NO Authorization – NO ReimbursementNO Authorization – NO Reimbursement The Scope and location of the work The Scope and location of the work

accomplished must align with the accomplished must align with the Authorized scope and location. Authorized scope and location.

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Eligible CostsEligible Costs

Defined in highway lawDefined in highway law Purpose and locationPurpose and location Some programs also defined in Some programs also defined in

regulationregulation Federal-Aid eligible roadsFederal-Aid eligible roads

For most funding categories, all public roads For most funding categories, all public roads exceptexcept local roads and rural minor collectors local roads and rural minor collectors

For bridge and safety projects (data driven), For bridge and safety projects (data driven), all public roads are eligible for Federal-aidall public roads are eligible for Federal-aid

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EligibilityEligibilityMajor Federal-Aid Major Federal-Aid

ProgramsPrograms

National Highway System (NHS)National Highway System (NHS) Interstate Maintenance (IM)Interstate Maintenance (IM) Surface Transportation Program Surface Transportation Program

(STP)(STP) Transportation Enhancements (TEP)Transportation Enhancements (TEP)

Highway Bridge Program (HBP)Highway Bridge Program (HBP)

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EligibilityEligibilityAdditional Federal-Aid Additional Federal-Aid

ProgramsPrograms Congestion Mitigation & Air Quality Congestion Mitigation & Air Quality

Improvement (CMAQ)Improvement (CMAQ) Highway Safety Improvement Program (HSIP)Highway Safety Improvement Program (HSIP) Safe Routes to School (SRTS)Safe Routes to School (SRTS) DiscretionaryDiscretionary

Bridge (HBD)Bridge (HBD) Ferry Boat (FBD)Ferry Boat (FBD) Public Lands (HPL)Public Lands (HPL) Interstate Maintenance (IM)Interstate Maintenance (IM) Transportation Community and System Preservation Transportation Community and System Preservation

(TCSP)(TCSP) High PriorityHigh Priority OthersOthers

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Eligibility -- LawsEligibility -- Laws

Highway LawsHighway Laws Title 23 U.S Code, SAFETEA-LU and ???Title 23 U.S Code, SAFETEA-LU and ???

Highway Regulations – 23 CFRHighway Regulations – 23 CFR Other LawsOther Laws

NEPA, Civil Rights, Clean Air Act, NEPA, Civil Rights, Clean Air Act, Brooks Act, Copeland Act, Buy America, Brooks Act, Copeland Act, Buy America, Americans with Disabilities Act, Wage Americans with Disabilities Act, Wage Rate Acts, National Historic Rate Acts, National Historic Preservation Act, etc………………………Preservation Act, etc………………………

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Planning Planning

Pivotal Documents Pivotal Documents Statewide Statewide

Long-Range Master Plan - 23 CFR 450.214Long-Range Master Plan - 23 CFR 450.214 STIP - 23 CFR 450.216STIP - 23 CFR 450.216

MPOMPO Metropolitan Transportation Plan – 23 CFR Metropolitan Transportation Plan – 23 CFR

450.322450.322 TIP – 23 CFR 450.324TIP – 23 CFR 450.324

0

10

20

30

40

50

60

70

1890 1900 1910 1920 1930 1940 1950 1960 1970 1980 1990 2000 2010

RHAAAA

MBTA FWCA

HSBAA

FIFRA

CAA

AHPA

LWCF

CAA

WA CRASWDA

HBA

NHPA

4(f)FAHA

FAHAFAHA

CAA

WSRA

EAA

NEPA

RRA

URA

WBA

CWA

CZMA

ESA

SDWA

FNWA

MSFCMA

RCRA

CWA

EO11990

EO11998

ARPA

CERCLA

ANILCA

LAA

FPPA

CBRA

HSWA

SDWA

EWRA

CWA

URA

STURAA

STURAA

NAGPRA

CZARA

ADA

CAA

ISTEA

SNRTA

EO12898

EO13007SDWA

EO13061EO13089

TEA-21

EO13112

EO13148

EO13186

CAA

CU

MU

LA

TIV

E N

UM

BE

R O

F L

AW

S A

ND

AM

EN

DM

EN

TS

YEAR

Federal Environmental Laws &

Executive Orders Affecting

Transportation

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EnvironmentEnvironment

Purpose - NeedPurpose - Need AlternativesAlternatives ImpactsImpacts NEPA Classification (CE, EA or EIS)NEPA Classification (CE, EA or EIS)


NEPANEPA National Environmental Policy Act of 1969National Environmental Policy Act of 1969 Intended to…Intended to…

Prevent or eliminate damage to the environmentPrevent or eliminate damage to the environment Stimulate the health and welfare of mankindStimulate the health and welfare of mankind Enrich the understanding of ecological systems Enrich the understanding of ecological systems

and natural resources important to the nationand natural resources important to the nation

49

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NEPA Classification of ActionsNEPA Classification of Actions Class I - Environmental Impact Class I - Environmental Impact

Statement/Record of Decision Statement/Record of Decision (EIS/ROD)(EIS/ROD)

Class II - Categorical Exclusion (CE)Class II - Categorical Exclusion (CE) Class III - Environmental Class III - Environmental

Assessment/Finding of no significant Assessment/Finding of no significant impact (EA/FONSI)impact (EA/FONSI)

Environment NEPA Process Options

NONO

Proposed Action

Coordination and Analysis

Significant Impact ?

