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1
Introduction to the
Federal-Aid Highway
“Reimbursement”
Process
2019
2
Presenters
Chris Millington, P.E., FHWA
Melissa Toni, FHWA
Diane Kenneally, P.E., NYSDOT
Dawn Arnold, P.E., NYSDOT
Doreen Holsopple, NYSDOT
3
Workshop Agenda
Roles and Responsibilities
Key Elements of the Federal-Aid Highway
Program
Project Development
4
Roles and
Responsibilities
Local Projects Manual
Chapter 2 – Roles & Responsibilities
5Federal Aid Local Program
Roles and Responsibilities
Federal Highway Administration Administer Federal Aid Program
Stewardship and Oversight Agreement
NYSDOT Reimbursement Program
Local Project Manual (LPM)
State-Local Agreements
Local Government Sponsor
(villages, counties, towns, cities) Implementation and Management (LPM)
Coordinate with NYSDOT/FHWA
6
FHWA’s authority and oversight roles defined in:
23 USC & 23 CFR
FHWA/NYSDOT Stewardship Agreement,
setting authority for delegation
Chapter 2 of Local Projects Manual (LPM)
Federal Aid Local Program
Roles and Responsibilities
7
FHWA Stewardship and
Oversight (S&O)
NYSDOT/FHWA Agreement, June 2015
NYSDOT Delegated Actions/Projects
Project of Division Interest - Screening Criteria
National Highway System (NHS)
➢ >$25M (Regions 10 & 11); >$10M (Regions 1-9)
➢ EIS (Environmental Impact Statement)
➢ Interstate Access Modification
➢ TIGER/Special Funding
➢ Major/Unusual Structures
➢ Major (>$500M) and Sub-Major ($100-$500M)
➢ Design Approval by FHWA
8
FHWA S&O
Projects of Division Interest (PoDI) Category I - Full Federal Involvement in all phases
Category II - Design Review/Approval
Category III - Construction Review
Category IV-No Further Federal Involvement
Program Involvement Compliance Assessment Program (CAP)
Financial Integrity Review and Evaluation (FIRE)
Process Reviews
Program Element Reviews
9
FHWA’s Roles
To Ensure:
Federal-Aid program accomplishes its purpose
Review/Approve State procedures and projects
Federal Laws, Regulations, and Standards
NYSDOT adequately administers projects
10
FHWA Federal-Aid Videos
11
NYSDOT’s Roles
Determines projects eligibility for Federal and State funding
Ensures projects developed and constructed in full compliance with Federal and State requirements
Protects Federal/State investment on projects regarding the quality, safety and financial integrity of the project
Takes necessary corrective actions
12
Local Projects Manual (LPM)
Regional Local Projects Liaison (RLPL) Interprets manuals and guidelines
Monitor Projects
Completeness reviews
Consult with NYSDOT Main Office and FHWA
Local Project Agreements
Periodic Program & Project Update Meetings
Local Programs Bureau
NYSDOT provides guidance and
assistance to Sponsors thru…
13
Local Projects Manual
https://www.dot.ny.gov/plafap
14
NYSDOT’s Project
Responsibilities Request Federal authorization for each project phase:
Design
Right-of-Way (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
15
NYSDOT’s Project
Responsibilities Approve Railroad and Utility Relocation Agreements
Approve Right-of-Way Clearance
Concur with Contract Award Recommendation
Review & Approve Good Faith Effort (GFE)
Verify Sponsor’s final inspection and final acceptance of construction contract
Close out local agreement and make final payment
16
Sponsor Responsibilities:
Process State-Local Agreement
First-instance all project costs
Submit Reimbursement Requests
Administer and implement the project
Procure a Consultant
Perform/oversee project design & environmental activities
Make SEQR determination
Grant Design Approval
Acquire right-of-way
17
Sponsor Responsibilities: Coordinate Utility Agreements
Acquire permits
Determine/approve DBE goals
Approve Construction Contract Documents
Advertise and Award Construction Contract
Administer the Construction Contract
Perform/oversee construction inspection
Initiate Change Orders
Accept Construction Contract Work
Close-out project
18
Sponsor Responsibilities:
Federal Requirements NOT Associated with a
Federal Aid Project:
Title VI Plan
LPM - Chapter 13 – Civil Rights Requirements
ADA Transition Plan
LPM – Chapter 13 – Civil Rights Requirements
Scour Critical Bridge Plan https://www.fhwa.dot.gov/engineering/hydraulics/scourtech/s
cour.cfm
19
Americans With Disabilities Act (ADA)
of 1990
Ensure Individuals with Disabilities are Not Excluded from:
▪ Programs
▪ Services
▪ Activities
Requires ADA Transition Plans
Requires Installation of Curb Ramps Where Curbs or Other Barriers
