INTRODUCTION TO THE FEDERAL AID PROCESS

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INTRODUCTIONTO THEFEDERAL AIDPROCESS

17th Annual Transportation and Planning Symposium

October 29, 2007

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Representatives

Bob Hansen, NYSDOT, Region One

Diane Kenneally, NYSDOT, Main Office

Roslyn Webber, FHWA, NY Division

Dave Hart, FHWA, NY Division

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Roles & Responsibilities

FHWA

NYSDOT

Local Agency

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Roles & Responsibilities

FHWA’s authority and oversight roles are defined in:

23 USC & 23 CFR FHWA/NYSDOT SAFETEA-LU Agreement, our authority for delegation Chapter 2 of the Procedures for Locally Administered Federal Aid Projects

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Roles & Responsibilities

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FHWA’s Role

Ensure Contract Specifications are Fulfilled

Ensure Federal Standards are Met

Conduct Process Reviews

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FHWA’s Role

Technical Expertise

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NYSDOT’s Role

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

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

Takes necessary corrective actions regarding the above

Determines eligibility Federal and State funding

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The Procedures for Locally Administered Federal Aid Projects https://www.nysdot.gov/portal/page/portal/divisions/operating/opdm/local-programs-bureau/locally-administered-federal-aid-projects

The Regional Local Projects Liaison (RLPL)Interprets regulations, manuals and guidelinesMonitoringCompleteness reviewsConsulting with NYSDOT Main Office and FHWAStandard Federal-Aid Local Project Agreement

Local Programs Bureau

NYSDOT provides guidance and assistance to Sponsors thru…

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NYSDOT’s key project responsibilities

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

Process Sponsor’s reimbursement requests

Approve design exceptions/non-standard features for work on/related to non-NHS State Highways and non-Interstate NHS

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

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NYSDOT’s key project responsibilities (cont’d)

Approve Railroad and Utility Relocation Agreements

Concur with Contract Award Recommendation

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

Close out local agreement and make final payment

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NYSDOT

Local Programs Bureauhttps://www.nysdot.gov/portal/page/portal/divisions/operating/opdm/local-programs-bureau

State Aid CHIPS SHIPS

Locally Administered Federal Aid Projects (LAFAP) Multi-modal and Member Items

Transportation Enhancement Program (TEP) Safe Routes to School Program (SRTS)

List of the RLPL's

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The Sponsor’s Role

Responsible for front-ending all project costs

Delegated responsibility for administering and implementing federal-aid projects

Planning

Programming

Environmental investigation

DesignConstructionMaintenance

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Standard Federal-Aid Local Project Agreement

Between Sponsor and NYSDOT

Project specific

Describes project phase, funding and deposit requirements

Describes allocation of responsibility

Municipal/Sponsor resolutionApproves project

Funding appropriation

Authorizes appropriate official to execute Agreement

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Sponsor’s key project decisions/activities

Getting the project into the STIP

Procuring and approving Consultant contracts

Preparing and submitting reimbursement requests

Performing/overseeing project design and environmental activities

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

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Sponsor’s key project decisions/activities

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

Making SEQR determinations

Granting design approval

Certifying non-NYSDOT construction specifications on local roads/bridges

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Sponsor’s key project decisions/activities

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

Acquiring needed permits

Coordinating Railroad and Utility Relocation Agreements

Determining/approving DBE goals

Approving construction contract documents

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Sponsor’s key project decisions/activities

Advertising and awarding construction contracts

Administering the construction contract

Performing/overseeing construction inspection

Approving contract change orders

Accepting construction contract work

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Two Key Documents to Ensure Success

Project Management Plan (PMP)

Construction Management Plan (CMP)

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Project Management Plan (PMP)

Implementation strategyPrimary communication toolProvides clear assignment of authority and accompanying responsibility

Assigns project managerSchedule

Outlines milestones, products, reviews and approvals

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Construction Management Plan (CMP)

Outlines how contract will be administered

Provides clear assignment of authority and accompanying responsibility

Addresses procedures, record keeping, staffing, subcontractor approvals, EEO, inspection, change orders, contract close-out, etc.

