Presented by Utah Department of Transportation Mountainland Association of Governments Project Funding Through The Metropolitan Planning Organization

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					             Presented by
  Utah Department of Transportation
Mountainland Association of Governments
  Project Funding Through The
Metropolitan Planning Organization

              Presented by
        Shawn Eliot, Mountainland
What Is A Metropolitan Planning Organization?

   • Metropolitan Planning Organizations (MPO) are
     urbanized areas over 50,000 in population
   • MPO’s are designated by the Governor
   • MPO’s are created to allow more local input into the
     regional transportation needs
   • The MPO board is made up of area mayors, a county
     commissioner, and a representative from UDOT, UTA,
     and the Department of Air Quality
   • The MPO board approves short and long range plans
     for transportation projects within the MPO area
                                                  Utah MPO’s

• In Utah, the planning organizations are:
   – Cache Metropolitan Planning Organization (CMPO)
      • Logan Urbanized Area
   – Dixie Metropolitan Planning Organization (DMPO)
      • St. George Urbanized Area
   – Mountainland Association of Governments (MAG)
      • Provo/Orem Urbanized area
      • Spanish Fork & Santaquin Urban Clusters
   – Wasatch Front Regional Council (WFRC)
      • Salt Lake City and Ogden/Layton Urbanized Areas
       Short and Long Range Planning

• Long Range Planning
  – Long Range Transportation Plan (LRP)

• Short Range Planning
  – Transportation Improvement Program (TIP)
            Long Range Transportation Plan

• The Long Range Transportation Plan (LRP) outlines
  the highway, transit, and other transportation needs
  over 20 to 30 years
   – The LRP is updated every 3 years

   – Must be financially constrained

   – Must conform to air quality plans

   – Must go through a public review process

   – Is approved by the MPO board
  Transportation Improvement Program

• The Transportation Improvement Program (TIP) is
  the MPO’s five-year program of highway, transit,
  and other transportation projects in the area
   – First three years of the TIP are financially constrained

   – Last two years are projects in concept development

   – The TIP lists Local, State, MPO, and Transit Projects

   – Updated annually
                                        TIP Projects

• Projects listed in the TIP include:
   – Those using federal funds

   – All state and local funded projects that are regionally

   – All New capacity projects must come from the LRP
                          TIP Requirements

• The TIP must conform to air quality plans

• Must be made available for public review

• Is approved by the MPO board

• Is adopted by State Transportation Commission
 for inclusion in the State Transportation
 Improvement Program (STIP)
State Transportation Improvement Program

  • The State Transportation Improvement Program
    (STIP) is the TIP but on a statewide level
  • The STIP is a compilation of the MPO TIPS’s and
    the remainder of projects in the non-MPO areas.
  • Approved by the State Transportation Commission
            What Does the TIP/STIP Do?

• Implements the Long Range Highway and
  Transit plans for the Region
• Meets the short range needs throughout the state
• Provides for the maintenance and operation of the
  existing transportation system

• Federal, state, and local funds pay for the
  majority of the transportation infrastructure
• Federal and state transportation funds are
  programmed by UDOT, the Joint Highway
  Committee, Mountainland, and State Parks
• There are 12 federal and state funds available to
  local municipalities
Funding Available to Local Governments

• Apply to Mountainland
   – Congestion Mitigation/Air Quality
      • Projects that benefit air quality or relieve congestion in
        Utah County
   – Urban STP – Provo/Orem Urbanized Area
      • Highway/Transit/Pedestrian Improvements in MPO area
   – Any Area STP – Spanish Fork Urban Cluster
      • Highway/Transit/Pedestrian Improvements in MPO area
Funding Available to Local Governments

 • Apply to Joint Highway Committee
    – Bridge Off System – Local
    – Bridge Optional - Local
       • Local bridges with poor sufficiency rating
    – Non-Urban Area STP
       • Highway/Pedestrian Improvements in non-urban areas
    – Small Urban Area STP
       • Highway/Pedestrian Improvements in Urban Clusters
    – State Parks Access
       • Highway/Pedestrian Improvements into state parks
Funding Available to Local Governments

• Apply to UDOT Region 3
  – Any Area Safety – Railroad Crossings
  – Any Area Safety – RR Protective Devices
  – Corridor Preservation
      • Preservation of ROW for large corridors
  – Transportation Enhancements
      • Landscaping/Pedestrian Improvements statewide

• Apply to State Parks
   – Recreational Trails
      • Pedestrian Improvements
                 Applying for MPO Funds

• Mountainland sends a Concept Report
  Package in August each year to:
  –   Municipalities
  –   County
  –   UDOT
  –   UTA
                 Applying for MPO Funds

• Steps in applying for MPO funds
  – Letter of Intent
     • Letter from mayor stating the projects that will be
       submitted for year
     • Due end of October
  – Concept Report
     • MPO application that includes project information
       including estimated cost
     • Due end of January
              Applying for MPO Funds

– Field Review
  • One day trip to review projects
  • Sponsor gives overview and answers questions
– Selection Committee
  • Committee is made up of technical and political
  • Evaluates projects benefits
  • Recommends projects to MPO board
  • MPO Board approves projects to be funded and
    places them on TIP
Project Funding Through The
 Joint Highway Committee

            Presented by

   George Thompson, UDOT Planning
             Joint Highway Committee

• Joint Highway Committee (JHC)
  – Policy body for rural and small urban areas
  – Comprised of 15 members of Utah Association
    of Counties and 15 members of Utah League of
    Cities and Towns
  – Semi-Annual meetings (April and September)
      Project Funding Categories

• Non-Urban Programs
• Small Urban Program
• State Parks Access
• Bridge Replacement Program
                    Funding Eligibility

• Bridge Replacement Policy: Sufficiency
  Rating <50
• Major Collector in rural area
• Enhancement Project
 Revisions to the Federal-Aid-Eligible Highway System
                                                 (UDOT Policy 07-25)

• This Policy and other UDOT policies and procedures can be found on
  the web at:

• The purpose of this policy is to define the procedure used by UDOT to
  revise the functional classification of highways in the federal aid
  eligible system.