Restrict Access to Sidewalks/Other Pedestrian Walkways
20
ADA Self-Evaluation and Transition Plans
Self Evaluation:
Identify barriers in programs and activities
Provide opportunity for interested persons to participate in process
Municipal funding and staff to support commitment
Collect Data
Create an Inventory
Transition Plan:
Becomes a short-range planning tool for completing modifications
Municipality with more than 50 people:
Ensure Self Evaluation is maintained for at least three years
Available to the Public for at least three years
21
What Sponsors Need to Know Any Work Performed Prior to:
Adding Project to TIP & STIP (excluding
Emergency Relief Program)
Processing State-Local Project Agreement
Receiving an Authorization to Proceed From
NYSDOT
Is Ineligible for Federal Reimbursement
22
Key Elements of the
Federal-Aid Highway
Program
23
Key Program Elements
Reimbursement
Authorization
Eligible Costs
Planning
Environment
Right-of-Way
Contract Administration
Special Projects
Audits
24
Reimbursement Program(a range of monthly-quarterly)Contractor
Does Work
Local Agency
Pays
Contractor
Local Agency
Submits Bill to
NYSDOT
NYSDOT
Submits Bill to
FHWAFHWA Reimburses
NYSDOT
NYSDOT
Reimburses
Local Agency
25
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
26
STEP 1:
Plan and Identify Project
Local Projects Manual
Chapter 3 – Project Initiation, Management, and Funding
Chapter 2 – Roles & Responsibilities
27
Project Should Be Consistent With:
Statewide Long Range Plan
MPO Master Plans
14 MPOs Statewide
Regional Transportation Plans
Project Must Be on The:
Transportation Improvement Plan (TIP)
State Transportation Improvement Plan (STIP)
Project Planning
28
Project Should describe (Initial Project Proposal Scoping)
Objective(s)
Logical Termini
Independent Utility
Public Use
Transportation Function
Project should be consistent with:
Transportation Improvement Plan (TIP)
State Transportation Improvement Pan ( STIP)
Transportation Project Report
[Draft] Initial Project Proposal/Final Design Report
Month 20xx
[Project Title/Description (e.g., Route______over________)]
Project Identification Number (PIN): _______
[Bridge Identification Number (BIN): ________]
[Village/Town/City] of________
________ County
29
Good Cost Estimate
Costs For All Project Phases
Preliminary Design
Detail Design
ROW Incidentals
Property or ROW Acquisition
Construction
Construction Inspection
Miscellaneous (Utilities, Railroads)
Overruns Subject to Availability of Offsets
STIP is fiscally constrained
Potential Alternatives Alt 1 Alt 2
Earthwork $0 $0
Pavement and Subbase
Drainage
Large Culvert
Guide Rail and Median Barrier
Sidewalks and Curb Ramps
Signs & Pavement Markers
Retaining Walls and Noise Barriers
Traffic Signals
Lighting
Misc. Utilities (Water/Sewer)
WZTC
Landscaping
Bridge
Structures Demolition
Wetland Mitigation
Stormwater/SPDES
Miscellaneous/Incidentals 10% $0 $0
Field Change 5% $0 $0
Mobilization 4% $0 $0
Subtotal in Base Year Dollars $0 $0
Contingency/Risk 15% $0 $0
Subtotal in Base Year Dollars $0 $0
Cost Data Year and
Midpoint of Construction Year2018 2022 2023
Inflation/Escalation to Midpoint of
Construction3%
$0 $0
Award/Construction Cost $0 $0
Final Design 10% $0 $0
QC & Administration of Final Design
and Contract3% $0 $0
Construction Inspection 7% $0 $0
ROW
Total Project Cost $0 $0
Rounded to nearest $10K $0 $0
Exhibit 1.6B
Project Costs - Design Bid Build
30
Project Management Plan
Comprehensive Plan Milestones
Cost Control
Roles & Responsibilities
Risk Management
https://www.dot.ny.gov/portal/page/portal/plafap/view-
document?id=1407
31
Smart Growth Screening Tool
32
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
33
STEP 2:
Obtain Project Funding
Local Projects Manual
Chapter 3 – Project Initiation, Management,
and Funding
34
Federal Aid Project Funding
Overview
Project Authorizations
Project Funds Management
FHWA 10 Year PE Order 5020.1
23 CFR 1.9 Limitation on Federal
Participation
35
Federal Aid Highway Program
Characteristics of the FAHP Reimbursement Program (Not a grant)
Federally assisted, State-administered Funding tied to specific categories of roads
Functional Classification National Highway System (NHS)
Sponsors pay for Maintenance Typical Funding Sources and Matching
Requirements: TAP, CMAQ, NHPP, STP Flex
Typically 80% federal, 20% non-federal
HSIP
Typically 90% federal, 10% non-federal
36
Seek Funding
