Federal-Aid Highway Reimbursement Process 2019 2 Presenters - PowerPoint PPT Presentation

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

STEP 1 32 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed STEP 8: Acquire Property

33 STEP 2: Obtain Project Funding Local Projects Manual Chapter 3 – Project Initiation, Management, and Funding

34 Federal Aid Project Funding  Overview  Project Authorizations  Project Funds Management  FHWA 10 Year PE Order 5020.1  23 CFR 1.9 Limitation on Federal Participation

35 Federal Aid Highway Program  Characteristics of the FAHP  Reimbursement Program (Not a grant)  Federally assisted, State-administered  Funding tied to specific categories of roads  Functional Classification  National Highway System (NHS)  Sponsors pay for Maintenance  Typical Funding Sources and Matching Requirements:  TAP, CMAQ, NHPP, STP Flex  Typically 80% federal, 20% non-federal  HSIP  Typically 90% federal, 10% non-federal

36 Seek Funding  When Seeking Funding (Fed Aid, TIGER, BUILD…)  Become Familiar with Sources and Rules  Consider Willingness/Ability to Comply with Budget/Schedule  Consider Timing  When Preparing Project Documentation  Clearly Describe Project Scope, Budget and Schedule  Quantify Realistic Benefits  Ask for Appropriate Funds

37 Roles and Responsibilities  Federal  Review and approve State proposals  Regulations, guidance, standards, technical assistance  Reimburse States for their Eligible Expenses  State/Local  Conceive, plan, design, initiate, and construct projects  Maintain and Operate highways

STEP 1 38 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed STEP 8: Acquire Property

39 STEP 3: Execute Project Agreement Local Projects Manual Chapter 4 – State-Local Agreements

40 Federal-Aid Local Project Agreement (SLA)  Between Sponsor and NYSDOT  Project specific  Describes project phase, funding and deposit requirements (Schedule A)  Required Contract Provisions, (Appendix A, A-1, B)  Describes allocation of responsibility (Schedule B)  Municipal/Sponsor Resolution  Approves project  Funding appropriation  Authorizes appropriate official to execute Agreement

41 Authorization of Federal Aid  Receive locally-executed SLA from Sponsor.  RLPL requests authorization of phase and funds.  SLA with federal authorization forwarded to Main Office.  NYSDOT  Attorney General  State Comptroller  Fully-executed SLA returned to Sponsor

42 Authorization  A formal agreement defining the scope of work, and other project related commitments  The scope and location of the work accomplished must align with the Authorized scope and location  Constitutes the Federal obligation to pay its share of the project costs for eligible items NO Authorization NO Reimbursement

43 Authorization  Obligation of Funds  Commits Federal Government to pay Federal Share of eligible expenses  Based on estimates  Federal Aid Funding  NYSDOT ~$1.7B/yr

STEP 1 44 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed STEP 8: Acquire Property

45 STEP 4: Select and Hire Consultant Local Projects Manual Chapter 6 – Consultant Procurement and Administration

46 Consultant Selection  Project Designed/Inspected by Licensed Professional (Landscape, Survey, etc.)  Federally Funded  Municipal Employees or Retained Consultant  Consultant  Select Using Qualifications-Based Process ➢ Brooks Act  Cost Not a Selection Factor  Locally Funded  Hire Using Local Process  QBS Process also required in NYS

47 Retained Consultant  To Be Eligible for Federal Reimbursement MUST meet ALL of the following requirements:  Selected in compliance with procedures in Chapter 6 of the LPM.  Executed contract between Sponsor and Consultant specifying in Detail Services to be performed.  Designated as Municipal Engineer.  Selected through an open and competitive process within the last three years.