ListedCE

Public Comment

DocumentedCE

EnvironmentalAssessment

Significant impact

Notice of Intent & Scoping Process

Draft EIS

Record of Decision (ROD)

Final EIS

Agency ActionAgency Action

Finding of No Significant Impact (FONSI)

Agency Action

Coordination and analysis as needed

No significant impacts

UNKNOWN

YESYES

Document appropriately

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Environment Environment

Purpose and NeedPurpose and Need Alternative Development & Alternative Development &

EvaluationEvaluation Explore all reasonable alternativesExplore all reasonable alternatives Include reasonable alternatives outside Include reasonable alternatives outside

jurisdictionjurisdiction Include the “no build” alternativeInclude the “no build” alternative Identify the preferred alternativeIdentify the preferred alternative Include appropriate mitigationInclude appropriate mitigation

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Environment Environment

Environment Defined & Impacts Explained For Each Alternative Adverse and Beneficial Effects

ImpactsImpacts PotentialPotential SignificanceSignificance MitigationMitigation

Intention is to make informed decisions

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Environment Environment Other ConcernsOther Concerns

Section 4(f) Resources – Section 4(f) Resources – wildlife/waterfowl refuges, public wildlife/waterfowl refuges, public parks, recreation areas, and historic parks, recreation areas, and historic sites (for USDOT projects only)sites (for USDOT projects only)

Section 106 – Protection of historic and Section 106 – Protection of historic and archeological resources (for all archeological resources (for all Federally funded projects)Federally funded projects)

6(F) – Land and Water Conservation 6(F) – Land and Water Conservation Funds used Funds used

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State or local agency prepares the State or local agency prepares the environmental document for FHWAenvironmental document for FHWA

FHWA has ultimate responsibility for FHWA has ultimate responsibility for compliance w/NEPAcompliance w/NEPA

FHWA ensures environmental FHWA ensures environmental commitments are incorporated in commitments are incorporated in final project final project

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Right-of-Way Right-of-Way

Remember!Remember!

Right-of-Way must be clear for Right-of-Way must be clear for ConstructionConstruction

Acquisition cannot start until NEPA Acquisition cannot start until NEPA process completedprocess completed

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Right-of-Way Right-of-Way Federal Laws and RegulationsFederal Laws and Regulations The Uniform Relocation Assistance The Uniform Relocation Assistance

and Real Property Acquisition and Real Property Acquisition Policies Act of 1970, as amended, Policies Act of 1970, as amended, commonly called the “Uniform Act”commonly called the “Uniform Act”

Code of Federal Regulations (CFR)Code of Federal Regulations (CFR)

http://www.fhwa.dot.gov/realestate/row_legs.htm



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Right-of-Way Right-of-Way Best Best PracticesPractices

Hire Qualified ConsultantsHire Qualified Consultants Ask NYSDOT to Perform ROW Ask NYSDOT to Perform ROW

Activities (subject to available Activities (subject to available personnel resources)personnel resources)

RLPL involves Regional Real Estate RLPL involves Regional Real Estate early in the processearly in the process

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Contract Administration Contract Administration ProcessesProcesses

Advertising and Selection Process Advertising and Selection Process Required Federal Contract ProvisionsRequired Federal Contract Provisions Pre-award ProceduresPre-award Procedures AwardAward

6060

Contract Administration Contract Administration Consultant SelectionConsultant Selection

Consultant Federally Funded Consultant Federally Funded Select Using Qualifications-Based Select Using Qualifications-Based

ProcessProcess Cost Not a Selection FactorCost Not a Selection Factor

Consultant Locally Funded Consultant Locally Funded Hire Using Local ProcessHire Using Local Process

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Contract Administration Contract Administration Construction Procurement Construction Procurement

RequirementsRequirements

Advertisement – Public Advertisement – Public announcementannouncement

AddendaAddenda LettingLetting Bid Analysis and AwardBid Analysis and Award

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Contract Administration Contract Administration FHWA Contract Provisions (FHWA-FHWA Contract Provisions (FHWA-

1273)1273) Civil RightsCivil Rights EmploymentEmployment Record of materialsRecord of materials Subletting or assigning contractSubletting or assigning contract SafetySafety Termination of contractTermination of contract OthersOthers

PLAFAP Chapter 12 Appendix (page 12.A.29)PLAFAP Chapter 12 Appendix (page 12.A.29)http://www.fhwa.dot.gov/programadmin/contracts/1273.pdf

http://www.fhwa.dot.gov/programadmin/contracts/1273.pdf

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Contract Administration Contract Administration Other Federal Contract Other Federal Contract

ProvisionsProvisions Changed Conditions ClausesChanged Conditions Clauses Buy AmericaBuy America Disadvantaged Business Enterprise Disadvantaged Business Enterprise

Program (not local WBE/MBE Program (not local WBE/MBE requirement)requirement)

On-the-Job TrainingOn-the-Job Training Cannot use local training provisions unless Cannot use local training provisions unless

they meet requirements of FHWA 1273they meet requirements of FHWA 1273 CertificationsCertifications

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Contract Administration Contract Administration Pre-Award ProceduresPre-Award Procedures