When Seeking Funding (Fed Aid, TIGER, BUILD…)
Become Familiar with Sources and Rules
Consider Willingness/Ability to Comply with
Budget/Schedule
Consider Timing
When Preparing Project Documentation
Clearly Describe Project Scope, Budget and
Schedule
Quantify Realistic Benefits
Ask for Appropriate Funds
37
Roles and Responsibilities
Federal
Review and approve State proposals
Regulations, guidance, standards, technical
assistance
Reimburse States for their Eligible Expenses
State/Local
Conceive, plan, design, initiate, and construct
projects
Maintain and Operate highways
38
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
39
STEP 3:
Execute Project Agreement
Local Projects Manual
Chapter 4 – State-Local Agreements
40
Federal-Aid Local Project
Agreement (SLA) Between Sponsor and NYSDOT
Project specific
Describes project phase, funding and deposit
requirements (Schedule A)
Required Contract Provisions, (Appendix A, A-1, B)
Describes allocation of responsibility (Schedule B)
Municipal/Sponsor Resolution
Approves project
Funding appropriation
Authorizes appropriate official to execute
Agreement
41
Authorization of Federal Aid
Receive locally-executed SLA from Sponsor.
RLPL requests authorization of phase and funds.
SLA with federal authorization forwarded to Main
Office.
NYSDOT
Attorney General
State Comptroller
Fully-executed SLA returned to Sponsor
42
Authorization A formal agreement defining the scope of work,
and other project related commitments
The scope and location of the work accomplished must align with the Authorized scope and location
Constitutes the Federal obligation to pay its share of the project costs for eligible items
NO Authorization NO Reimbursement
43
Authorization
Obligation of Funds
Commits Federal Government to pay
Federal Share of eligible expenses
Based on estimates
Federal Aid Funding
NYSDOT ~$1.7B/yr
44
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
45
STEP 4:
Select and Hire Consultant
Local Projects Manual
Chapter 6 – Consultant Procurement and
Administration
46
Consultant Selection Project Designed/Inspected by Licensed
Professional (Landscape, Survey, etc.)
Federally Funded
Municipal Employees or Retained Consultant
Consultant
Select Using Qualifications-Based Process
➢ Brooks Act
Cost Not a Selection Factor
Locally Funded
Hire Using Local Process
QBS Process also required in NYS
47
Retained Consultant
To Be Eligible for Federal Reimbursement MUST meet ALL of the following requirements:
Selected in compliance with procedures in Chapter 6 of the LPM.
Executed contract between Sponsor and Consultant specifying in Detail Services to be performed.
Designated as Municipal Engineer.
Selected through an open and competitive process within the last three years.
48
Qualifications-Based Process
Place Advertisement (defined phases)
Committee Evaluates Proposals
Committee Interviews Top Rated Firms
Committee Re-Ranks Based on
Interviews
Final Selection Made
49
Qualifications-Based Process
Part I – Selection
Local Design Service Agreement (LDSA)
http://www.countyhwys.org
All firms on the LDSA list must be contacted
Prepare List of Project Specific Criteria
Selection Committee (at least 3 people)
Ratings can be done by oral presentation or from
original proposals for LDSA list
Proposals for all of the listed firms are on file with the
County Highway Superintendents Association
50
Qualifications-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 Consultant Agreement (Include Federal
Language)
Send fully-executed Agreement to the RLPL
51
Consultant ProcurementChapter 6 Appendices
CONTENTS
Appendix Page Number
6-1 Sample Project Manager’s Checklist 3 6-2 Sample Consultant Advertisement 4 6-3 Sample Letters to Consultants 8 Request for Oral Presentation 8 Notification of Selection 9 Notification of Non-selection 11 6-4 Sample Scope of Services (SOS) with Instructions 12 How to Develop a SOS for a Project 12 Section 1 General 12 Section 2 Data Collection and Analysis 16 Section 3 Preliminary Design 21
Section 4 Environmental 25 Section 5 Right-of-Way 28 Section 6 Detailed Design 30 Section 7 Advertisement, Bid Opening and Award 33 Section 8 Construction Support 34 Section 9 Construction Inspection 34
Section 10 Estimating and Technical Assumptions 38 6-5 Sample Consultant Contracts 41
Instructions 41 Sample Architectural/Engineering (A/E) Consultant Contract 45 Attachment A 65 Federal-Aid Requirements for Architectural/ Engineering Consultant Supplement 67
