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					INTRODUCTION
TO THE
FEDERAL AID
PROCESS

              17th Annual
Transportation and Planning Symposium
           October 29, 2007


                                        1
Representatives
Bob Hansen, NYSDOT, Region One
Diane Kenneally, NYSDOT, Main Office
Roslyn Webber, FHWA, NY Division
Dave Hart, FHWA, NY Division



                                   2
Roles & Responsibilities


   FHWA
   NYSDOT
   Local Agency



                           3
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


                                              4
Roles & Responsibilities




                           5
6
            FHWA’s Role


Ensure Contract Specifications are Fulfilled
Ensure Federal Standards are Met
Conduct Process Reviews




                                               7
FHWA’s Role



Technical
Expertise



              8
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                        9
NYSDOT provides guidance and
assistance to Sponsors thru…
  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 guidelines
     Monitoring
     Completeness reviews
     Consulting with NYSDOT Main Office and FHWA
     Standard Federal-Aid Local Project Agreement

  Local Programs Bureau

                                                                              10
11
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

                                                12
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

                                           13
NYSDOT

   Local Programs Bureau
https://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

                                                                                14
15
16
The Sponsor’s Role
Responsible for front-ending all
project costs
Delegated responsibility for
administering and implementing
federal-aid projects
     Planning           Design
     Programming        Construction
     Environmental      Maintenance
     investigation
                                       17
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 resolution
    Approves project
    Funding appropriation
    Authorizes appropriate official to execute Agreement

                                                       18
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
                                        19
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

                                      20
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


                                                21
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



                                                  22
Two Key Documents to
Ensure Success

Project Management Plan (PMP)
Construction Management Plan
(CMP)



                                23
Project Management Plan
(PMP)
  Implementation strategy
  Primary communication tool
  Provides clear assignment of authority
  and accompanying responsibility
     Assigns project manager
     Schedule
  Outlines milestones, products, reviews
  and approvals
                                           24
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
                                                25
Federal-Aid Process




                      26
FAHP financial procedures
     Multi-year
  authorization act
   (SAFETEA-LU)

 Annual distribution
 (apportionment or
     allocation)

  Total Federal aid          Unobligated
 available for a fiscal    balances of prior
         year             years’ distributions

 Obligation (Federal          Limitation              Annual
   government’s                   on               appropriations
  promise to pay)             obligations               act

   Reimbursement                                 Liquidating cash to
                                                  reimburse States
                                                                    27
Highway Trust Fund
 Federal Gasoline Tax Breakdown

                 18.4 cents


 0.1 cent         18.3 cents

Leaking             HTF
Underground
Storage Tank
Trust Fund       15.44 cents    2.86 cents

               Highway Acct    Mass Transit
                               Acct         28
Legislative Process

  Key Terms
    Authorization
    Appropriation
    Contract Authority
    Rescission
  Federal Legislative Process


                                29
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
                                          30
31
U.S. DEPARTMENT OF TRANSPORTATION
  FEDERAL HIGHWAY ADMINISTRATION

FY 2007 OBLIGATION LIMITATION DISTRIBUTION
 PURSUANT 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



                                         32
U.S. DEPARTMENT OF TRANSPORTATION
  FEDERAL HIGHWAY ADMINISTRATION

        Rescission of Unobligated Balances
Pursuant to the Continuing Appropriations Resolution,
       2007, Pub. L. No. 110-5, Sec. 21014




                                                   33
Authorization Act / Appropriations Act



 Obligation Authority
   Limitation
   Redistribution




                                         34
SAFETEA-LU Earmarks
in New York State

  436 High Priority Projects
  Totaling $ 738M
  Mostly off-system projects


                               35
High Priority Projects
Main Features of SAFETEA-LU
 Funding available in installments (20% per
 year, over five FFY’s)
 Funds obligated are available until
 expended
 Federal share is 80%
 All projects require a match
 Obligation Authority (OA) limitations apply
 Across the Board Rescissions may be
 enacted through annual Appropriation Acts

                                           36
Example of a Conservative Account
For Funds Available for a Typical
High Priority Project
 A typical project listed for $1M in the bill
   Federal 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
                                              37
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                            38
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

                                          39
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
                                                 40
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
                                                               41
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
                                    42
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                                    43
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