• Every five years each roadway in the F. A. eligible highway system ,
  along with roads proposed for inclusion in the system, is reviewed in
  consultation with local agencies, the UDOT region directors, MPO’S
  & FHWA.

• Some annual reviews are performed for needs that were unforeseen
  during the regular 5 yr. System review process
    Local Government Assistance Main Page

• B&C Funds Information:
  – Regulations Governing Class B&C Road Funds
  – Date of Last Submittal of Class B or C Mileage
    From Counties and Municipalities (PDF; 6 pages)
  – Procedure and Form for submittal of Class B or C
     • Changes to UDOT (PDF; 4 pages)
  – Class B&C Road Fund Distribution
  – 2000 Annual Statistical Summary
     • (PDF; 49 pages – contains 2000 B&C Fund Distribution)
Cooperative Agreements

                  Presented by
Lori Dabling, UDOT Transportation Project Manager   Ph: 801-227-8081
What is a Cooperative Agreement? (1 of 3)
What is a Cooperative Agreement? (2 of 3)

   • A Co-op is an agreement between
     participants to define roles and
     responsibilities to reach a specific goal
What is a Cooperative Agreement? (3 of 3)

     • Legal Instrument:
        – Between the federal & local government to
          accomplish an approved public project
     • Different from a Grant:
        – There is substantial federal involvement
     • FHWA directs the State DOT’s to oversee
       Local Agency projects:
        – Responsible to ensure compliance with
          federal regulations
What Does the Cooperative
   Agreement Define?

• Local Agency and DOT relationship, roles
  and responsibilities

• Funding details for each project phase:
   –   Preliminary Engineering
   –   Right of Way
   –   Utility Relocations
   –   Construction Engineering & Project
Parts of the Cooperative Agreement
                  (1 of 4)

  • Identification of the Project Funding

    Examples of Project Naming Convention:
       • STP (Surface Transp Program)
       • CM (Congestion Mgt/Air Quality)
       • BHO (Bridge Rehab)
       • BRO (Bridge Replace)
Parts of the Cooperative Agreement
                 (2 of 4)

• Description of Financial Provisions

  – Total Funding Amount
  – Cost-sharing Percentages and Amounts
Parts of the Cooperative Agreement                           (3
                           of 4)

 • Description of Co-op Work Activities
   – General activities include design, environmental, right of
     way, utility relocation & construction

 • General Provisions:
   – Cite the reference source for the agreement’s
     administrative requirements
   – Define responsibilities (incl. liability, reimbursement, cost
     over/underrun, termination, consultant selection, State
     Inter-local & conflict of interest clauses)
Parts of the Cooperative Agreement
                   (4 of 4)

  • Special Provisions:
    – List requirements specific & unique to
      the project (match donations, special
      funding limitations, etc.)

  • Execution Date:
    – Defines the date work is authorized
Funding Authorization Form R-709

                    Form R-709 is
                     submitted by

                    FHWA reviews
                     and approves
                     authorization to
                     proceed with
          Cooperative Agreement Flow Chart
                                                    Design Phase
Concept      Concept    STIP                 (Phase incl Approv/Auth’s
 Phase        Report   Approval                for Design Exceptions,
                                                Enviro Doc & DSR)
   PS&E (Plans,
 Specs, & Estimate)     PS&E               Advertise    Construction
   Design Phase        Package              Package        Phase

                       UDOT        ROW
                       ROW         Fund
                       Review      Auth
Cooperative Agreement Process:

• Local Agency contacts UDOT Project Manager to
  request initiation of Co-op
• UDOT Project Manager prepares Co-op
• Local Agency reviews Co-op & completes agency
  resolution process (Mayor or Council Signature)
• UDOT Project Manager forwards Co-op to UDOT
  Consultant Services for final approval and execution
• FHWA reviews & approves Co-op authorization
  Federal References for
 Cooperative Agreements
• CFR (Code of Federal Regulations)
   – Title 23 – Highways
   – Title 32 – Money and Finance: Treasury
   – Title 49 – Transportation (Incl 49 CFR Part 18,
     Uniform Admin Req’s for . . . Co-op Agree’s to
     State & Local Gov’ts

• OMB (Office of Mgt and Budget)
   – Circular A-102 & A-128

• US DOT Order 4000.8A (8-17-82)

• US DOT Order 4600.9C (7-14-88)
UDOT Project

       Presented by
   Brent Schvaneveldt,
 Phil Huff, & Greg Searle
Region 3 Project Managers
     Elements of the Process and

• The Utah Department of Transportation (UDOT)
  has certain oversight responsibilities as outlined in
  section 23 of the Code of Federal Regulations
  (23CFR). UDOT’s oversight in no way eliminates
  or reduces the Local Agency’s responsibility
       Elements of the Process and