6-6 Sample Cost Proposal 72 6-7 Sponsor Certification 78 6-8 Sample Selection Committee Score Sheet 79 6-9 Typical Pre-Negotiation Audit Report 81 6-10 Typical Expression-of-Interest Format and Explanation of Forms 84
Chapter 6 Appendices Prepared by Consultant Procurement and Administration Revised NYSDOT Procedures for Locally Administered Federal Aid Projects March 2013
52
DBE in Consultant Selection
Sponsors must solicit DBE participation
on all consultant projects
Proposed participation level up to 20%
within the limitations of any project
Firms from LDSA list are not exempt from
this requirement
53
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
54
STEP 5:
Authorization to Proceed with
Preliminary Design &
Right-of-Way Incidental Phases
Local Projects Manual
Chapter 7 – Overview of Environmental Process
Chapter 8 – Design Procedures
Chapter 11 – Right of Way
55
Preliminary Design
(Phases I-IV)
Determine Eligibility
Make Technical Decisions
Conduct Environmental Review
Seek Public Involvement
Coordinate With Affected Municipalities &
Regulatory Agencies
Estimate Costs and Schedule for Project
56
Public Involvement
NYSDOT’s Public Involvement for Transportation
Planning Manual https://www.dot.ny.gov/divisions/policy-and-strategy/planning-
bureau/MPO_program_update_guide/repository/Planning%20PIFinal-Manua12%201218.pdf
Appropriate Public Involvement Must be Undertaken
Level of involvement determined by project scope
ROW issues
Who May be Involved?
Elected Officials
NYSDOT or Other Agencies
Affected Organizations and Businesses
General Public
Describe in Design Approval Document
57
Right-of-Way Incidentals
Concurrent with Design Report preparation
Federal Uniform Act and NYS Eminent Domain Procedure Law (EDPL)
Includes: Title Searches
Brochure Preparation
Map and Deed Preparation
Property Appraisals
Table of proposed ROW Acquisition
58
Right-of-Way Incidentals
Plans in Design Approval Document must show:
Existing Property Lines
Proposed Property Acquisitions
Permanent and Temporary
Conceptual Relocation Plan may be required
59
WARNINGDo Not
Begin Property Negotiations Make Any Commitments or Offers Acquire Property
Before Receipt of Written Authorization To Proceed With ROW Acquisition Activities
Reference the Local Projects Manual Chapter 11, Right Of Way
60
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
61
STEP 6:
Prepare Design Approval
Document
NYSDOT - Project Development Manual (PDM)
https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm
61
62
Design Approval Document (DAD)
Follow the Project Development Manual (PDM)
63
Design Approval Document (DAD) Includes:
Location, Scope, Cost, Funding, and
Schedule
Clear & Concise Description of
Alternatives & Determination of Preferred
Alternative
Environmental
Requirements/Coordination including
Section 106 leading to *FEAW Approval*FEAW: Federal Environmental Approval Worksheet
64
State Environmental Quality Review Act (SEQR)
Title 6 NYCRR Part 617
All projects must comply with SEQRA
A SEQRA Environmental Assessment Form may
be required
The Sponsor is required to follow NYSDEC
SEQRA regulations
https://www.dec.ny.gov/docs/permits_ej_
operations_pdf/dseqrhandbook.pdf
The Sponsor is typically Lead Agency
65
Federal Environmental
Approval Worksheet
66
ENVIRONMENTAL LAWS THAT MAY
DRIVE YOUR TRANSPORTATION
PROJECTS
67
Endangered Species Act, Section 7
68
Section 7 Endangered Species
Act (ESA)
Requirements:
Section 7 of the ESA
Federal Agencies must consult on
projects that “May Affect” listed species.
Species: Shortnose Sturgeon, Atlantic
Sturgeon, Sea Turtles, Bats, Bog
Turtles
FHWA requires ESA consultation to be
complete prior to signing a NEPA
document/approval action.
69
Endangered Species ActProcess (Follow Procedures):
1. Determine type of work activities
(pile driving? tree removal?)
2. Determine “effects”
3. Determine if Programmatic Agreement
applies
4. Consult with either USFWS or NMFS
https://www.dot.ny.gov/divisions/engineering/environmental-
analysis/manuals-and-guidance/epm/repository
/4.4.9.3_AppG_FHWA_ESA_Section_7.pdf
70
Endangered Species ActLessons Learned: Most tidal areas have marine
turtles, maybe sturgeon. Most of NY has bats (in trees and
potentially buildings). Effects to species can include in-water
work and/or tree removal. Programmatic Agreements exist for
marine species and bats. “Likely to Adversely Affect”- need a
Biological Assessment, 1 year.