Standard SpecificationsStandard Specifications PLAFAP, Chapter 9 revised March 2011PLAFAP, Chapter 9 revised March 2011 Must use NYSDOT standard specificationsMust use NYSDOT standard specifications

EstimateEstimate Method of ConstructionMethod of Construction

Competitive Bid, Low BidCompetitive Bid, Low Bid Force Account in rare situationsForce Account in rare situations

MaterialsMaterials Contract TimeContract Time

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Contract Administration Contract Administration Federal-Aid Highway Program Federal-Aid Highway Program

SummarySummary Eligibility of projects for fundingEligibility of projects for funding Project AuthorizationProject Authorization Environmental considerationsEnvironmental considerations Acquiring right-of-way and relocationsAcquiring right-of-way and relocations Design to accepted standardsDesign to accepted standards Procurement provisionsProcurement provisions Completion of paperwork for paymentCompletion of paperwork for payment

Contract AdministrationDisadvantaged Business

Enterprises Ensure that DBE firms have the opportunity

to participate in DOT funded contracts

49 CFR Part 2649 CFR Part 2123 USC 140(c)23 CFR 200 & 230Applies to All Federal-aid Projects

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Contract Administration DBE --Sources of

ConcernCertification: An ineligible firm is certified. Example: “Front” – DBE acts only as a

pass-through for the prime; does no work; has no workforce.

Commercially Useful Function (CUF): DBE must perform its own work Cannot lease prime’s equipment Cannot use other contractor’s employee(s) Must purchase its own materials & supplies

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Contract AdministrationContract Administration

DBE Fraud happens every day http://www.oig.dot.gov/sites/dot/files/OI

G_DBE%20card.pdf Exciting Stories about DBE Fraud

indictments and investigations can be found on the USDOT OIG web-site http://www.oig.dot.gov/ http://www.oig.dot.gov/library-item/553

0 http://www.oig.dot.gov/library-item/537

6

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http://www.oig.dot.gov/sites/dot/files/OIG_DBE%20card.pdf

http://www.oig.dot.gov/sites/dot/files/OIG_DBE%20card.pdf

http://www.oig.dot.gov/library-item/5530





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Special Projects Special Projects Other Provisions of the SAFETEA-LU

Bill All High Priority Projects need to be All High Priority Projects need to be

added to the TIP/STIP added to the TIP/STIP All Federal and State rules apply to all All Federal and State rules apply to all

High Priority ProjectsHigh Priority Projects All environmental regulations apply to All environmental regulations apply to

all projectsall projects Amount allocated to a High Priority Amount allocated to a High Priority

Project can be used for that project Project can be used for that project onlyonly

Audits

U.S. Office of Management and Budget (OMB) Circular A-133 Federal Single Audits

Important information regarding the Federal Single Audit is available at the OMB web-site at http://www.whitehouse.gov/OMB/circulars/.

Sponsors that expend $300,000 or more in Federal aid, from

all sources, must have an audit performed in accordance with OMB Circular A-133

Chapter 16 of NYSDOT’s PLAFAP Manual

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http://www.whitehouse.gov/OMB/circulars/


1. The Federal Aid highway program is an 1. The Federal Aid highway program is an unrestrictive grant program.unrestrictive grant program.


2. Highway law, Title 23 US Code, is the 2. Highway law, Title 23 US Code, is the only law that needs to be followed for only law that needs to be followed for projects to be eligible for federal projects to be eligible for federal reimbursement.reimbursement.


3. ROW can be acquired at any time.3. ROW can be acquired at any time.


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4. When hiring a consultant cost is 4. When hiring a consultant cost is not a selection factor.not a selection factor.


5. High Priority Project funds can 5. High Priority Project funds can be used for the project only.be used for the project only.


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Module 3Module 3

Overview of the Overview of the

Federal-Aid Project ProcessFederal-Aid Project Process

74

STEP 1:Plan and Identity Project



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents



Proceed With Detailed


Approval Document



Design


Consultant


Agreement


Funding


Project


Project

Federal-Aid Highway


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Project PlanningProject Planning

Project Should Be Consistent With:Project Should Be Consistent With: Statewide Long Range PlanStatewide Long Range Plan MPO Master Plans - such as the MPO Master Plans - such as the

Capital District Transportation Capital District Transportation Committee (CDTC)Committee (CDTC)

Regional Transportation Plans Regional Transportation Plans (13 MPOs in total Statewide)(13 MPOs in total Statewide)

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Project Should describe Project Should describe (initial project proposal)(initial project proposal)

Objective(s)Objective(s) Logical TerminiLogical Termini Independent UtilityIndependent Utility Public UsePublic Use Transportation Function Transportation Function Project should be consistent with TIP Project should be consistent with TIP

and STIPand STIP

78

Good Cost EstimateGood Cost Estimate Costs For All Project PhasesCosts For All Project Phases

Preliminary EngineeringPreliminary Engineering Detail DesignDetail Design ROW IncidentalsROW Incidentals Property AcquisitionProperty Acquisition ConstructionConstruction Construction InspectionConstruction Inspection Miscellaneous (Utilities, Railroads)Miscellaneous (Utilities, Railroads)

Overruns Subject to Availability of Overruns Subject to Availability of OffsetsOffsets STIP is fiscally constrainedSTIP is fiscally constrained