• UDOT, in working with the FHWA, has
  developed a process for the design and
  advertising of construction projects. The
  local agencies are required to use this
  process to develop projects. UDOT has
  worked with the FHWA through
  stewardship agreements to streamline the
  process as much as the law will allow
       Elements of the Process and

• The Local Agency (City or County) is responsible
  for the quality, scope, schedule and budget for the
  project they are sponsoring
• The Local Agency is responsible for the oversight
  of any consulting engineering or other
  professional services used on their project
• The Local agency and its engineer are responsible
  for seeing that all of the appropriate standards are
  met - AASHTO, MUTCD, NEPA, etc.
       Elements of the Process and
• Since all projects must bid through UDOT, the
  appropriate documents and approvals must be
  obtained prior to bidding. These include:
   –   Environmental Document with attachments
   –   Design Exceptions
   –   Design Study Report
   –   PS&E Review (Plans, Specifications,and Estimate)

• All Projects are advertised in English Units
• All new projects will be advertised electronically
      Elements of the Process and
• UDOT’s review of the project at the DSR, PS&E and
  final review stage will be to assure the process is being
  followed and the project is biddable. The local agency
  and their engineer are responsible for quality and
  meeting standards. Where standards are not being met,
  the designer is responsible for preparing the Design
  Exception Report and forwarding it to UDOT for
  approval. At any time in the process, if it comes to the
  attention of UDOT that standards are not being met, it
  will be brought to the attention of the Local Agency
  and the designer so appropriate steps can be taken.
        Elements of the Process and
• Where budget issues are concerned for projects,
  the Local Agency is responsible for covering
  budget shortfalls. The only relief possible is to
  reapply to the MPO for additional federal funds.
        Elements of the Process and
• UDOT will provide a Project Manager to be the
  point of contact between the Local Agency and the
  UDOT & FHWA. The Project Manager will be
  responsible for tracking the project and assisting
  with coordination. He/she is not responsible for
  project quality, scope, budget, or the schedule.
  These are the Local Agency’s responsibilities.
     UDOT Project Manager Role

• Assist Local Agency as requested and
  monitor expenditures
               • STIP Approval
Administrative •   Project Initiation
  Milestones •     Kickoff Meeting

               • Environmental Document

               • Field Review

               • Design Study Report (DSR)

               • Right of Way Coop. Agreement

               • Plans, Specs, and Estimate (PS&E)

               • Advertise

               • Construction
       STIP Approval

• After STIP Approval

• Contact the project manager to discuss project

• Local to submit Concept Report to Project

• $10,000 in Federal Funds set aside for project
  manager/UDOT costs.
                        Project Initiation

• Develop Scope with Local
• Develop Independent Cost Estimate For
  Design with Local
• Design Cooperative Agreement
• Consultant Selection
• Consultant Contract
• PDPMS Update
                 Kickoff Meeting
•   Attendees include:
•   Local Agency
•   UDOT
•   Consultant
•   Other affected Agencies
•   Items Covered in Meeting
•   Project Charter
•   QC/QA Plan
                     Project Charter
–   Project goals
–   Communication plan
–   Scope of work
–   Schedule
–   Budget
–   Activity/Hour assignment sheet
–   Team members
–   Signature sheet, signature shows support and
    commitment to the project goals and objectives
                           QC/QA Plan
• Required for each project and includes:
  – General description of plan
  – Activity signoff sheet for Quality Control and
    Quality Assurance
  – Quality control is signed by designer other than
  – Quality Assurance signed by CEO of firm
                           Field Review

• Field Review with UDOT

   – Set up by Local Government/ Consultant in
     coordination with UDOT Project Manager
   – Must be completed before Design Study Report
   – Project team reviews all major design elements and
     makes design recommendations
   – Local and Consultant oversee the quality of plans
     and ensure adherence to AASHTO Standards
    Environmental Document

•   Three types of documents
    1. Categorical Exclusion (Most common)
    2. Environmental Assessment (FONSI)
    3. Environmental Impact Statement (Record
       of Decision, takes up to 5 years to get approval)
    Classification determined by significance of impacts and level of
•   Approval by:
    – Region Environmental Engineer
    – Chief Environmental Engineer
    – FHWA
       Public information meetings are encouraged for each project
   Environmental Document

• Environmental Document and
  DSR must be approved before:
• The final design phase (PS&E)
  can begin.
• Any right-of-way acquisition
  work can begin
Design Study Report (DSR)
 • Reviewed for completeness of scope and design

 • Check of engineering estimate versus funding

 • Recommendation for approval by UDOT Project
   Manager and Approved by Region Director

 • After approval of DSR, UDOT obtains Federal approval
   for final design
Right of Way Cooperative Agreement

• Shotgun estimate submitted by
• UDOT Right of Way reviews shotgun and
  submits R-709 for funding
• UDOT PM prepares coop. based on all right-
  of-way costs
• Local hires an appraiser and acquisition agent
  off of the UDOT approved list. Costs are paid
  by the project.
               Plans, Specificatioins, and
                 Estimate Review (PS&E)
• Plans, specifications and Estimates are complete and ready for review.
• The QC/QA has already been completed and submitted by consultant
  with PS&E package
• Estimate already in UDOT system