71
Essential Fish Habitat
72
Essential Fish Habitat Requirements: Magnuson-Stevens FCMA.
EFH- listed species (herring, winter flounder, etc).
Process (Follow Procedures):1. Check EFH Maps2. Determine in-water work and “effects”3. Determine if Programmatic Agreement
applies4. Complete the EFH Worksheet5. Consult with NMFS
73
Essential Fish HabitatLessons Learned: Most tidal areas have EFH. NMFS will write Conservation
Recommendations, FHWA then accepts them.
Almost always a time-of-year restriction for flounder: No Work from Jan 15 to May 31.
All potential work should be considered during DESIGN to cover a project to avoid construction delays.
74
Wetlands
75
WetlandsRequirements: Executive Order 11990
No Net Loss - Compliance with 11990 completed during NEPA, with FHWA.
Section 404 Clean Water Act Placement of Fill -
Compliance through permitting with U.S. Army Corps of Engineers (USACE), during design.
76
Wetlands
Process:1. Delineate wetlands 2. Determine impacts3. Determine permit level (Nationwide Permit, Individual Permit), or EO Programmatic Usage 4. Apply/Obtain PermitsLessons Learned: Impacts less than 0.5 acre = Streamlined Commit to avoidance measures to reduce
impacts.
77
Section 106, Historic Properties
78
Requirements: National Historic Preservation Act of 1966
Consider effects on historic properties
Resource:
Any Prehistoric or Historic District, Site, Building, Structure or Object in or eligible for inclusion on the National Register of Historic Places
Does the project “have the potential to cause effect on historic properties”? (800.3(a))
Section 106
79
Process:1. Define Area of Potential Effect (APE)2. Determine if Section 106 Resources Present3. Section 106 Consultation
Identify and Evaluate Historic Properties
Assess project Effects
Local Sponsor coordination with NYSDOT/SHPO
NYSDOT: Cultural Resource Coordinator (CRC)
SHPO: Cultural Resource Information System (CRIS)
FHWA coordination with THPO/ACHP
Consulting Parties
Section 106
80
Process:4. Determination by FHWA:
“No Historic Properties Identified”
“No potential to cause effect to historic properties” (No Effect)
“No Adverse Effect”
Avoidance and Minimization of Effects
“Adverse Effect”
Resolution of Effects with SHPO/FHWA/ACHP
Memorandum of Agreement (MOA)➢MOA Stipulations (mitigation, avoidance,
protection requirements)
Section 106
81
Section 4(f)
Parks/Recreation/Historic Resources
82
Requirements: US Department of Transportation Act of
1966 Section 4(f) Evaluation
Resources (Section 4(f) Properties): Publicly owned parks
Recreation areas
Wildlife or Waterfowl Refuges
Any public or privately owned Historic Site listed or eligible for listing on the National Register of Historic Places
4(f) Parks/Recreation/Historic
83
Process:
1. Identify potential ‘use’ of Section 4(f) property
permanent incorporation of land from the property
temporary occupancy of the land during construction
may also be considered a Section 4(f) ‘use’ of the
property
2. Before approval, FHWA must determine either:
(a) the impacts are de minimis
No change to activities, features, or attributes
Written concurrence from the Official with Jurisdiction
Public Opportunity to Comment
4(f) Parks/Recreation/Historic
84
- OR -(b) conduct a Section 4(f) Evaluation
Section 4(f) Programmatic Agreements Use of Historic Bridges
Minor Involvement with Historic Sites
Independent Bikeway or Walkway Construction
Projects
Minor Involvement with Public Parks, Recreation
Lands, and Wildlife and Waterfowl Refuges
Transportation Projects that have a Net Benefit to
Section 4(f) Property
4(f) Parks/Recreation/Historic
85
Individual Section 4(f) Evaluation
Determine if a feasible and prudent alternative exists which completely avoids the property.
If an avoidance alternative exists, IT MUST BE SELECTED.
If no feasible and prudent avoidance alternative, FHWA must select the alternative that causes the least overall harm after all possible consideration.
4(f) Parks/Recreation/Historic
86
Design Approval Document (DAD)
Includes:
Public Involvement (info meeting)
Property Acquisition (if applicable)
Design Approval
MUST have Design Approval before
Final Design can begin.