Approved by NYSDOT before contract advertising

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Federal-Aid Process

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FAHP financial proceduresMulti-year

authorization act (SAFETEA-LU)

Annual distribution

(apportionment or allocation)

Total Federal aid available for a

fiscal year

Obligation (Federal

government’s promise to pay)

Reimbursement

Unobligated balances of prior

years’ distributions

Limitation on

obligations

Annual appropriations

act

Liquidating cash to reimburse

States

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Highway Trust Fund

18.4 cents

0.1 cent 18.3 cents

Leaking Underground Storage Tank Trust Fund

HTF

2.86 cents15.44 cents

Highway Acct Mass Transit Acct

Federal Gasoline Tax Breakdown

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Legislative Process

Key TermsAuthorization

Appropriation

Contract Authority

Rescission

Federal Legislative Process

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SAFETEA-LU

Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users

President signed the bill into law Aug.10, 2005

Provides Federal funding for FFY 05-09

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U.S. DEPARTMENT OF TRANSPORTATIONFEDERAL HIGHWAY ADMINISTRATION

FY 2007 OBLIGATION LIMITATION DISTRIBUTIONPURSUANT TO SECTION 1102 OF THE SAFE,

ACCOUNTABLE, FLEXIBLE, EFFICIENT TRANSPORTATION EQUITY ACT: A LEGACY FOR USERS AND THE CONTINUING APPROPRIATION

RESOLUTION, 2007, PUBLIC LAW 110-5

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U.S. DEPARTMENT OF TRANSPORTATIONFEDERAL HIGHWAY ADMINISTRATION

Rescission of Unobligated BalancesPursuant to the Continuing Appropriations Resolution,

2007, Pub. L. No. 110-5, Sec. 21014

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Authorization Act / Appropriations Act

Obligation Authority

Limitation

Redistribution

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SAFETEA-LU Earmarksin New York State

436 High Priority Projects

Totaling $ 738M

Mostly off-system projects

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High Priority ProjectsMain Features of SAFETEA-LU

Funding available in installments (20% per year, over five FFY’s)Funds obligated are available until expendedFederal share is 80%All projects require a matchObligation Authority (OA) limitations applyAcross the Board Rescissions may be enacted through annual Appropriation Acts

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Example of a Conservative Account For Funds Available for a Typical High Priority Project

A typical project listed for $1M in the billFederal Share 80% = $1M

Minimum Local Share 20% = $0.250M

Minimum Total Project Cost $1.250M

Total Cost may exceed $1.250M, but recipient must fund all additional costs

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Federal Allocation of $1M for this typical high priority project will be made available in five equal (20%) installments subject to Obligation Authority (OA) and Rescission

The allocation will be distributed as follows:FFY 05-$0.200M

FFY 06-$0.200M

FFY 07-$0.200M

FFY 08-$0.200M

FFY 09-$0.200M

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Reduction by Obligation Authority (OA),using 90% as an example for each FFY beyond 2006

For FFY 05: 85.5% of $0.200M = $0.171M

For FFY 06: 87.0% of $0.200M = $0.174M

For FFY 07: 90.0% of $0.200M = $0.180M

For FFY 08: 90.0% of $0.200M = $0.180M

For FFY 09: 90.0% of $0.200M = $0.180M

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Further Potential Reduction from Annual Rescission using 1% as an example for each FFY beyond 2005

FFY 05: Reduction of $0.171M by 0%= $171,000

FFY 06: Reduction of $0.174M by 1%= $172,260

FFY 07: Reduction of $0.180M by 1%= $178,200

FFY 08: Reduction of $0.180M by 1%= $178,200

FFY 09: Reduction of $0.180M by 1%= $178,200

No rescission in FFY 2005; FFY 2006 1% across the board

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Estimated Federal Funds Available in Each FFY

FFY 05: $ 171,000 (Original Amount $0.200M)FFY 06: $ 172,260 (Original Amount $0.200M)FFY 07: $ 178,200 (Original Amount $0.200M)FFY 08: $ 178,200 (Original Amount $0.200M)FFY 09: $ 178,200 (Original Amount $0.200M)

For a typical $ 1M project listed in the Bill, approximate amount of funds available is $0.178M per year

