introduction to the federal-aid highway - new york state ... · miscellaneous (utilities,...

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


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


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


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


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


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


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


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


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


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


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


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


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


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.


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


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


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


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


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


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)


Goals for Contracts > $ 500K

Supersedes M/WBE Programs

Equal Employment Opportunities (People)


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


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


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 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


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


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


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


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


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

https://www.google.com/url?sa=i&rct=j&q=&esrc=s&source=images&cd=&cad=rja&uact=8&ved=2ahUKEwjyt7-e4tfhAhUCJt8KHVhiCoQQjRx6BAgBEAU&url=https://theconstructor.org/structural-engg/types-of-bridges/13195/&psig=AOvVaw2PJdnddMQVKoYgEMCuLJaR&ust=1555612461812073

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

[email protected]

Dawn Arnold, P.E., NYSDOT

[email protected]

Doreen Holsopple, NYSDOT

[email protected]