87
Design Approval
After SEQRA and NEPA Determinations
Recommended by Design Professional Professional Engineer
Registered Architect (Buildings)
Granted by Sponsor
Additional Approval May Be Required (NYSDOT for NHS/State System)
88
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
STEP 7:
Authorization to
Proceed With
Detailed Design
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
89
STEP 7:Authorization to Proceed With
Detailed Design
NYSDOT - Project Development Manual - PDMNYSDOT - Highway Design Manual - HDM
90
Home Stretch
ROW Acquisition Phase
Final Design – Phases V&VI
91
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
92
STEP 8:
Acquire Property
Local Projects Manual
Chapter 11 – Right of Way
93
ROW Acquisition Phase After NEPA Determination and Design Approval
Includes:
Notification to Affected Property Owners
Written Offers of “Just Compensation” To
Property Owners
Payments
Acquisition of Title or Rights to Property
Written Diaries
94
ROW Acquisition Phase
ROW Acquisition Must be Accomplished Prior to Advertisement for Bids
95
ROW Clearance Certificate Before Construction Authorization:
Required from the Sponsor
Required from NYSDOT if Work Will Affect NYSDOT
ROW
Signed by the Sponsor and NYSDOT Real Estate
Officer
From: Sponsor:
P.I.N: Project:
Sponsor
ID #:
Acquiring
Agency:
APPENDIX 11-5
RIGHT OF WAY CLEARANCE CERTIFICATE
To: Regional Real Estate Officer, Region Date: Design Approval Date:
96
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
97
STEP 9:
Prepare Contract Documents
Local Projects Manual
Chapter 9 – Design Standards & Construction Specifications
Chapter 12 – Construction Contract Requirements
Chapter 15 – Administering Construction Contract
98
Compile Contract Bid Documents
Final Plans, Specifications, Estimate (PSE)
Construction Management Plan (CMP)
ROW Clearance Certificate
Permits & Agreements Environmental
Utilities/Rail
Highway Work Permit
https://www.dot.ny.gov/divisions/operating/oom/transportation-systems/traffic-operations-section/highway-permits
MOA
USACOE
SPEDE (NY) State Pollutant Discharge Elimination System
Wetlands
99
Contract Bid Documents
Design Approval Document
NYSDOT standards
Licensed Professional Responsible for Design
Signed by the Sponsor
Additional Approval on NHS/State System
100
Contract Bid Documents
ROW lines
Detailed Engineers Estimate
by a Licensed Professional
Proprietary items (unless public interest finding
is documented and approved)
Construction Contract Requirements
Federal Provisions
101
Contract Bid Documents
May Include
Alternate Bids, IF Approved by NYSDOT
May Not Include:
Proprietary Items
Warrantee for the entire project
Retainage
Language That Conflicts With Federal
Requirements
102
Contract Bid Documents
EVERY Contract Must Include:
Standard Federal Clauses
Federal Davis-Bacon Wage Rates
NYS Prevailing Wage Rates
NYS Wicks Law Provisions (Buildings)
103
Methods of Construction
Competitive Bidding
Force Account Construction
Requires approval from NYSDOT/FHWA
Requires a Public Interest and Finding of Cost
Effectiveness
Design-Build not approved for Local
projects receiving Federal Aid
104
Non-Typical Situations
Public Interest Findings (Require approval)
Use of State/Public Agency Furnished Materials
Specifying Use of Proprietary Items (matching)
Designating a Storage or Disposal Site
Use of Warranties
Warranties (Manufacturer Type – Items)
Proprietary Items (New – Need Approval)
105
Construction Specifications
Must Use NYSDOT Specifications
On National Highway System
On State Highway
On Any Public Road
Special Specifications
Approved by NYSDOT
106
Buy America
All Steel & Iron Products Should Be U.S. Made▪ Sheet Piling▪ Rebar▪ Guiderail▪ Bridge Beams
“Melted and Manufactured in the U.S.”
Exceptions:▪ Incidental Quantity:<.1% of total project cost or
$2,500, whichever is greater.▪ Waiver, guidelines not yet established.
107
What is the DBE Program?Disadvantage Business Enterprise
Provides reasonable opportunities for DBE’s to compete for and to perform on contracts financed in whole or part with federal financial assistance
LPM – Chapter 13 – Civil Rights Requirements
108
Objectives of the DBE Program
Ensure non-discrimination in the award and administration of contracts
Create level playing field
Remove barriers to disadvantaged businesses
Assist in the development of DBE firmshttps://www.dot.ny.gov/main/business-center/audit/dbe-
certification
109
DBE & EEO Requirements
Disadvantaged Business Enterprises (Firms)
Standard Federal Clauses
Goals for Contracts > $ 500K
Supersedes M/WBE Programs
Equal Employment Opportunities (People)
Standard Federal Clauses
Female Goal = 6.9%
Minority Goal Determined by County
110
EEO Contractor Practices
Recruitment
Hiring
Pay
Training
Promotion
Retention
Subcontractors and suppliers
111
Commercially Useful Function (CUF)
To count a DBE’s work towards the goal they must perform a commercially useful function.