79

STEP 2:Obtain Project Funding



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design


Consultant


Agreement


Funding


Funding


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Federal-Aid Highway


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81

Seek FundingSeek Funding When Seeking FundingWhen Seeking Funding

Become Familiar with Sources and Become Familiar with Sources and RulesRules

Consider Willingness/Ability to Consider Willingness/Ability to ComplyComply

Consider TimingConsider Timing When Preparing Project DocumentationWhen Preparing Project Documentation

Clearly Describe Project ScopeClearly Describe Project Scope Quantify Realistic BenefitsQuantify Realistic Benefits Ask for Appropriate FundsAsk for Appropriate Funds

82

STEP 3:Execute Project Agreement



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design


Consultant


Agreement


Agreement


Funding


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84

Project AgreementProject Agreement

Prepared & Processed by Prepared & Processed by NYSDOTNYSDOT

Signed by Signed by Local GovernmentLocal Government NYSDOTNYSDOT NYS Attorney GeneralNYS Attorney General Office of State ComptrollerOffice of State Comptroller

Executed by NYSDOT Executed by NYSDOT Returned to Local GovernmentReturned to Local Government

85

STEP 4:Select and Hire Consultant



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design


Consultant


Consultant


Agreement


Funding


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87

Consultant SelectionConsultant Selection

Consultant Federally Funded Consultant Federally Funded Select Using Qualifications-Based Select Using Qualifications-Based

ProcessProcess Cost Not a Selection FactorCost Not a Selection Factor

Consultant Locally Funded Consultant Locally Funded Hire Using Local ProcessHire Using Local Process

88

Qualifications-Based Qualifications-Based ProcessProcess

PartPart I – SelectionI – Selection Place AdvertisementPlace Advertisement Committee Evaluates ProposalsCommittee Evaluates Proposals Committee Interviews Top Rated FirmsCommittee Interviews Top Rated Firms Committee Re-Ranks Based on Committee Re-Ranks Based on

InterviewsInterviews Final Selection MadeFinal Selection Made


Part I – SelectionPart I – Selection Local Design Service Agreement (LDSA)Local Design Service Agreement (LDSA)

http://www.countyhwys.org Select at least 3 firms from the LDSA listSelect at least 3 firms from the LDSA list Prepare List of Project Specific CriteriaPrepare List of Project Specific Criteria Selection Committee (at least 3 people)Selection Committee (at least 3 people) Ratings can be done by oral presentation Ratings can be done by oral presentation

or from original proposals for LDSA listor from original proposals for LDSA list Proposals for all of the listed firms can Proposals for all of the listed firms can

be found in the County DPW officebe found in the County DPW office89

http://www.countyhwys.org/

90


Part II – NegotiationPart II – Negotiation Prepare Task ListPrepare Task List Develop Independent EstimateDevelop Independent Estimate Negotiate Tasks and Resources With ConsultantNegotiate Tasks and Resources With Consultant Apply Salary & Overhead Rates; Add Fixed Fee Apply Salary & Overhead Rates; Add Fixed Fee

(Profit)(Profit) Perform Pre-Negotiation Audit, If NecessaryPerform Pre-Negotiation Audit, If Necessary Execute Consultant Agreement (Include Federal Execute Consultant Agreement (Include Federal

Language)Language) Send Signed Agreement to NYSDOT Liaison for Send Signed Agreement to NYSDOT Liaison for

review along with letter requesting State-Local review along with letter requesting State-Local Agreement be prepared Agreement be prepared

DBE in DesignDBE in Design

Local Sponsors must solicit DBE Local Sponsors must solicit DBE participation on all consultant projectsparticipation on all consultant projects

Goal should be up to 18% within the Goal should be up to 18% within the limitations of any projectlimitations of any project

Good faith effort must be documented Good faith effort must be documented when 18% cannot be reachedwhen 18% cannot be reached

Firms from LDSA list are not exempt Firms from LDSA list are not exempt from this requirementfrom this requirement

91

92

STEP 5:STEP 5:Authorization to Proceed with Authorization to Proceed with

Preliminary Design &Preliminary Design &Right-of-Way Incidental PhasesRight-of-Way Incidental Phases



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design



Design


Consultant


Agreement


Funding


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94

REMEMBER. REMEMBER. . .. .

All Work Performed Prior to All Work Performed Prior to Initiating Project (FAPP)Initiating Project (FAPP) Adding Project to TIP & STIPAdding Project to TIP & STIP Processing State-Local Project AgreementProcessing State-Local Project Agreement Receiving an Authorization to Proceed From Receiving an Authorization to Proceed From

NYSDOTNYSDOT

Is Is IneligibleIneligible For Federal For Federal ReimbursementReimbursement..