Your $1,000,000 authorization is now $877,860 of contract authority

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Options for Advancing High Priority Projects

Wait until sufficient funding is available

Fund the project with 100% sponsor funds and receive reimbursement as Federal HPP funding becomes available for obligation

Meeting funding shortfalls is the recipient’s responsibility

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Other Provisions of the SAFETEA-LU Bill

All High Priority Projects need to be added to the TIP/STIP

All Federal and State rules apply to all High Priority Projects

All environmental regulations apply to all projects

Amount allocated to a High Priority Project can be used for that project only

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All Earmark Projects are to be Implemented According to the Rules and Process Reflected in the Procedures for Locally Administered Federal Aid Projects

https://www.nysdot.gov/portal/page/portal/divisions/operating/opdm/local-programs-bureau/locally-administered-federal-aid-projects

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Project Finances

Reimbursement Program, NOT A GRANT

Federal Share Cannot Exceed 80%

Non-Federal Share Required With Limited Exceptions

Local FundsCHIPs Capital FundsLegislative Member ItemsSoft Match : PE / Cost of ROW / Architectural

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Federal-aid Financing Procedures

Reimbursement Process

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Reimbursements

Process1. Sponsor Pays Bills

2. NYSDOT Pays Sponsor

3. FHWA Pays NYSDOT

TimingPeriodic or Final Lump Sum

Federal Aid: Varies with billing cycle

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Federal-aid Financing Procedures

Audit Procedures

OMB Circular No. A-133

“Audits of States, Local Governments, and Non-Profit Organizations”

Uniform audit requirements for non-Federal entities and implements the Single Audit Act Financial Integrity Review and Evaluation

(FIRE) Order – FHWA Order 4560.1A

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Federal Aid Project Proposal (FAPP)

Prepared by Sponsor

Reviewed by NYSDOT

Approved by Sponsor and NYSDOT

Project Added to TIP/STIP

NYSDOT Requests FHWA to Obligate Federal Funds and Receives Federal Authorization

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Prerequisites to Agreement

Project Initiation

Project Listed on TIP & STIP after conformity review (non attainment areas)

High Priority Projects in NYC conformity (Earmarks)

STP-TEP & CMAQ Projects

Project Application

Enhancement

FHWA Authorization

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REMEMBER. . .

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

NYSDOT

Is Ineligible For Federal Reimbursement.

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OVERVIEW OF FEDERAL AID PROJECT PROCESS

OBTAINPROJECTFUNDING

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJEC

T

CONSTRUCT & INSPECT PROJECT

ACQUIREPROPERT

Y

PREPAREDESIGN REPORT

OPERATE &

MAINTAINFACILITY

PREPARE CONTRACT DOCUMENT

S

SELECT &HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

5353

OBTAINPROJECTFUNDIN

G

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUCT &

INSPECT PROJECT

ACQUIREPROPERT

Y

PREPAREDESIGN REPORT

OPERATE &

MAINTAINFACILITY

PREPARE CONTRACT DOCUMENT

S

SELECT &HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

PLAN & IDENTIFY PROJECT

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Project PlanningProject Planning

Project Should Be Consistent With:Project Should Be Consistent With:– Municipality’s Comprehensive PlanMunicipality’s Comprehensive Plan– Regional Transportation PlanRegional Transportation Plan– Municipality’s Land Use PlanMunicipality’s Land Use Plan– Any Local Pedestrian Plan and Asset Any Local Pedestrian Plan and Asset

Management PlanManagement Plan

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Project Should describe:

Objective(s)Logical TerminiIndependent UtilityPublic UseTransportation Function Project should be consistent with TIP and Conformity process

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Good Cost Estimate

Costs For All Project PhasesPreliminary EngineeringProperty AcquisitionConstructionMiscellaneous (Utilities, Railroads)Any overrun responsibility of the sponsor, subject to prior guidelines.