They are responsible for performing, managing and supervising the work as specified in the contract.
Need to be Certified byNew York State.
https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-manuals-computer-applications-general-information/civil-rights
112
Sponsor’s DBE Responsibility
If a contract has a DBE goal:
Monitor and ensure that work committed to
DBEs at contract award is actually
performed by DBEs
Report actual DBE attainment compared to
commitment to NYSDOT
113
Good Faith Effort
When a DBE goal has been established for a contract in advertisement, it must be awarded to the low bidder who achieves the goal or makes a Good Faith Effort (GFE) to achieve the goal.
If post award changes are made to the contract, and subcontracting opportunities arise or are changed, contractor required to make a GFE to use DBEs during construction.
114
Contract Administration
Resources
Local Projects Manual Chapter 12 - Appendices 1 & 2
MURK - Manual of Uniform Record Keeping CIM – Construction Inspection Manual
CAM – Contract Administration Manual
Highway Design Manual
Project Development Manual
115
Construction Management Plan (CMP)
A Plan provided by the Sponsor as to how
the construction contract will be administered
Provides clear assignment of authority and
accompanying responsibility
Approved by NYSDOT before contract
advertising
116
CMP Construction Management Plan Should Address
Contract Administration
Contract Documentation
Change Order Procedures
Subcontractor Approvals
Inspection
QC/QA
Labor Relations
EEO
Record Retention
Contract Closeout
117
Reviewed By NYSDOT RLPL
Final Contract Bid Documents Plans Specifications Bid Documents
Engineer’s Estimate
Construction Management Plan (CMP)
DBE and EEO Goals
ROW Clearance Certificate
118
Reviewed by NYSDOT RLPL
Certifications by Design Professional & Sponsor
Copies of:
Signed Agreements With Utility Companies
Agreements With Railroads
Required Environmental Permits
Project Management Plan
Consultant Agreement for Construction Inspection
LPM – Chapter 12 – Construction Contract Requirements - Checklist
119
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
120
STEP 10:
Authorization to Proceed With
Construction Phase
Local Projects Manual
Chapter 14 – Advertisement, Contract Letting and Award
121
Advertisement for Bids
Include:
DBE & EEO Goals
NYSDOT PIN, Project Name & Description
Owner/Contracting Sponsor
Letting venue, date & time
Where to obtain contract documents
Where to submit bids
Bid deposit/security required
Whom to contact for questions
122
Advertisement for Bids
Place In: NYS Contract Reporter
http://www.nyscr.org
Local Newspaper (recommended)
Publish Minimum of 3 Weeks Prior to Bid Opening (complicated projects requires more time)
Amendments: need to be distributed to allbidders and NYSDOT.
123
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
124
STEP 11:
Bid & Award Project
Local Projects Manual
Chapter 14 – Advertisement, Contract Letting and Award
125
Bid Opening & Pre-Award
Sponsor Must
Open Bids Publicly
Analyze Low Bid
Evaluate Low Bidder’s Responsibility
Review Proposed DBE Plan & Obtain
NYSDOT Approval
Sponsor Must NOT
Negotiate With Low Bidder
126
Pre Award DBE Commitments
Low Bidder must meet contract goal or receive approval of their GFE prior to Contract Award.
Low Bidder provides “Contract Template” to Sponsor=>RLPL=> for EBO upload.
dot.sm.mo.localprograms.ebo <[email protected]>
Sponsors => NYSDOT’s mechanism for verifying DBE Commitments
127
Pre Award DBE Commitments
[email protected], RLPL=>
Sponsor=>Low Bidder will notify low bidder of contract
upload from template.
Low Bidder has 5 days to enter their utilization package
into EBO
Goal met – Award process proceeds
Goal not met – Low Bidder to provide documentation of
GFE.
Sponsor => NYSDOT approval of GFE required
prior to proceeding with Award process
128
Award Submit Award Package to NYSDOT
Obtain NYSDOT Concurrence
Award to Lowest Responsive & Responsible Bidder
Appendix 14-4
Locally Administered Federal Aid Project Contract Award Checklist
PIN: ____________ Project: ___________________________________
Finish Review by: ___/___/___ Start Review on: ___/___/___
OK
NA
Date Resolved
Proof of advertising (Contract Reporter, local newspapers, etc.)