STEP 6:STEP 6:Prepare Design Approval Prepare Design Approval

DocumentDocument

9595



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document


Approval Document



Design


Consultant


Agreement


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97

NEPA (23 CFR 771)NEPA (23 CFR 771) Applies To All Federal Aid ProjectsApplies To All Federal Aid Projects Purpose and Need StatementPurpose and Need Statement Alternative Development & EvaluationAlternative Development & Evaluation

Explore all reasonable alternativesExplore all reasonable alternatives Include the no action alternativeInclude the no action alternative Identify the preferred alternativeIdentify the preferred alternative Include appropriate mitigationInclude appropriate mitigation

Final Determination Made Final Determination Made After Final SEQRA DeterminationAfter Final SEQRA Determination By FHWA or NYSDOT By FHWA or NYSDOT

0

10

20

30

40

50

60

70

1890 1900 1910 1920 1930 1940 1950 1960 1970 1980 1990 2000 2010

RHAAAA

MBTA FWCA

HSBAA

FIFRA

CAA

AHPA

LWCF

CAA

WA CRASWDA

HBA

NHPA

4(f)FAHA

FAHAFAHA

CAA

WSRA

EAA

NEPA

RRA

URA

WBA

CWA

CZMA

ESA

SDWA

FNWA

MSFCMA

RCRA

CWA

EO11990

EO11998

ARPA

CERCLA

ANILCA

LAA

FPPA

CBRA

HSWA

SDWA

EWRA

CWA

URA

STURAA

STURAA

NAGPRA

CZARA

ADA

CAA

ISTEA

SNRTA

EO12898

EO13007SDWA

EO13061EO13089

TEA-21

EO13112

EO13148

EO13186

CAA

CU

MU

LA

TIV

E N

UM

BE

R O

F L

AW

S A

ND

AM

EN

DM

EN

TS

YEAR

Federal Environmental Laws &Executive Orders Affecting

Transportation

98

Environmental Laws That Environmental Laws That May Drive Your May Drive Your

Transportation ProjectsTransportation Projects The tough ones…The tough ones…

Section 7 of the Environmental Species Section 7 of the Environmental Species ActAct

Section 404 of the Clean Water ActSection 404 of the Clean Water Act Section 106 of the Historic Preservation Section 106 of the Historic Preservation

ActAct Section 4(f) of the USDOT Act of 1966Section 4(f) of the USDOT Act of 1966 Section 6(f) of the Land Water Section 6(f) of the Land Water

Conservation ActConservation Act

99

Threatened & Threatened & Endangered Endangered

SpeciesSpecies

100

Historical & Historical & Archeological Archeological PreservationPreservation

101

102

NEPA CHECKLISTNEPA CHECKLIST

103

Public InvolvementPublic Involvement Appropriate Public Involvement Must be Appropriate Public Involvement Must be

UndertakenUndertaken Level of involvement determined by project Level of involvement determined by project

scopescope ROW issuesROW issues

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

104

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

105

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

Conceptual Relocation Plan may be Conceptual Relocation Plan may be requiredrequired

106

Purpose of Design Approval Purpose of Design Approval Document (DAD)-Phase I-IVDocument (DAD)-Phase I-IV

Determine EligibilityDetermine Eligibility Make Technical DecisionsMake Technical Decisions Conduct Environmental ReviewConduct Environmental Review Seek Public InvolvementSeek Public Involvement Coordinate With Affected Coordinate With Affected

Municipalities & Regulatory Municipalities & Regulatory AgenciesAgencies

Estimate CostsEstimate Costs

107

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; NSF)(NYSDOT for NHS/State System; NSF)

108

STEP 7:STEP 7:

Authorization to Proceed With Authorization to Proceed With

Detailed Design &Detailed Design &Right-of-Way Acquisition PhasesRight-of-Way Acquisition Phases



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents







Approval Document



Design


Consultant


Agreement


Funding


Project

Federal-Aid Highway


109

**********************************

Do Not Start Final Do Not Start Final Design or ROW Design or ROW

Acquisition Acquisition proceedings prior to proceedings prior to

the completion of the completion of NEPA and Design NEPA and Design

ApprovalApproval110

111




STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents






Approval Document



Design


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Funding


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113

ROW Acquisition PhaseROW Acquisition Phase

AfterAfter NEPA Determination and Design NEPA Determination and Design ApprovalApproval

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 Certificate must signed by ROW Clearance Certificate must signed by

NYSDOTNYSDOT ROW Acquisition Must be Accomplished Prior to ROW Acquisition Must be Accomplished Prior to

Advertisement for BidsAdvertisement for Bids

114

WARNINGWARNINGDo 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

115

NYSDOT Permit NYSDOT Permit RequirementRequirement

ROW Certification is Required from the ROW Certification is Required from the sponsor agencysponsor 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 constructionconstruction Must be approved by NYSDOT Real Estate Must be approved by NYSDOT Real Estate

OfficerOfficer

116


Documents



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents


Documents





Approval Document



Design


Consultant


Agreement


Funding


Project

Federal-Aid Highway


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118

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

119

Plans, Specifications and Plans, Specifications and Estimates (PS&Es)Estimates (PS&Es)

Must be designed to NYSDOT standards Must be designed to NYSDOT standards or state-approved local standards or state-approved local standards (PLAFAP Chapter 9, Revised March 2011)(PLAFAP Chapter 9, Revised March 2011)

Must include ROW linesMust include ROW lines Engineers estimate must be detailed Engineers estimate must be detailed

estimate of proposed workestimate of proposed work Cannot specify proprietary items (unless Cannot specify proprietary items (unless

public interest finding is documented and public interest finding is documented and approved)approved)

Chapter 12 RequirementsChapter 12 Requirements Federal ProvisionsFederal Provisions

120

Reviewed By NYSDOT Reviewed By NYSDOT LiaisonLiaison Final Contract Documents Final Contract Documents