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PLAN & IDENTIFY PROJECT

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUCT & INSPECT PROJECT

ACQUIREPROPERTY

PREPAREDESIGN REPORT

OPERATE & MAINTAINFACILITY

PREPARE CONTRACT

DOCUMENTS

SELECT &HIRE

CONSULTANT

CLOSE PROJECT AGREEMENT

OBTAINPROJECT FUNDING

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Seek FundingWhen Seeking Funding

Become Familiar with Sources and Rules

Consider Willingness/Ability to Comply

Consider Timing

When Preparing Project Documentation

Clearly Describe Project Scope

Quantify Realistic Benefits

Ask for Appropriate Funds

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PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDIN

G

BID & AWARD PROJECT

CONSTRUCT &

INSPECT PROJECT

ACQUIREPROPERT

Y

PREPARE

DESIGN REPORT

OPERATE &

MAINTAINFACILITY

PREPARE CONTRACT DOCUMENT

S

SELECT &HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

EXECUTE PROJECT

AGREEMENT

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Project Agreement

Prepared by NYSDOTSigned by

Local GovernmentNYSDOTNYS Attorney GeneralOffice of State Comptroller

Executed by NYSDOT Returned to Local Government

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Authorization to Proceed with Authorization to Proceed with Preliminary Design &Preliminary Design &

Right-of-Way Incidental PhasesRight-of-Way Incidental Phases

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PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDIN

G

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUCT &

INSPECT PROJECT

ACQUIREPROPERT

Y

PREPARE

DESIGN REPORT

OPERATE &

MAINTAINFACILITY

PREPARE CONTRACT DOCUMENT

S

CLOSE PROJECT

AGREEMENT

SELECT & HIRE

CONSULTANT

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Consultant SelectionConsultant Selection

• Consultant Federally Funded – Select Using Qualifications-Based

Process– Cost Not a Selection Factor

• Consultant Locally Funded – Hire Using Local Process

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Qualifications-Based ProcessQualifications-Based Process

• Part I – Selection– Place Advertisement– Committee Evaluates Proposals– Committee Interviews Top Rated Firms– Committee Re-Ranks Based on Interviews– Final Selection Made

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Qualifications-Based ProcessQualifications-Based Process

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

(Profit)– Perform Pre-Negotiation Audit, If Necessary– Execute Agreement (Include Federal Language)– Send Signed Agreement to RLPL

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Locally Driven Selection Agreement (LDSA) Locally Driven Selection Agreement (LDSA) ListsLists

• Consultant Agreement pertain with city that follows federal guidelines can be used.

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PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDING

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUCT & INSPECT PROJECT

ACQUIREPROPERTY

OPERATE & MAINTAINFACILITY

PREPARE CONTRACT

DOCUMENTS

SELECT &

HIRE CONSULTANT

CLOSE PROJECT

AGREEMENT

PREPARE DESIGN

APPROVAL DOCUMENT

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Purpose of Design Approval Purpose of Design Approval DocumentDocument

EligibilityEligibility Technical DecisionsTechnical Decisions Environmental ReviewEnvironmental Review Public InvolvementPublic Involvement Coordination With Affected Coordination With Affected

Municipalities & Regulatory Municipalities & Regulatory AgenciesAgencies

CostsCosts

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LEGISLATIVE HISTORY

• NEPA – 1969• PL 91-190•23 CFR 771 http://www.fhwa.dot.gov/environment/index.htm

• SEQRA – 1975•Article 8 of Environmental Conservation Lawhttps://www.nysdot.gov/portal/page/portal/divisions/engineering/environmental-analysis

• City/Local CQRA

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NEPANEPA(23 CFR 771)(23 CFR 771)

Applies To All Federal Aid Applies To All Federal Aid ProjectsProjects

Final Determination Made Final Determination Made After Final SEQRA and CEQR After Final SEQRA and CEQR

DeterminationDetermination By FHWA or NYSDOT By FHWA or NYSDOT

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NEPA CHECKLISTNEPA CHECKLIST

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SEQRASEQRA(6 NYCRR Part 617)(6 NYCRR Part 617)

Applies to All ProjectsApplies to All Projects SponsorSponsor

Is Lead AgencyIs Lead Agency Makes Final Makes Final

DeterminationDetermination

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

UndertakenUndertaken ExamplesExamples

When an EIS Will be UndertakenWhen an EIS Will be Undertaken When M&PT Will Close LanesWhen M&PT Will Close Lanes When Businesses Will be AffectedWhen Businesses Will be Affected When Parking Will be AffectedWhen Parking Will be Affected