     UDOT PM reviews for compliance with federal process
•   UDOT PM reviews to verify that designs include:
     – Design Study Reports (DSR)
     – Environmental Mitigation commitments
     – Signatures, Stamps, and Certificates
•   UDOT PM verifies plans are biddable
•   UDOT PM reviews budget
•   UDOT PM monitors charges from UDOT Resources
•   Local/Consultant review plans, specifications and estimate
• All projects are advertised through UDOT
• Local/Consultant completes advertise checklist for
  submittal to UDOT PM
   – Right of Way Certification, Form to Region
   – Utility Certification, Letter from Region
   – Traffic and Safety Certification, Letter from Region

• UDOT PM reviews package for biddability and
  availability of funding
• Local/Consultant responsible for final review of
  advertising package
• Submit final advertising package to UDOT PM
•   Construction Cooperative Agreement, Combines all costs
    (Begin at PS&E Review)
•   Scope, Estimate, (before adv.)
•   Consultant Selection for Construction Engineering. (before adv.)
•   Consultant Contract (before adv.)
    1.   Detailed work plan 2. Staffing plan 3. Schedule 4. Cost estimate
    5.   QC/QA plan 6. Certification of insurance
•   During construction
•   Local manages day to day project activities
•   UDOT PM to process Consultant pay requests
•   Region Contracts Specialist processes construction invoices
•   Local Authority reviews change orders before approval
•   UDOT PM reviews change orders and recommends them for approval,
    Region Director signs approved
•   Local is responsible for cost overruns, Local can go back to MPO or JHC
    and request additional funding
   – Modifications can be made for both the engineering
     contracts and cooperative agreements
   – Remember, time is money, the longer a project takes to
     complete the more it costs.

• Reasons for a modification:

• 1. Change of scope during design or     construction
• 2. Contract time extension
  Design Process/Time Frames

           Presented by
          Merrell Jolley
UDOT Region Preconstruction Engineer
Local Government Project Design Training

           OR Why Have Standards
Standards help to
keep us on the right
 The Regulations for Roadway Design and
 Construction are contained in Title 23 of the

MAIN POINT: All projects funded with FHWA $ must meet federal regulations.
The code refers to the State Highway Agency as having the responsibility for
oversight when funds are being used by a local agency.

Visit for a review of the complete text of the federal regulations.
                  Standards That Apply

• A Policy on geometric design of Highways and Streets
• Manual of Uniform Traffic Control Devices for Streets
  and Highways by FHWA
• Roadside Design Guide by AASHTO
• Standard Specifications for Highway Bridges by
• Guide for the Development fo Bicycle Facilities by
Major Elements of the Design Process

• Concept Phase
• Preliminary Engineering
• NEPA Document
• Design Study Report (DSR)
• PS&E Review
• Final Review and Advertise
A Request for Federal Aid Project Approval
Authorization and/or Agreement, Form R-709
must be prepared and approved before beginning
work on major project elements.

Funding Could be Jeopardized if actions not Properly Authorized !!!!!!
 Concept Phase

• Done as part of MPO or JHC application
        Design Study Report (DSR)

• A document that brings together the major
  elements of a project and confirms that the
  project is heading in the right direction prior
  to expending the effort on final design
         Major DSR Elements Are:

• Operational Safety Report (OSR) May or May not
  be available for local government project. This
  report outlines three years of accident history and
  makes recommendations regarding safety upgrades.
• Approved Environmental Document. May use just
  the approval signature sheet. The designer and
  local government reviewer must assure all
  commitments from environmental document are
           Major DSR Elements Are:

• A current but not final Estimate
  – Estimate should not exceed available funding

• Approved design exceptions if any
• Approved Pavement Design (by Region
  Pavement management Engineer)
        Major DSR Elements Are:

• Concept and Scoping reports along with minutes
  from field reviews
• Location Map
• Typical Sections
• Preliminary Plans (alignment & project limits)

 For local Governments the DSR is approved by the
 UDOT region Director at the Recommendation of
 the Project Manager. Does not need to be a huge
With the approval of the environmental document
and DSR can proceed with finalizing plans &
prepare PS&E Package (Plans Specification and
Estimate). Can also start the purchase of right-of-
way with the completion of the Environmental
Document. And R-709 Approval

• PS&E Review
  – Detailed review of Plans Specifications and
    Estimate (QC/QA should have been done
  – Local government needs to review the
    engineering elements, and assure compliance
    with standards. IF project is on a state highway
    UDOT will do a more thorough review of

– UDOT review is to assure bidability - i.e. Plans and
  specs provide adequate information such that:
   •   Bidders know what they are required to build
   •   There is a mechanism to pay for required items of work
   •   Bidders know limitations on how/when they perform the work
   •   There is agreement between plans, specs and bid items

– Review takes 2 to 4 weeks
  Takes 2 to 4+ weeks to make revisions
                Final Review and Advertise

• Make sure PS&E comments
  are addressed
• Double check biddability
• Plans need to be stamped
  and approved by the Design
  Engineer and approved by
  the local Government

• Region needs package two weeks prior to desired
  advertising date
• Projects are advertised for 4 weeks
   – Plans must be in to SLC Construction Division one
     week before advertising
   – Bids are generally opened on a Tuesday
• 6 weeks from bid opening to Notice to Proceed
     Overall Project Time Line can
                       vary greatly

• Most projects require at least 2 years to get
  through design phase!
• This could be considerably longer if there are
  complex environmental, right-of-way, utility or
  railroad issues.
• Plan for it!