Plans Plans Specifications Specifications Bid DocumentsBid Documents

Engineer’s EstimateEngineer’s Estimate Construction Management Plan (CMP)Construction Management Plan (CMP) ROW Clearance CertificateROW Clearance Certificate Certifications by Design Professional & Certifications by Design Professional &

SponsorSponsor Copies ofCopies of

Signed Agreements With Utility CompaniesSigned Agreements With Utility Companies Agreements With RailroadsAgreements With Railroads Required Environmental Permits Required Environmental Permits

Consultant Agreement for Construction Consultant Agreement for Construction InspectionInspection

121

Construction Management Construction Management Plan (CMP)Plan (CMP)

Outlines how contract will be administeredOutlines how contract will be administered Provides clear assignment of authority and Provides clear assignment of authority and

accompanying responsibilityaccompanying responsibility Addresses procedures, record keeping, staffing, Addresses procedures, record keeping, staffing,

subcontractor approvals, EEO, inspection, change subcontractor approvals, EEO, inspection, change orders, contract close-out, etc.orders, contract close-out, etc.

Approved by NYSDOT Approved by NYSDOT beforebefore contract advertising contract advertising

122

Construction Construction Management PlanManagement Plan

Sponsor Must Develop a Written Sponsor Must Develop a Written Management PlanManagement Plan

Construction Management Plan Should Construction Management Plan Should AddressAddress 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

Method of ConstructionMethod of Construction

Competitive Bidding – 23 CFR Competitive Bidding – 23 CFR 635.104635.104

No Design-Build ContractingNo Design-Build Contracting Force Account Construction – 23 Force Account Construction – 23

CFR 635 BCFR 635 B Requires approval from NYSDOT/FHWARequires approval from NYSDOT/FHWA Requires a Public Interest and Finding Requires a Public Interest and Finding

of Cost Effectiveness of Cost Effectiveness

123

ExceptionsExceptions

Public Interest FindingsPublic Interest Findings Use of State/Public Agency Furnished Use of State/Public Agency Furnished

MaterialsMaterials Specifying Use of Proprietary ItemsSpecifying Use of Proprietary Items Designating a Storage or Disposal SiteDesignating a Storage or Disposal Site Use of WarrantiesUse of Warranties

Warranties – 23 CFR 635.413Warranties – 23 CFR 635.413 Proprietary Items – 23 CFR 635.411Proprietary Items – 23 CFR 635.411

124

RetainageRetainage Not allowed on NYSDOT administered projectsNot allowed on NYSDOT administered projects 49 CFR 26.29 allows the Sponsor three options to 49 CFR 26.29 allows the Sponsor three options to

comply with Federal-aid retainage provisions: comply with Federal-aid retainage provisions: Hold no retainage from the Prime Contractor (PC). Hold no retainage from the Prime Contractor (PC).

Prohibit the PC from holding retainage from Prohibit the PC from holding retainage from subcontractors. subcontractors.

Hold no retainage from the PC. Allow the PC to hold Hold no retainage from the PC. Allow the PC to hold retainage from subcontractors.retainage from subcontractors.

Hold retainage from the PC. Provide for prompt and Hold retainage from the PC. Provide for prompt and regular incremental acceptances of portions of work regular incremental acceptances of portions of work completed.completed.

The PC must pay all retainage owed the The PC must pay all retainage owed the subcontractor for satisfactory completion of work subcontractor for satisfactory completion of work within 30 days after payment to the PC. within 30 days after payment to the PC.

125

126

Construction Construction SpecificationsSpecifications

Must Use NYSDOT SpecificationsMust Use NYSDOT Specifications On National Highway System On National Highway System On State HighwayOn State Highway On Any Public RoadOn Any Public Road

Special SpecificationsSpecial Specifications Approved by NYSDOTApproved by NYSDOT

Buy AmericaBuy America

Sheet PilingSheet Piling RebarRebar GuiderailGuiderail Bridge Bridge BeamsBeams

127

128

Buy AmericaBuy America

All Steel & Iron All Steel & Iron Products Products Should Be U.S. Should Be U.S. MadeMade

Waivers in Rare Waivers in Rare InstancesInstances

130

Bid DocumentsBid Documents

EVERY Contract Must Include EVERY Contract Must Include Standard Federal Clauses Standard 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)

131

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 Typical Retainage Language That Conflicts With Federal Language That Conflicts With Federal

RequirementsRequirements

132

DBE & EEO DBE & EEO RequirementsRequirements

EI 10-21EI 10-21Disadvantaged Business Enterprises Disadvantaged Business Enterprises

(Firms)(Firms) Standard Federal ClausesStandard Federal Clauses Goals for Contracts > $ 500KGoals for Contracts > $ 500K 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 CountyMinority Goal Determined by County

What is the DBE What is the DBE Program?Program?

To provide reasonable To provide reasonable opportunities for opportunities for DBE’s to compete DBE’s to compete for and to perform for and to perform on contracts on contracts financed in whole financed in whole or part with federal or part with federal financial assistance.financial assistance.

133

What is a DBE?What is a DBE?