                                                                       44
Project Finances

   Reimbursement Program, NOT A GRANT
   Federal Share Cannot Exceed 80%
   Non-Federal Share Required With Limited
   Exceptions
     Local Funds
     CHIPs Capital Funds
     Legislative Member Items
     Soft Match : PE / Cost of ROW /
     Architectural

                                             45
Federal-aid Financing Procedures

  Reimbursement Process




                                   46
Reimbursements

  Process
  1. Sponsor Pays Bills
  2. NYSDOT Pays Sponsor
  3. FHWA Pays NYSDOT

  Timing
       Periodic or Final Lump Sum
       Federal Aid: Varies with billing cycle


                                                47
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
                                              48
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
                                    49
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
                                                50
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.

                                                51
OVERVIEW OF FEDERAL AID PROJECT PROCESS


                        OPERATE &
                        MAINTAIN
                         FACILITY

              CLOSE                             OBTAIN
             PROJECT                           PROJECT
            AGREEMENT                          FUNDING




       CONSTRUCT &                              EXECUTE
         INSPECT                                PROJECT
         PROJECT                               AGREEMENT




            BID &                              SELECT &
           AWARD                                 HIRE
          PROJECT                             CONSULTANT



                  PREPARE                PREPARE
                 CONTRACT                 DESIGN
                DOCUMENTS                REPORT
                               ACQUIRE
                              PROPERTY




                                                           52
                 OPERATE &
                 MAINTAIN
                  FACILITY

       CLOSE                            OBTAIN
      PROJECT                          PROJECT
     AGREEMENT                         FUNDING




CONSTRUCT                                     EXECUTE
 & INSPECT             PLAN &                 PROJECT
  PROJECT                                    AGREEMEN
                                                 T
                       IDENTIFY
                       PROJECT
     BID &                                SELECT &
    AWARD                                   HIRE
   PROJECT                               CONSULTANT



           PREPARE                 PREPARE
          CONTRACT                  DESIGN
         DOCUMENTS                 REPORT
                         ACQUIRE
                        PROPERTY



                                                        53
      Project Planning

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


                                          54
Project Should describe:
  Objective(s)
  Logical Termini
  Independent Utility
  Public Use
  Transportation Function
  Project should be consistent with TIP
  and Conformity process


                                          55
Good Cost Estimate

 Costs For All Project Phases
   Preliminary Engineering
   Property Acquisition
   Construction
   Miscellaneous (Utilities, Railroads)
   Any overrun responsibility of the
   sponsor, subject to prior guidelines.

                                           56
                      OPERATE &               PLAN &
                      MAINTAIN               IDENTIFY
                       FACILITY              PROJECT



      CLOSE PROJECT
       AGREEMENT




CONSTRUCT &
  INSPECT
                           OBTAIN                                   EXECUTE
                                                                    PROJECT
                                                                   AGREEMENT
  PROJECT
                          PROJECT
                          FUNDING
      BID &                                                        SELECT &
     AWARD                                                           HIRE
    PROJECT                                                       CONSULTANT




                PREPARE                                 PREPARE
               CONTRACT                                 DESIGN
              DOCUMENTS                                 REPORT
                                   ACQUIRE
                                  PROPERTY




                                                                               57
Seek Funding
 When 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
                                           58
                 OPERATE &      PLAN &
                 MAINTAIN      IDENTIFY
                  FACILITY     PROJECT

       CLOSE                                OBTAIN
      PROJECT                              PROJECT
     AGREEMENT                             FUNDING




CONSTRUCT
                  EXECUTE
 & INSPECT
  PROJECT         PROJECT
                 AGREEMENT
     BID &                                      SELECT &
    AWARD                                         HIRE
   PROJECT                                     CONSULTANT



           PREPARE                   PREPARE
          CONTRACT                    DESIGN
         DOCUMENTS                   REPORT
                         ACQUIRE
                        PROPERTY


                                                            59
Project Agreement
   Prepared by NYSDOT
   Signed by
     Local Government
     NYSDOT
     NYS Attorney General
     Office of State Comptroller
   Executed by NYSDOT
   Returned to Local Government
                                   60
 Authorization to Proceed with
     Preliminary Design &
Right-of-Way Incidental Phases




                                 61
                 OPERATE &      PLAN &
                 MAINTAIN      IDENTIFY
                  FACILITY     PROJECT

       CLOSE                                OBTAIN
      PROJECT                              PROJECT
     AGREEMENT                             FUNDING