Who May be Involved?Who May be Involved? Elected OfficialsElected Officials NYSDOT or Other AgenciesNYSDOT or Other Agencies Affected Organizations and BusinessesAffected Organizations and Businesses General PublicGeneral Public

Describe in Design Approval DocumentDescribe in Design Approval Document Categorical Exclusion doesn’t need public Categorical Exclusion doesn’t need public

involvementinvolvement

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Right-of-WayRight-of-Way

Plans in Design Approval Document Must Plans in Design Approval Document Must ShowShow Existing Property LinesExisting Property Lines Proposed Property AcquisitionsProposed Property Acquisitions

Table of ROW Acquisition in Design Table of ROW Acquisition in Design Approval DocumentApproval Document

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Design ApprovalDesign Approval

After SEQRA and NEPA After SEQRA and NEPA DeterminationsDeterminations

Recommended by Design ProfessionalRecommended by Design Professional Professional Engineer Professional Engineer Registered Architect (Buildings)Registered Architect (Buildings)

Granted by SponsorGranted by Sponsor Additional Approval May Be Required Additional Approval May Be Required

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

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ROW Incidental PhaseROW Incidental Phase

Concurrent with design Report Concurrent with design Report preparationpreparation

Includes:Includes: Title SearchesTitle Searches BrochureBrochure Map and Deed PreparationMap and Deed Preparation Property AppraisalsProperty Appraisals Table of proposed ROW AcquisitionTable of proposed ROW Acquisition

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Authorization to Proceed Authorization to Proceed With Detailed Design &With Detailed Design &

Right-of-Way Acquisition Right-of-Way Acquisition PhasesPhases

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PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDING

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUCT & INSPECT PROJECT

PREPARE DESIGN REPORT

OPERATE & MAINTAINFACILITY

PREPARE CONTRACT

DOCUMENTS

SELECT &

HIRE CONSULTANT

CLOSE PROJECT

AGREEMENT

ACQUIREPROPERTY

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ROW Acquisition PhaseROW Acquisition Phase

After Design ApprovalAfter Design Approval Includes:Includes:

Written Offers of “Just Compensation” To Written Offers of “Just Compensation” To Property OwnersProperty Owners

PaymentsPayments Acquisition of Title or Rights to PropertyAcquisition of Title or Rights to Property Written DiariesWritten Diaries ROW Clearance CertificateROW Clearance Certificate ROW Acquisition Must be Accomplished ROW Acquisition Must be Accomplished

Prior to Advertisement for BidsPrior to Advertisement for Bids

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NYSDOT Permit RequirementNYSDOT Permit Requirement

ROW Certification is Required from the ROW Certification is Required from the sponsor agency.sponsor agency.

ROW Certification is Required From ROW Certification is Required From NYSDOT if Work Will Affect NYSDOT ROWNYSDOT if Work Will Affect NYSDOT ROW

ROW Certification is required for ROW Certification is required for construction.construction.

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WARNINGWARNING

Do Do NotNot

Begin Property NegotiationsBegin Property Negotiations Make Any Commitments or OffersMake Any Commitments or Offers Acquire PropertyAcquire Property

Before Receipt of Written Authorization Before Receipt of Written Authorization To Proceed With ROW Acquisition To Proceed With ROW Acquisition Activities Activities

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PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDING

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUCT & INSPECT PROJECT

ACQUIREPROPERTY

PREPARE DESIGN REPORT

OPERATE &

MAINTAINFACILITY

SELECT &HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

PREPARE CONTRACT

DOCUMENTS

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Contract PlansContract Plans

Consistent with Design Approval Consistent with Design Approval DocumentDocument

Stamped by the Licensed Professional Stamped by the Licensed Professional Responsible for DesignResponsible for Design

Signed by the SponsorSigned by the Sponsor Additional Approval May be Required Additional Approval May be Required

if Project is on NHS/State Systemif Project is on NHS/State System

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Contract SpecificationsContract Specifications