For profit small business owned by an For profit small business owned by an individual who is both socially and individual who is both socially and economically disadvantaged as economically disadvantaged as designated by legislation and the Small designated by legislation and the Small Business Administration.Business Administration.

http://biznet.nysucp.net/ State of New York State of New YorkUnified Certification Program Business Unified Certification Program Business DirectoryDirectory combined business directories of the New York Department of Transportation, Metropolitan Transportation Authority, Niagara Frontier Transportation Authority and Port Authority of New York New Jersey.

134

http://biznet.nysucp.net/

Objective of the DBE Objective of the DBE ProgramProgram

Ensure non-discrimination in the Ensure non-discrimination in the award and administration of contractsaward and administration of contracts

Create level playing fieldCreate level playing field Remove barriers to disadvantaged Remove barriers to disadvantaged

businessesbusinesses Assist in the development of DBE Assist in the development of DBE

firmsfirms

135

Local ResponsibilityLocal Responsibility

If contract has a DBE If contract has a DBE goalgoal Monitor and enforce Monitor and enforce

program to ensure that program to ensure that work committed to work committed to DBEs at contract DBEs at contract award is actually award is actually performed by DBEsperformed by DBEs

Report actual DBE Report actual DBE attainment compared to attainment compared to commitment to NYSDOTcommitment to NYSDOT

136

Counting DBE Counting DBE ParticipationParticipation

To count a DBEs work To count a DBEs work towards the goal they towards the goal they must perform a must perform a commercially useful commercially useful function.function.

They are responsible They are responsible for for performing, performing, managing and managing and supervising the supervising the workwork as specified in as specified in the contract.the contract.

137

Good Faith EffortGood Faith Effort

When a DBE goal has been established When a DBE goal has been established for a contract in pre-award, it must be for a contract in pre-award, it must be awarded to the low bidder who achieves awarded to the low bidder who achieves the goal or makes a Good Faith Effort the goal or makes a Good Faith Effort (GFE).(GFE).

If post award changes are made to the If post award changes are made to the contract, and subcontracting contract, and subcontracting opportunities arise or are changed, opportunities arise or are changed, contractor required to make a GFE to contractor required to make a GFE to use DBEs.use DBEs.

138

Basis for DiscriminationBasis for Discrimination RaceRace ColorColor ReligionReligion SexSex National OriginNational Origin AgeAge DisabilityDisability

139

Contractor PracticesContractor Practices RecruitmentRecruitment HiringHiring PayPay TrainingTraining PromotionPromotion RetentionRetention

Subcontractors and suppliersSubcontractors and suppliers

140

Compliance Procedures Compliance Procedures

RECEIPIENTSRECEIPIENTS If you fail to comply with any If you fail to comply with any

requirement of this part you may be requirement of this part you may be subject to:subject to: Suspension or termination of Federal Suspension or termination of Federal

fundsfunds Refusal to approval projects, grants or Refusal to approval projects, grants or

contracts until deficiencies are contracts until deficiencies are remediedremedied

141

Failure to ComplyFailure to Comply

Considered a material breach of Considered a material breach of contract which may result in the contract which may result in the termination of the contract and termination of the contract and loss of funding.loss of funding.

Sanctions against the contractor Sanctions against the contractor for non-compliancefor non-compliance

142

DBE Firms & Prime DBE Firms & Prime ContractorsContractors

NYSDOT may initiate suspension or NYSDOT may initiate suspension or debarment proceedings as per 49 CFR 29. debarment proceedings as per 49 CFR 29. If a…If a… firm attempts to participate in a Federal project firm attempts to participate in a Federal project

as a DBEas a DBE prime contractor uses or attempts to use a DBE prime contractor uses or attempts to use a DBE

on the basis of false, fraudulent or on the basis of false, fraudulent or deceitful statements or representations, or deceitful statements or representations, or under circumstances indicating a serious under circumstances indicating a serious lack of business integrity or honestylack of business integrity or honesty

143

What You Need to DoWhat You Need to Do You are the daily You are the daily

eyes and ears of the eyes and ears of the project.project.

Know the contract Know the contract specifications, specifications, special provisions special provisions and requirements and requirements for your project.for your project.

Inform your Inform your Compliance Compliance Specialist ASAP if Specialist ASAP if problemsproblems

144

Contract Administration Contract Administration ResourcesResources

Procedures for Locally Administered Procedures for Locally Administered Federal-Aid Projects ManualFederal-Aid Projects Manual Chapter 12 - Appendices 1 & 2Chapter 12 - Appendices 1 & 2

FHWA Contract Administration Core FHWA Contract Administration Core Curriculum Participant’s Manual and Curriculum Participant’s Manual and Reference Guide (2006)Reference Guide (2006)

145

146

STEP 10:STEP 10:

Authorization to Proceed Authorization to Proceed With Construction PhaseWith Construction Phase





STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design


Consultant


Agreement


Funding


Project

Federal-Aid Highway


147

148

REMEMBER. REMEMBER. . .. .

All Work Performed Prior to All Work Performed Prior to Initiating ProjectInitiating Project Adding Project to TIP & STIPAdding Project to TIP & STIP Processing State-Local Project AgreementProcessing State-Local Project Agreement Receiving an Authorization to Proceed Receiving an Authorization to Proceed

From NYSDOTFrom NYSDOT

Is Is IneligibleIneligible For Federal For Federal ReimbursementReimbursement

149

STEP 11:

Bid & Award Project



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Project


Documents





Approval Document



Design


Consultant


Agreement


Funding


Project

Federal-Aid Highway


150

151

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 Opening (complicated to Bid Opening (complicated projects requires more time)projects requires more time)

How do you amend the contract?How do you amend the contract?