CONSTRUCT
 & INSPECT
                   SELECT &                     EXECUTE
                                                PROJECT
  PROJECT                                      AGREEMENT
                     HIRE
                  CONSULTANT
     BID &
    AWARD
   PROJECT



           PREPARE                   PREPARE
          CONTRACT                    DESIGN
         DOCUMENTS                   REPORT
                         ACQUIRE
                        PROPERTY



                                                           62
    Consultant Selection
• Consultant Federally Funded
  – Select Using Qualifications-Based
    Process
  – Cost Not a Selection Factor


• Consultant Locally Funded
  – Hire Using Local Process

                                        63
  Qualifications-Based Process
• Part I – Selection
  – Place Advertisement
  – Committee Evaluates Proposals
  – Committee Interviews Top Rated Firms
  – Committee Re-Ranks Based on Interviews
  – Final Selection Made



                                             64
  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 Agreement (Include Federal Language)
   – Send Signed Agreement to RLPL


                                                     65
Locally Driven Selection Agreement (LDSA)
                   Lists


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




                                           66
                      OPERATE &               PLAN &
                      MAINTAIN               IDENTIFY
                       FACILITY              PROJECT


                                                         OBTAIN
      CLOSE PROJECT                                     PROJECT
       AGREEMENT                                        FUNDING




                           PREPARE
CONSTRUCT &
  INSPECT
  PROJECT
                            DESIGN                             EXECUTE
                                                               PROJECT
                                                              AGREEMENT

                          APPROVAL
                          DOCUMENT                           SELECT &
      BID &                                                   HIRE
     AWARD                                                 CONSULTANT
    PROJECT




                PREPARE
               CONTRACT
              DOCUMENTS
                                   ACQUIRE
                                  PROPERTY




                                                                          67
Purpose of Design Approval
        Document

   Eligibility
   Technical Decisions
   Environmental Review
   Public Involvement
   Coordination With Affected
    Municipalities & Regulatory Agencies
   Costs
                                           68
            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 Law
https://www.nysdot.gov/portal/page/portal/divisions/engineering/environmental-
analysis

• City/Local CQRA


                                                                                 69
                 NEPA
               (23 CFR 771)

   Applies To All Federal Aid Projects
   Final Determination Made
     After Final SEQRA and CEQR
      Determination
     By FHWA or NYSDOT




                                          70
NEPA CHECKLIST




                 71
          SEQRA
    (6 NYCRR Part 617)


   Applies to All Projects
   Sponsor
     Is Lead Agency
     Makes Final Determination




                                  72
            Public Involvement
   Appropriate Public Involvement Must be Undertaken
   Examples
       When an EIS Will be Undertaken
       When M&PT Will Close Lanes
       When Businesses Will be Affected
       When Parking Will be Affected
   Who May be Involved?
       Elected Officials
       NYSDOT or Other Agencies
       Affected Organizations and Businesses
       General Public
   Describe in Design Approval Document
   Categorical Exclusion doesn’t need public involvement
                                                            73
                  Right-of-Way

   Plans in Design Approval Document Must Show
       Existing Property Lines
       Proposed Property Acquisitions
   Table of ROW Acquisition in Design Approval
    Document



                                                  74
             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)


                                          75
        ROW Incidental Phase

   Concurrent with design Report preparation
   Includes:
       Title Searches
       Brochure
       Map and Deed Preparation
       Property Appraisals
       Table of proposed ROW Acquisition

                                                76
 Authorization to Proceed With
       Detailed Design &
Right-of-Way Acquisition Phases




                                  77
                      OPERATE &    PLAN &
                      MAINTAIN    IDENTIFY
                       FACILITY   PROJECT


                                                        OBTAIN
      CLOSE PROJECT                                    PROJECT
       AGREEMENT                                       FUNDING




CONSTRUCT &                                                   EXECUTE
  INSPECT                                                     PROJECT
  PROJECT
                           ACQUIRE                           AGREEMENT



                          PROPERTY
                                                            SELECT &
      BID &                                                  HIRE
     AWARD                                                CONSULTANT
    PROJECT




                PREPARE                      PREPARE
               CONTRACT                      DESIGN
              DOCUMENTS                      REPORT