Copy of all amendments issued
• No concerns with amendments
• Copy of receipts of amendments
Bidding & Award Certification by Responsible Local Official
Bid analysis (no collusion, no unbalancing for high bid/low bid items (25% over/under EE) and in certain cases major items (see Chapter 15, page 6) and additional items determined if low bid is 10% over EE.
129
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
130
STEP 12:
Construct & Inspect Project
Local Projects Manual
Chapter 15 – Administering Construction Contract
Chapter 5 – Accounting & Reimbursement Procedures
131
Pre-Construction Meeting
Required
After Contract Award
Before Start of Work
Attended By
Local Sponsor
Construction Inspector
Contractor
NYSDOT
132
Construction Inspection Sponsor is Responsible for Inspection
In-House Staff or Consultant Inspectors
Construction Inspection is Eligible for Federal-
Aid
Ensure Compliance
Plans
Specifications
Federal Requirements
Consistent With Construction Management
Plan
133
Change Orders
Required For All Modifications
Must be Submitted to NYSDOT
Minor Changes That Do Not Require Prior
NYSDOT Approval
Simple Quantity Increases Within Contract Limits
and Scope
Minor New Items Within Scope
134
Change Orders
Major Changes That Do Require Prior
NYSDOT Approval:
Significant New Items
Significant Changes
Outside Contract Limits
Outside Scope
Significant Cost Increases
Limited Federal Aid $ Available
135
Construction Completion
Final Inspection Performed By Sponsor
NYSDOT Invited to Attend
Contract Close-Out Accept Contract Work
Close Contracts With Utilities, Railroads, Consultants
Close Highway Work Permit
Notify NYSDOT of Project Acceptance
136
Reimbursement
Agreement with Active PIN
Eligible Work
Proof of Payment
Federal Reporting Requirement
EEO/DBE Goals Met
137
Reimbursement
Should be submitted TIMELY
Quarterly or less
Inactive projects are subject to
DEOBLIGATION and WITHDRAWAL
Noncompliance = NON-PAYMENT
LPM – Chapter 3 – Project Initiation, Management, and Funding
138
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
139
STEP 13:
Close Project Agreement
Local Projects Manual
Chapter 16 – Federal & State Single Audit Requirements
Chapter 17 – State-Local Agreement Close-out
140
Close Out Documentation Final Reimbursement Request
Final Acceptance Form
Acceptance of Work on State
Highway (Highway Work Permit
Closed)
As-Built Plans
Work on NHS or SHS
Bridges
Project Financial Summary
Date Of Most Recent Federal
Single Audit
(> $750,000)
Date Of Consultant Audit
(> $300,000)
Final Reports
DBE Utilization
EEO Utilization
Prime Contractor’s
Payments
141
Close Out DocumentationChecklist
142
Audits Federal Single Audit:
Sponsors that expend $750,000 or more in Federal aid in their
fiscal year, from all sources, must have an audit performed.
LPM - Chapter 16 – Federal & State Single Audit Requirements.
2 CFR 200.500 - .521, Audit Requirements
Consultant Audit:
Consultant Contracts greater than $300,000
Uniform Audit & Accounting Guide
http://sp.audit.transportation.org/Documents/UAAG-3%20FINAL.pdf
143
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
STEP 7:
Authorization to
Proceed With
Detailed
STEP 6:
Prepare Design
Approval
Document
STEP 5:
Authorization to
Proceed with
Preliminary Design
STEP 4:
Select and Hire
Consultant
STEP 3:
Execute a Project
Agreement
STEP 2:
Obtain Project
Funding
STEP 1
Plan and Identify
Project
Federal-Aid
Highway
“Reimbursement”
Process
144
STEP 14:
Operate & Maintain Facility
145
Operate
Generally, User or Access Fees Cannot
Be Charged
In Rare Instances When Fees Are
Allowed, Proceeds Must Be Used For
Maintenance And Operation Of Facility
146
Maintain
Maintain For Useful Life
If Useful Life Not Attained, Sponsor
Responsible For Prorated Costs Associated
With Unfulfilled Life
147
Federal-Aid Highway Program
Summary
Eligibility of projects for funding - TIP
Project Authorization
Environmental considerations / DAD
Acquiring right-of-way and relocations
Design to accepted standards
Procurement provisions
Completion of paperwork for payment
148
Fatal Flaws
Violations that could potential cause a
Sponsor to loose their funding:
Civil Rights
Uniform Act
NEPA
Buy America
149
NYSDOT Contact
Diane Kenneally, P.E., NYSDOT
Dawn Arnold, P.E., NYSDOT
Doreen Holsopple, NYSDOT
150