     Electronic Plan Room

• Intent:
  – UDOT wishes to improve customer service by
    allowing access to plan sets on-line.
  – To help in achieving the Governor’s goal of
    leading the nation in technology.
  – Create a comprehensive library
    of UDOT electronic plans.
      Electronic Plan Room

• Current status of implementation
   –Dedicated server for EPR operational.
   –Plan room partially populated with plan sets.
   –Beta testing being conducted by contractors.
   –Technical requirements released to users.
      Questions on these requirements contact Bob
      Peterson at 965-4041. Requirements also included
      in handout.
      Electronic Plan Room
• In-Progress Activities
   –Training for UDOT personnel, consultants, and local
    governments has taken place on the set-up of plans only
   –Design process being modified.
   –Specifications will be written in Word or Wordperfect
    and converted to PDF files.
   –Rule changes for CADD use being
    developed. The changes are aimed
    at the AutoCADD users and the
    conversion to Microstation.
      Electronic Plan Room

• In-Progress Activities (continued)
   – Accounts for all users being set-up.
   – Security of the system is being
     developed. With the current
     approach of only account users
     being allowed the ability to download plans, while
     anyone can view the plans.
   – Continued training on specification set-up and the
     conversion to PDF files.
     Electronic Plan Room

• Future needs and plans
  – Constant evaluation and
    improvements to system.
  – Receive customer feedback.
  – Develop process for Orange Books and
    Innovative Contracting methods.
  – Determine FTE requirements and
    responsibilities for those areas affected by EPR.
   Local Government

           Presented By
Alex McCracken – LG Contract Specialist
      Marie Walton – CS Manager
                       The Brooks Act
• Public Law Enacted
  October 19, 1972
• Architectural Engineering
• Qualification-Based
  Consultant Selections
• RFQ Selection/Negotiations - Ranking Order
            Cooperative Agreement

– Joint Compilation - UDOT Project Manager and
  Local Government Project Manager
– Signed by Local Government and UDOT
– Reviewed By Consultant
  Services and Comptroller’s
     Consultant Selection Methods
• Request for Qualifications (RFQ)
  – Standard RFQ
  – Streamlined RFQ
• UDOT General Engineering
  – Other Pools
• Engineer of Record –
  FHWA Approved
                                 Standard RFQ
• Large, Complex Projects
  –   Usually over $500 k
  –   Choosing by Advantage
  –   Shortlist - Required
  –   Interviews – Optional
  –   Negotiations – Mandatory

• Advertisement – Two Saturdays
• Averages 17 Weeks
                            Streamlined RFQ
• Requirements:
  – Simple Projects
  – $200 k to $500 k
  – Project Funding Must be
    Intact Before Advertisement
• Selection Team
  – UDOT Project Manager – Mandatory
  – UDOT Functional Representative – Mandatory
  – 3rd Representative – Mandatory (May be Local Gov.
                    Streamlined RFQ

• Statement of Qualification Criteria
    – Project Team/Projected 2 Year Availability
    – Capability of Consultant/Experience
    ****NOTE: No approach to project!

•   Interviews – Optional
•   Advertisement – Two Saturdays
•   Team Member Meeting/Conference
•   Average 4 Weeks
            General Engineering Pool

• Current Pool Period
  –   July 1, 2001 – June 30, 2003
  –   17 Disciplines
  –   Financially Screened
  –   Selected by Ranking
• Projects Under $200k
  – No Project Phasing
                        Engineer of Record
•   May Be Used By Local Governments
•   RFQ Selection Process
•   Duration – 2 years
•   Documentation Required for
    Federal Approval
    – Advertisement, Selection, Documentation
• Must do ALL Design/Construction Engineering
  Work for the city (applies to federally funded
                      Contract Process

• UDOT Project Manager Submits
  – Scope of Work
  – Independent Cost Estimate
• R-709 Form
  – 505 PDPMS Screen Print
  – Request Memo (overhead rate)
                          Contract Process

• Consultant Submits
  –   Cost Proposal
  –   Work Plan
  –   QC/QA Plan
  –   Staffing Plan
  –   Work Schedule
  –   Certificate of Insurance – Project Specific
                       Contract Process

• LG Project Manager Submits
  – Letter of Concurrence
     •   Exact Approval Amount
     •   Project Completion Date
     •   Project Information
     •   Identify Consultant Selected
                         Contract Process

• Consultant Services
  –   Generates Contract
  –   Routes Contract for Signatures
  –   Gives Notice to Proceed
  –   Provides Assistance to Local Government and
      UDOT Project Managers
                     Modification Process

• Same Items As New Contract
    •   Updated Scope of Work/Work Plan
    •   Updated ICE/Cost Proposal
    •   Updated R-709 and 505 Print Out
    •   Updated Insurance Certificate
    •   New Letter of Concurrence
         – Exact Approval Amount of Modification
         – Completion Date
         – Project Information
                    Project Completion
• Project Evaluation
   – Initiated By Local Government
   – Signed By All Parties (LG, UDOT, Consultant)
   – Submitted to Consultant Services

• Retainage Release Request
   –   Initiated By Local Government
   –   All Invoices Submitted By Consultant
   –   Signed By All Parties (LG, UDOT, Consultant)
   –   Submitted to Consultant Services