NYSDOT SpecificationsNYSDOT Specifications On National Highway System On National Highway System On State HighwayOn State Highway When Sponsor Does Not Have Approved When Sponsor Does Not Have Approved

SpecsSpecs Sponsor’s Approved SpecificationsSponsor’s Approved Specifications

On Local RoadsOn Local Roads Outside of Highway ROWOutside of Highway ROW

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Buy AmericaBuy America

• Sheet PilingSheet Piling• RebarRebar• GuiderailGuiderail• Bridge BeamsBridge Beams

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Buy AmericaBuy America

• All Project Steel All Project Steel Should be U.S. Should be U.S. SteelSteel

• Waivers in Rare Waivers in Rare InstancesInstances

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Bid DocumentsBid Documents

May IncludeMay Include Alternate Bids, If Approved by NYSDOTAlternate Bids, If Approved by NYSDOT

May Not IncludeMay Not Include Proprietary ItemsProprietary Items Warrantee for the entire projectWarrantee for the entire project Typical Retainage (Some Exceptions Typical Retainage (Some Exceptions

May Apply)May Apply) Language That Conflicts With Federal Language That Conflicts With Federal

RequirementsRequirements

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Bid DocumentsBid Documents

EVERY Contract Must Include EVERY Contract Must Include Standard Federal ClausesStandard Federal Clauses Federal Davis-Bacon Wage RatesFederal Davis-Bacon Wage Rates NYS Prevailing Wage RatesNYS Prevailing Wage Rates NYS Wicks Law Provisions (Buildings)NYS Wicks Law Provisions (Buildings)

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DBE & EEO DBE & EEO RequirementsRequirements

Disadvantaged Business Enterprises Disadvantaged Business Enterprises (Firms)(Firms) Standard Federal ClausesStandard Federal Clauses Goals for Contracts > $1MGoals for Contracts > $1M Supersedes M/WBE ProgramsSupersedes M/WBE Programs

Equal Employment Opportunities Equal Employment Opportunities (People)(People) Standard Federal ClausesStandard Federal Clauses Female Goal = 6.9%Female Goal = 6.9% Minority Goal Determined by LocationMinority Goal Determined by Location

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Reviewed By RLPLReviewed By RLPL

Final Contract DocumentsFinal Contract Documents Plans Plans Specifications Specifications Bid DocumentsBid Documents

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

SponsorSponsor Copies ofCopies of

Agreements With Utility CompaniesAgreements With Utility Companies Agreements With RailroadsAgreements With Railroads Required Environmental Permits Required Environmental Permits

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Authorization to Proceed Authorization to Proceed With Construction PhaseWith Construction Phase

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PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDIN

G

EXECUTE PROJECT

AGREEMENT

CONSTRUCT &

INSPECT PROJECT

ACQUIREPROPERT

Y

PREPAR

E DESIGN REPORT

OPERATE &

MAINTAINFACILITY

PREPARE CONTRACT DOCUMENT

S

SELECT &HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

BID & AWARD

PROJECT

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Advertisement for BidsAdvertisement for Bids Include DBE GoalsInclude DBE Goals Place InPlace In

NYS Contract ReporterNYS Contract Reporter Local NewspaperLocal Newspaper

Publish Minimum of 3 Weeks Prior Publish Minimum of 3 Weeks Prior to Bid Openingto Bid Opening

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

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Bid Opening & Pre-Bid Opening & Pre-AwardAward

Sponsor MustSponsor Must Open Bids Publicly Open Bids Publicly Analyze Low BidAnalyze Low Bid Evaluate Low Bidder’s Evaluate Low Bidder’s

ResponsibilityResponsibility Review Proposed DBE Plan & Review Proposed DBE Plan &

Obtain NYSDOT ApprovalObtain NYSDOT Approval Sponsor Must NOTSponsor Must NOT

Negotiate With Low BidderNegotiate With Low Bidder

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AwardAward

Obtain NYSDOT Concurrence if Obtain NYSDOT Concurrence if Project isProject is On National Highway System RoadOn National Highway System Road On State Highway On State Highway

Award to Lowest Responsive & Award to Lowest Responsive & Responsible BidderResponsible Bidder