                                                                         78
        ROW Acquisition Phase
   After Design Approval
   Includes:
       Written Offers of “Just Compensation” To Property
        Owners
       Payments
       Acquisition of Title or Rights to Property
       Written Diaries
       ROW Clearance Certificate
       ROW Acquisition Must be Accomplished Prior to
        Advertisement for Bids

                                                            79
NYSDOT Permit Requirement

ROW Certification is Required from the
sponsor agency.
ROW Certification is Required From
NYSDOT if Work Will Affect NYSDOT
ROW
ROW Certification is required for
construction.
                                         80
               WARNING
                  Do Not

 Begin Property Negotiations
 Make Any Commitments or Offers
 Acquire Property


Before Receipt of Written Authorization To
 Proceed With ROW Acquisition Activities

                                             81
              OPERATE
                           PLAN &
                 &
                          IDENTIFY
              MAINTAIN
                          PROJECT
              FACILITY
       CLOSE                          OBTAIN
      PROJECT                        PROJECT
     AGREEMENT                       FUNDING




CONSTRUCT &                             EXECUTE
  INSPECT
                   PREPARE              PROJECT
  PROJECT                              AGREEMENT
                  CONTRACT
                 DOCUMENTS
                                        SELECT &
  BID &
                                          HIRE
 AWARD
                                      CONSULTANT
PROJECT



                                 PREPARE
                                  DESIGN
                                 REPORT
                    ACQUIRE
                   PROPERTY


                                                   82
          Contract Plans

   Consistent with Design Approval Document
   Stamped by the Licensed Professional
    Responsible for Design
   Signed by the Sponsor
   Additional Approval May be Required if
    Project is on NHS/State System


                                               83
         Contract Specifications
   NYSDOT Specifications
     On National Highway System
     On State Highway

     When Sponsor Does Not Have Approved Specs

   Sponsor’s Approved Specifications
     On Local Roads
     Outside of Highway ROW




                                                  84
      Buy America

•   Sheet Piling
•   Rebar
•   Guiderail
•   Bridge Beams


                    85
           Buy America

• All Project Steel
  Should be U.S.
  Steel

• Waivers in Rare
  Instances
                         86
                Bid Documents
   May Include
       Alternate Bids, If Approved by NYSDOT
   May Not Include
     Proprietary Items
     Warrantee for the entire project

     Typical Retainage (Some Exceptions May Apply)

     Language That Conflicts With Federal Requirements




                                                      87
           Bid Documents
EVERY Contract Must Include
   Standard Federal Clauses
   Federal Davis-Bacon Wage Rates

   NYS Prevailing Wage Rates

   NYS Wicks Law Provisions (Buildings)




                                           88
  DBE & EEO Requirements
Disadvantaged Business Enterprises (Firms)
   Standard Federal Clauses
   Goals for Contracts > $1M

   Supersedes M/WBE Programs



Equal Employment Opportunities (People)
   Standard Federal Clauses
   Female Goal = 6.9%

   Minority Goal Determined by Location

                                             89
90
             Reviewed By RLPL
   Final Contract Documents
      Plans
      Specifications
      Bid Documents
   Engineer’s Estimate
   Construction Management Plan
   ROW Clearance Certificate
   Certifications by Design Professional & Sponsor
   Copies of
      Agreements With Utility Companies
      Agreements With Railroads
      Required Environmental Permits
                                                      91
Authorization to Proceed With
          Construction Phase




                            92
                 OPERATE &      PLAN &
                 MAINTAIN      IDENTIFY
                  FACILITY     PROJECT

       CLOSE                                OBTAIN
      PROJECT                              PROJECT
     AGREEMENT                             FUNDING




CONSTRUCT
 & INSPECT
                        BID &                   EXECUTE
                                                PROJECT
  PROJECT                                      AGREEMENT
                       AWARD
                      PROJECT
                                                 SELECT &
                                                   HIRE
                                               CONSULTANT




           PREPARE
                                     PREPARE
          CONTRACT
                                      DESIGN
         DOCUMENTS
                         ACQUIRE     REPORT
                        PROPERTY



                                                            93
        Advertisement for Bids
   Include DBE Goals
   Place In
     NYS Contract Reporter
     Local Newspaper

   Publish Minimum of 3 Weeks Prior to Bid
    Opening
   How do you amend the contract?