How to Be Successful with the
      Environmental Process

   • Introduction to NEPA

   • Public Involvement

   • Tips for Success

• National Environmental Policy Act

• Any Federal Action Triggers NEPA

• Collection of environmental laws
  – Clean Water Act
  – Endangered Species Act
  – National Historic Preservation Act

• Regulations for NEPA
  –   NEPA Statute
  –   CEQ Regulations for Implementing NEPA
  –   US DOT Regulations for Implementing NEPA
  –   Other Guidance
       • FHWA Technical Advisory

• Objective – Consider the effects of projects on the

• Purpose is to make good decisions

• Three types of Documents
   – Environmental Impact Statements
   – Environmental Assessments
   – Categorical Exclusions
Environmental Impact Statements

• Prepared when:
  – Project is controversial
  – Project will have significant
    impacts on the environment
  – Project characteristics consistent with EIS
     • Example is new 4 lane roadway
Environmental Impact Statements
• How long do they take?
   – National average is about 5 years
   – UDOT average is about 3 years
• How much do they cost?
   – Current projects have ranged from $600,000 to $19 million
• Why does it cost so much?
   – In addition to environmental approval, Preliminary Engineering
     (30%+), Surveys, Project Footprint, hydraulics, etc.
• What is the end result?
   – Record of Decision – Advance project or not?
    Environmental Assessments

• Prepared when:
  – Significance of impacts is unknown

  – Project characteristics consistent with EA
     • Most urban widening projects begin this way
    Environmental Assessments

• How long do they take?
   – National average is about 18 months
   – UDOT average is typically about the same
• How much do they cost?
   – Average in Utah is about $500,000 to $1 million
• What is the end result
   – Two possible results
      • Finding of No Significant Impact (FONSI)
          – Proceed with final design & construction
      • Recommendation to prepare an EIS
             Categorical Exclusions

• Activities “Categorically Excluded” from
  having to prepare an EA or EIS
  (23 CFR 771.117)

• Past history has shown no
  significant impacts from
  these types of projects
           Categorical Exclusions

• How long do they take?
  – About 3 months to 1 year
• How much do they cost?
  – Depends on nature of project
• What is the end result?
  – Approval – Proceed with final design and
                                   Section 4(f)

• Requirement for consideration of parks and
  recreation lands, wildlife and waterfowl
  refuges and historic sites
• Adds time
  – Programmatic, a few weeks
  – Individual, at least 90 days
                          Public Involvement

• All projects have a public involvement
   –   Press Releases
   –   Public Meetings
   –   Public Hearings
   –   Public Opinion Polls
   –   Newsletters
   –   News Articles
                         Public Involvement

•   Why do Public Involvement?
    –   Important component of Context Sensitive
        Solutions (CSS)
        •   Meet the transportation need
        •   Be an asset to the community
        •   Be compatible with the built and natural environment
    –   Public are our customers, it’s the right thing to
    –   Legal requirements
    –   Issue identification

• The No-Build alternative is an option for all
  EA’s and EIS’s.

• Not all consultants
  have the expertise necessary for
  complicated projects.
                          Tips for Success
• Get the right team
• Realistic Schedule
  – Complications take more time
  – Design changes take more
    study and time
• Understand the Intent
  – NEPA intended to help make excellent
• Read the Document!
   – Documents are intended for public
   – Make sure the document is consistent
     with other plans
   – Most projects have environmental commitments

• Involve the Public
   – Never been penalized for too much coordination

• Ask Questions
Right of Way for LPA’s and
     interested others!

             • What Local Public
               Agencies need to know
               regarding the Acquisition
               of Real Property in the
               State of Utah.

             • Presented by: Karen Stein
               UDOT R/W Division

 The Goals and Objectives of this
• Provide basic guidelines for Acquisition and

• Provide a brief overview of controlling legal rules
  and regulations.

• Provide an overview of basic policies and

• Provide resource information.
Controlling Legislation, Rules &

•   Eminent Domain
•   U.S. Constitution
•   Uniform Act
•   Federal Regulations
•   Utah Statutes
                         Eminent Domain

•     The power of the government to take
    private property for public purposes with
    payment of just compensation.

                       U.S. Constitution

    Fifth Amendment / Bill of Rights

• No person shall be deprived of life, liberty,
  or property without due process of law

• Private property shall not be taken without
  payment of just compensation
                              Uniform Act

                   Federal Law
• Uniform Relocation Assistance and Real Property
  Acquisition Policies Act of 1970, (as amended)
• Public Law 91-646
• 42 U.S.C. 4601, et seq.
• 49 CFR Part 24
• All address rights of property owners & displaced
  persons (renters, etc.)
             Uniform Act (continued)

• Applies to
  – All Federal and
  – Federally-assisted Projects
• Establishes minimum requirements for
  – Real property acquisitions (including the
    appraisal process).
  – Relocations

               Uniform Act Objectives
• To provide for the uniform, fair and equitable
  treatment of persons whose real property is
  acquired or who are displaced, in connection with
  Federally funded projects.
• To ensure such persons do not suffer a
  disproportionate impact as a result of projects
  which benefit the public.
• To encourage and expedite acquisition by
   Uniform Act Objectives (cont.)

• To minimize litigation
  and relieve congestion
  in courts.
• To promote public
  confidence in
  Federally funded land
  acquisition programs.
• Fairness and Equity!