Submit Award Package to NYSDOT Submit Award Package to NYSDOT

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PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDIN

G

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

ACQUIREPROPERT

Y

PREPAR

E DESIGN REPORT

OPERATE &

MAINTAINFACILITY

PREPARE CONTRACT DOCUMENT

S

SELECT &HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

CONSTRUCT & INSPECT PROJECT

98

Pre-Construction Pre-Construction MeetingMeeting

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

Attended ByAttended By SponsorSponsor Construction InspectorConstruction Inspector ContractorContractor NYSDOTNYSDOT

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Construction Construction Management PlanManagement Plan

Sponsor Must Develop a Written Management PlanSponsor Must Develop a Written Management Plan

Construction Management Plan Should AddressConstruction Management Plan Should Address Contract AdministrationContract Administration Contract DocumentationContract Documentation OOC ProceduresOOC Procedures Subcontractor ApprovalsSubcontractor Approvals InspectionInspection QC/QAQC/QA Labor RelationsLabor Relations EEOEEO Record RetentionRecord Retention Contract CloseoutContract Closeout

100

Construction InspectionConstruction Inspection Sponsor Must ProvideSponsor Must Provide Ensure ComplianceEnsure Compliance

PlansPlans SpecificationsSpecifications Federal RequirementsFederal Requirements

Consistent With Construction Management Consistent With Construction Management PlanPlan

101

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

NYSDOT ApprovalNYSDOT Approval Simple Quantity Increases Within Contract Simple Quantity Increases Within Contract

Limits and ScopeLimits and Scope Minor New Items Within ScopeMinor New Items Within Scope

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Change OrdersChange Orders

Major Changes That Do Require NYSDOT Major Changes That Do Require NYSDOT ApprovalApproval Significant New ItemsSignificant New Items Significant ChangesSignificant Changes Outside Contract LimitsOutside Contract Limits Outside ScopeOutside Scope Significant Cost IncreasesSignificant Cost Increases Limited Federal Aid $ AvailableLimited Federal Aid $ Available

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Construction CompletionConstruction Completion

Final InspectionFinal Inspection Performed By SponsorPerformed By Sponsor NYSDOT Invited to AttendNYSDOT Invited to Attend

Contract Close-Out Contract Close-Out Accept Contract WorkAccept Contract Work Close Contracts With Utilities, Railroads, Close Contracts With Utilities, Railroads,

ConsultantsConsultants Notify NYSDOT of Project AcceptanceNotify NYSDOT of Project Acceptance

104

PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDING

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUCT &

INSPECT PROJECT

ACQUIREPROPERTY

PREPARE DESIGN REPORT

OPERATE & MAINTAINFACILITY

PREPARE CONTRACT

DOCUMENTS

SELECT &HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

105

Close OutClose Out DocumentationDocumentation

Final Reimbursement Final Reimbursement RequestRequest

Final Acceptance FormFinal Acceptance Form Acceptance of Work on Acceptance of Work on

State Highway State Highway (Highway Work Permit (Highway Work Permit Closed)Closed)

As-Built PlansAs-Built Plans Work on NHS or SHWork on NHS or SH BridgesBridges

Project Financial Project Financial SummarySummary

Date Of Most Recent Date Of Most Recent Federal Single AuditFederal Single Audit

Date Of Consultant Audit Date Of Consultant Audit (> $300,000)(> $300,000) Final ReportsFinal Reports

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

PaymentsPayments

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Audit Procedures

OMB Circular No. A-133 “Audits of States, Local

Governments, and Non-Profit Organizations”

Uniform audit requirements for non-Federal entities and implements the Single Audit Act

FIRE Order – FHWA Order 4560.1A

107

PLAN & IDENTIFY PROJECT

OBTAINPROJECTFUNDIN

G

EXECUTE PROJECT

AGREEMENT

BID & AWARD PROJECT

CONSTRUC

T & INSPECT PROJECT

ACQUIREPROPERTY

PREPAR

E DESIGN REPORT

PREPARE CONTRACT

DOCUMENTS

SELECT & HIRE

CONSULTANT

CLOSE PROJECT

AGREEMENT

OPERATE &

MAINTAIN FACILITY

108

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

109

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

110