                                              94
    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

                                             95
                     Award

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

   Award to Lowest Responsive & Responsible
    Bidder
   Submit Award Package to NYSDOT


                                               96
              OPERATE &      PLAN &
              MAINTAIN      IDENTIFY
               FACILITY     PROJECT

    CLOSE                                OBTAIN
   PROJECT                              PROJECT
  AGREEMENT                             FUNDING




                                             EXECUTE
              CONSTRUCT                      PROJECT
                                            AGREEMENT
               & INSPECT
               PROJECT                        SELECT &
  BID &
                                                HIRE
 AWARD
                                            CONSULTANT
PROJECT



        PREPARE
                                  PREPARE
       CONTRACT
                                   DESIGN
      DOCUMENTS
                      ACQUIRE     REPORT
                     PROPERTY


                                                         97
    Pre-Construction Meeting
   Required
     After Contract Award

     Before Start of Work

   Attended By
     Sponsor

     Construction Inspector

     Contractor

     NYSDOT

                               98
    Construction Management Plan
   Sponsor Must Develop a Written Management Plan

   Construction Management Plan Should Address
       Contract Administration
       Contract Documentation
       OOC Procedures
       Subcontractor Approvals
       Inspection
       QC/QA
       Labor Relations
       EEO
       Record Retention
       Contract Closeout
                                                     99
     Construction Inspection
   Sponsor Must Provide
   Ensure Compliance
     Plans
     Specifications

     Federal Requirements

   Consistent With Construction Management
    Plan

                                          100
                Change Orders
   Required For All Modifications
   Must be Submitted to NYSDOT
   Minor Changes That Do Not Require
    NYSDOT Approval
     Simple Quantity Increases Within Contract
      Limits and Scope
     Minor New Items Within Scope




                                                  101
               Change Orders
   Major Changes That Do Require NYSDOT
    Approval
     Significant New Items
     Significant Changes

     Outside Contract Limits

     Outside Scope

     Significant Cost Increases

     Limited Federal Aid $ Available



                                        102
        Construction Completion
   Final Inspection
     Performed By Sponsor
     NYSDOT Invited to Attend

   Contract Close-Out
     Accept Contract Work
     Close Contracts With Utilities, Railroads,
      Consultants
     Notify NYSDOT of Project Acceptance



                                                   103
                   OPERATE &          PLAN &
                   MAINTAIN          IDENTIFY
                    FACILITY         PROJECT

                                                  OBTAIN
                                                 PROJECT
                                                 FUNDING




CONSTRUCT            CLOSE                             EXECUTE
 & INSPECT                                             PROJECT
  PROJECT           PROJECT                           AGREEMENT


                   AGREEMENT
                                                       SELECT &
   BID &
                                                         HIRE
   AWARD
                                                     CONSULTANT
   PROJECT




               PREPARE                     PREPARE
              CONTRACT                     DESIGN
             DOCUMENTS                     REPORT
                           ACQUIRE
                          PROPERTY


                                                                  104
           Close Out Documentation


   Final Reimbursement              Project Financial Summary
    Request                          Date Of Most Recent Federal
   Final Acceptance Form             Single Audit
   Acceptance of Work on State      Date Of Consultant Audit
    Highway (Highway Work
    Permit Closed)                     (> $300,000)
   As-Built Plans                   Final Reports
      Work on NHS or SH                 DBE Utilization
      Bridges                           EEO Utilization
                                         Prime Contractor’s Payments

                                                                        105
 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
                                                   106
                                     PLAN &
                                    IDENTIFY
                                    PROJECT

       CLOSE                                     OBTAIN
      PROJECT                                   PROJECT
     AGREEMENT                                  FUNDING




CONSTRUCT               OPERATE                        EXECUTE
    &
 INSPECT
 PROJECT
                           &                           PROJECT
                                                      AGREEMENT

                        MAINTAIN
  BID &
                        FACILITY
                                                    SELECT & HIRE
  AWARD
                                                    CONSULTANT
  PROJECT




              PREPARE                     PREPARE
             CONTRACT                     DESIGN
            DOCUMENTS                     REPORT
                          ACQUIRE
                         PROPERTY


                                                                    107
                  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



                                                108
                Maintain

   Maintain For Useful Life
   If Useful Life Not Attained, Sponsor
    Responsible For Prorated Costs Associated
    With Unfulfilled Life




                                                109
110

				
DOCUMENT INFO
Description: Construction Contract Agreement document sample