Uniform Act : Implemented Rules
            see 49 CFR Part 24:
     49 CFR Part 24                • Adds rules for
• Provides :                         Acquisition processes
                                   • Includes Rules for
    General Information and
     Definitions for Acquisition     Appraisal practices
     & Relocation
                                   • And, adds rules for
    Acquisition Requirements        relocation assistance
     including Appraisal and
     Appraisal Review Criteria

    General Relocation
     Acquisition Rules: (Including
                 Appraisal Rules)

• Right to Receive Just Compensation
• Determination of Just Compensation by a
  Court of Law.
• Right to an Appraisal.*
  – (Appraisal Waiver possible under $3500)
• Right to Accompany the Appraiser
                 More Acquisition Rules:

• Donations Must Be Voluntary.
    – Owner has the right to know the value of the donated
      property but can waive that right voluntarily.
•   No Coercion.
•   Written Offer and Summary Statement.
•   Payment Before Possession.
•   Offer to Acquire Uneconomic Remnants.
•   Reimbursement for Expenses Incidental to the
    Transfer of Title
  Relocation: Persons eligible for
                    Assistance ?

• “Displaced Persons”

     Any person who moves from the real property
    or moves his or her personal property from the
    real property as a direct result of a written
    notice of intent to acquire, the initiation of
    negotiation for, or the acquisition of, such real
    property in whole or in part for a a project.
    Persons who are ineligible for

• Persons Not Displaced:
  – Person who moves prior to offer.
  – Person who occupies after the acquisition.
  – Person who occupies for the purpose of
    obtaining assistance under the Uniform Act.
  – Persons temporarily displaced.
  – Persons not legally present in the US.
         Relocations Highlights:
  Occupied Residential Properties
• Minimum 90 Day Notice to Vacate
  – From date available Decent Safe & Sanitary (DS&S)
    replacement homes of like utility are made available .

• Replacement Housing Payments
          180 day homeowners - $22,500.
• Replacement Housing Payments
          90 day owners/tenants - $5,250

• Last Resort Housing
         Non-Residential (Business)
            Relocation Highlights:
• Moving Expense Payments (No Cap)
  – Expenses must be Reasonable & Necessary.
  – Includes Searching Expense ($1,000 Max).
• And, Business Reestablishment Payments
  up to $10,000.
• Or, Fixed/In lieu Payment up to $20,000
  – Based upon average annual income derived
    from the business over past 2 complete years.
   Utah Relocation Assistance Act
• Title 57 Chapter 12
• Enacted in 1972, *last amended in 1998.
• (Basically, Utah adopted the Federal Act verbatim
  per 1998 UDOT/FHWA Stewardship Agreement).
  *(Amendments added additional protections.)
• Purpose: (As with the Uniform Act)
   To establish a uniform policy for the fair and
  equitable treatment of persons displaced by the
  acquisition of real property by state and local land
  acquisition programs…
   Federal Standards Apply under
                    the Utah Act:

• When Federal Funds are available and used
  for any part of the project.
           Utah Act Exceptions from
          Uniform Act Requirements
• When Federal Funds are not available :
   – Agency may provide direct financial assistance to
     persons displaced.

   – Agency must provide relocation assistance to displaced
     persons but the level of that assistance is based upon
     the agency’s rules.

   – If financial assistance is provided it shall not exceed
     the total amount that would have been payable under
     the Uniform Act.
       Utah Code…Enhancements to
            Uniform Act provisions.

• Exceptions or Enhancements Under Code
  Section 57-12-14

   – Owners have the right to an additional
     appraisal at the entity’s expense, if owner
     requests it and the Ombudsman or an agent he
     appoints considers it necessary.
   Code Enhancements continued..

• Utah State Code (Section 63-34-13):
   – Property Owner has the right to consult with the Sate of
     Utah Private Property Ombudsman regarding rights and
     responsibilities in Eminent Domain Proceedings.
   – State Code allows for Alternate Dispute Resolution
     (mediation/arbitration) through the office of the
     Ombudsman at property owner’s discretion.
   – Owners have the right to request Arbitration of takings
     issues and relocation issues through the Ombudsman
     even it the entity objects.
 Information Resources Available
                       to LPA’s

• Real Estate Acquisition Guide For
  Local Public Agencies. (FHWA

• City Acquisition Brochure.          (Utah League
  of Cities and Towns publication.)

• Online resources from FHWA and other Websites.
      Acquisition/Relocation Web
          Resource Sources
 FHWA    (real estate section)

 UDOT  
  (Consultant Services information including lists of approved agents for
   R/W services.)



 NHI     Training Info)

 IRWA    (For additional training and other
               How to be Successful in
                     Acquiring R/W :
• Submit ROW              • LPA agrees to use UDOT
  appraisals to UDOT        pre-approved appraisers,
                            negotiators & relocation
  ROW for review
                            agents on project
• Obtain approval to      • Obtain permission from
  utilize pre-approved      UDOT ROW to use
  fee review appraisers     qualified LPA employees to
     Tools for R/W Acquisitions:
 Cooperative (Co-Op)Agreements
• Work with the UDOT Project Manager and
  develop terms of the Cooperative Agreement with
  him or her.
• Items to be included in the agreement:
   –   Appraisals
   –   Appraisal Reviews
   –   Acquisitions
   –   Relocations
   –   Closings
   –   Condemnations
     Processes to be included in the
                 Co-Op Agreement:
• Submit ROW appraisals to            OR
  UDOT ROW for review
                               • Obtain permission from
                                 UDOT ROW to use
                                 qualified LPA employees
• Obtain approval to utilize
                                 to negotiate/relocate.
  pre-approved fee review
                               • See UDOT Consultant
• LPA agrees to use UDOT         Services Section for
  pre-approved appraisers,       approved agents.
  negotiators & relocation
  agents on project
      Under the COOP Agreement:

• Agency is to seek technical assistance from
  UDOT R/W (lead agency) and/or advisory
  assistance if needed.