152

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

153

AwardAward

Submit Award Package to NYSDOT Submit Award Package to NYSDOT Obtain NYSDOT Concurrence Obtain NYSDOT Concurrence Award to Lowest Responsive & Award to Lowest Responsive &

Responsible BidderResponsible Bidder

154

STEP 12:

Construct & Inspect Project



STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design


Consultant


Agreement


Funding


Project

Federal-Aid Highway


155

156

Pre-Construction Pre-Construction MeetingMeeting

Required Required After Contract AwardAfter Contract Award Before Start of WorkBefore Start of Work

Attended ByAttended By Local SponsorLocal Sponsor Construction InspectorConstruction Inspector ContractorContractor NYSDOTNYSDOT

ReimbursementReimbursement

Agreement with Active PINAgreement with Active PIN Eligible WorkEligible Work Proof of PaymentProof of Payment Federal Reporting RequirementsFederal Reporting Requirements EEO/DBE Goals MetEEO/DBE Goals Met

157

Pre-established Pre-established ReimbursablesReimbursables

In-HouseIn-House ConsultantConsultant ContractContract ROWROW Force AccountForce Account Change OrdersChange Orders

158

ReimbursementsReimbursements

Should be submitted Should be submitted TIMELYTIMELY Quarterly or lessQuarterly or less

Inactive projects are subject to Inactive projects are subject to DEOBLIGATIONDEOBLIGATION and and WITHDRAWALWITHDRAWAL

Noncompliance=Noncompliance=NON-PAYMENTNON-PAYMENT

159

160

Construction InspectionConstruction Inspection

Sponsor is Responsible for InspectionSponsor is Responsible for Inspection In-House Staff or Consultant InspectorsIn-House Staff or Consultant Inspectors Construction Inspection is Eligible for Construction Inspection is Eligible for

Federal-AidFederal-Aid Ensure ComplianceEnsure Compliance

PlansPlans SpecificationsSpecifications Federal RequirementsFederal Requirements

Consistent With Construction Consistent With Construction Management PlanManagement Plan

161

Change OrdersChange Orders Required For All ModificationsRequired For All Modifications Must be Submitted to NYSDOTMust be Submitted to NYSDOT Minor Changes That Do Not Minor Changes That Do Not

Require Prior NYSDOT ApprovalRequire Prior NYSDOT Approval Simple Quantity Increases Within Simple Quantity Increases Within

Contract Limits and ScopeContract Limits and Scope Minor New Items Within ScopeMinor New Items Within Scope

162

Change OrdersChange Orders

Major Changes That Do Require Major Changes That Do Require Prior NYSDOT ApprovalPrior NYSDOT Approval 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

163

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, Close Contracts With Utilities,

Railroads, ConsultantsRailroads, Consultants Notify NYSDOT of Project Notify NYSDOT of Project

AcceptanceAcceptance

164

STEP 13:

Close Project Agreement



STEP 14: Operate &

Maintain Facility


Agreement


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design


Consultant


Agreement


Funding


Project

Federal-Aid Highway


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166

Close Out Close 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 Date Of Consultant Audit Audit

(> $300,000)(> $300,000) Final ReportsFinal Reports

DBE UtilizationDBE Utilization EEO Utilization EEO Utilization Prime Contractor’s Prime Contractor’s

PaymentsPayments

167

Audit ProceduresAudit 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

168

STEP 14:

Operate & Maintain Facility



STEP 14: Operate &

Maintain Facility

STEP 14: Operate &

Maintain Facility


Agreement

STEP 12:Construct &

Inspect Project


Project


Documents





Approval Document



Design


Consultant


Agreement


Funding


Project

Federal-Aid Highway


169

170

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

171

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

172

Federal-Aid Highway Program Federal-Aid Highway Program SummarySummary

Eligibility of projects for funding - TIPEligibility of projects for funding - TIP Project AuthorizationProject Authorization Environmental considerations / DADEnvironmental considerations / DAD Acquiring right-of-way and relocationsAcquiring right-of-way and relocations Design to accepted standardsDesign to accepted standards Procurement provisionsProcurement provisions Completion of paperwork for paymentCompletion of paperwork for payment


1. Good cost estimates are required 1. Good cost estimates are required for all project phases.for all project phases.


2. Project agreements are developed 2. Project agreements are developed by the project Sponsor.by the project Sponsor.


3. NEPA applies to only some FA 3. NEPA applies to only some FA construction projects.construction projects.

True or False?True or False?173


4. After the sponsor closes out the 4. After the sponsor closes out the project’s construction contract a phone project’s construction contract a phone call or e-mail is all that necessary to call or e-mail is all that necessary to close out the agreement with NYSDOT.close out the agreement with NYSDOT.


5. Design approval is granted by the 5. Design approval is granted by the Sponsor, additional approval may be Sponsor, additional approval may be required for projects on the NHS/state required for projects on the NHS/state system.system.


174

1 introduction to the federal-aid highway “reimbursement” process may 23, 2012

Documents

federalaid program

project phase

project fundingstep

purposeensure federal

state fundingensures

close project agreementstep

local agreement

aid chips scenic bywayslocally