• Agency must Certify ROW clearance when all
  ownerships are acquired either via negotiated
  settlement, Occupancy Agreement or Order of
  Occupancy. (And, if applicable, appropriate
  relocation assistance has been offered.)
    How to be successful in certifying
      rights of way for your projects

• Meet with UDOT ROW lead to plan acquisition
  strategies and have cooperative agreement ratified.
• Understand & administer the controlling rules and
  regulations fairly and equitably.
• Employ qualified, approved staff and/or
  consultants to facilitate the processes.
• Be proactive in communicating with UDOT ROW
  lead on emergent challenges.
     Consequences of Non-Compliance
        with the Rules and Regulations

•   Jeopardized funding for the entire project.
•   Increased/unnecessary Legal expenses.
•   Public relations fiascos.
•   Increased risk of a legislative “fix”.
              Review and Conclusion:
• You now have the basic guidelines for Acquisition
  and Relocation in Utah.

• Hopefully you now have at least a basic
  understanding of what must be done to be in
  compliance with Federal and State Regulations.

• Most Importantly…you now have resource
  information to draw from.
Thanks for your attention!
         • If you need additional
           help let me know.
         • I can be reached at
           (801) 965-4057 or
           (801) 633-6251
         • Email:
Construction Engineering
         Construction Engineering Module

         Why Is UDOT Involved?

• 23 CFR - § 635.105
  – UDOT is responsible for all Federal-Aid highway
    projects, even if completed by local public agency

  – UDOT insures adequate supervision of projects so that
    all Federal requirements are met

  – UDOT procedures are approved by FHWA for Federal-
    Aid Projects.
       Construction Engineering Module

     Local Government Staffing

– Local Agency uses own engineering forces
  Local agency uses a consultant that is the Engineer of
  Local agency or UDOT contracts with a consultant
  engineer to perform construction engineering services
  on a project by project basis.
    Construction Engineering Module


UDOT Project Manager:

       Continues to provide project oversight
       through construction.

       Signs all change orders.
    Construction Engineering Module


Region Construction Engineer:
       Provides input on all major project
       decisions during construction

       Reviews and signs all change orders and
       pay estimates

       Makes periodic process reviews to
       verify compliance with procedures

Region Contracts Reviewer

Reviews project at completion for
Assists in periodic process reviews
         Construction Engineering Module
 Construction Management Duties

• Local Government Project Engineer
    -Coordinates all monitoring of project
   -Serves as primary contact between UDOT and
  -Coordinates with Region Construction Engineer
    for approval of change orders and contractor
  – Oversees day to day functions on project
     • Inspection, Materials testing, Project accounting
         Construction Engineering Module

 Construction Management Duties

• Project Inspection
  – Inspector on site during construction activities
    to Insure all work completed by contractor is
    documented as per UDOT standards
     • Field Books, Daily Diaries, EEO Reports

  – Verify all items included on partial estimate
    have been completed in accordance with
    contract, including materials certification
           Construction Engineering Module

  Construction Management Duties
• Materials Testing and Acceptance
  – FHWA requires that all materials sampling and testing
    be completed by qualified persons and laboratories as
    per 23 CFR § 637

  – UDOT Quality Assurance Program is currently
    recognized by FHWA as meeting the requirements for
    Federal projects

  – All sampling and testing must be done by persons
    “WATQC” certified.
         Construction Engineering Module

  Construction Management Duties

• Materials Testing and Acceptance

     • Minimum Sampling & Testing Requirements

           • Publication outlines testing methods and frequencies
             for all materials incorporated in the project

           • Publication is found on Dot's website
         Construction Engineering Module

  Construction Management Duties
• Materials Testing and Acceptance

 For information regarding UDOT Quality
 Assurance Program contact:

 Tim Biel, UDOT Engineer for Materials
 Office Telephone (801) 965-4859
             Construction Engineering Module

   Construction Management Duties
• Project Accounting & PDBS (project development business system)
    – Local agency or consultant must have individual trained
      in the use of UDOT Project Accounting and PDBS

        • Project Accounting used to document project progress, and
          create partial pay estimates for the contractor

        • PDBS is a database used to summarize project information
          Construction Engineering Module

  Construction Management Duties
• Project Accounting & PDBS
  – Lack of continuous training has been has been

  – Project accounting & documentation training is offered
    periodically at the region by Dorothy Smiley Phone #
    227-8014      E-Mail:

  – Software Training is available from UDOT Central
      Construction Engineering Module

Construction Management Duties

For information regarding Project
Accounting and PDBS software training

Blaine Bailey, UDOT
  Office Telephone (801) 965-4343
       Construction Engineering Module

                       Helpful Resources

• UDOT Website:
• UDOT Manual of Instruction – Construction
• 2002 Standard Specifications
• UDOT Minimum Sampling and Testing
  Requirements (
• Contract Administration Core Curriculum
  FHWA Training Course (2001)

Description: Utah Real Estate Purchase Contract document sample