48 Qualifications-Based Process  Place Advertisement (defined phases)  Committee Evaluates Proposals  Committee Interviews Top Rated Firms  Committee Re-Ranks Based on Interviews  Final Selection Made

49 Qualifications-Based Process  Part I – Selection  Local Design Service Agreement (LDSA)  http://www.countyhwys.org  All firms on the LDSA list must be contacted  Prepare List of Project Specific Criteria  Selection Committee (at least 3 people)  Ratings can be done by oral presentation or from original proposals for LDSA list  Proposals for all of the listed firms are on file with the County Highway Superintendents Association

50 Qualifications-Based Process  Part II – Negotiation  Prepare Task List  Develop Independent Estimate  Negotiate Tasks and Resources With Consultant  Apply Salary & Overhead Rates; Add Fixed Fee (Profit)  Perform Pre-Negotiation Audit, If Necessary  Execute Consultant Agreement (Include Federal Language)  Send fully-executed Agreement to the RLPL

51 Consultant Procurement Chapter 6 Appendices Chapter 6 Appendices Consultant Procurement and Administration Prepared by Revised March 2013 NYSDOT Procedures for Locally Administered Federal Aid Projects CONTENTS Appendix Page Number Sample Project Manager ’s Checklist 6-1 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

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

STEP 1 53 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed STEP 8: Acquire Property

54 STEP 5: Authorization to Proceed with Preliminary Design & Right-of-Way Incidental Phases Local Projects Manual Chapter 7 – Overview of Environmental Process Chapter 8 – Design Procedures Chapter 11 – Right of Way

55 Preliminary Design (Phases I-IV)  Determine Eligibility  Make Technical Decisions  Conduct Environmental Review  Seek Public Involvement  Coordinate With Affected Municipalities & Regulatory Agencies  Estimate Costs and Schedule for Project

56 Public Involvement NYSDOT’s Public Involvement for Transportation Planning Manual https://www.dot.ny.gov/divisions/policy-and-strategy/planning- bureau/MPO_program_update_guide/repository/Planning%20PIFinal-Manua12%201218.pdf  Appropriate Public Involvement Must be Undertaken  Level of involvement determined by project scope  ROW issues  Who May be Involved?  Elected Officials  NYSDOT or Other Agencies  Affected Organizations and Businesses  General Public  Describe in Design Approval Document

57 Right-of-Way Incidentals  Concurrent with Design Report preparation  Federal Uniform Act and NYS Eminent Domain Procedure Law (EDPL)  Includes:  Title Searches  Brochure Preparation  Map and Deed Preparation  Property Appraisals  Table of proposed ROW Acquisition

58 Right-of-Way Incidentals  Plans in Design Approval Document must show:  Existing Property Lines  Proposed Property Acquisitions  Permanent and Temporary  Conceptual Relocation Plan may be required

59 WARNING Do 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

STEP 1 60 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed STEP 8: Acquire Property

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 Act Process (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 Act Lessons 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 Maps 2. Determine in- water work and “effects” 3. Determine if Programmatic Agreement applies 4. Complete the EFH Worksheet 5. Consult with NMFS

73 Essential Fish Habitat Lessons 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 Wetlands Requirements:  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 impacts 3. Determine permit level (Nationwide Permit, Individual Permit), or EO Programmatic Usage 4. Apply/Obtain Permits Lessons Learned:  Impacts less than 0.5 acre = Streamlined  Commit to avoidance measures to reduce impacts.

77 Section 106, Historic Properties

78 Section 106 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))

79 Section 106 Process: 1. Define Area of Potential Effect (APE) 2. Determine if Section 106 Resources Present 3. 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

80 Section 106 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)

81 Section 4(f) Parks/Recreation/Historic Resources

82 4(f) Parks/Recreation/Historic 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

83 4(f) Parks/Recreation/Historic 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 4(f) Parks/Recreation/Historic - 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 4(f) Parks/Recreation/Historic  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)

STEP 1 88 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed Design STEP 8: Acquire Property

89 STEP 7: Authorization to Proceed With Detailed Design NYSDOT - Project Development Manual - PDM NYSDOT - Highway Design Manual - HDM

90 Home Stretch  ROW Acquisition Phase  Final Design – Phases V&VI

STEP 1 91 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed STEP 8: Acquire Property

92 STEP 8: Acquire Property Local Projects Manual Chapter 11 – Right of Way

93 ROW Acquisition Phase  After NEPA Determination and Design Approval  Includes:  Notification to Affected Property Owners  Written Offers of “Just Compensation” To Property Owners  Payments  Acquisition of Title or Rights to Property  Written Diaries

94 ROW Acquisition Phase  ROW Acquisition Must be Accomplished Prior to Advertisement for Bids

95 ROW Clearance Certificate  Before Construction Authorization:  Required from the Sponsor  Required from NYSDOT if Work Will Affect NYSDOT ROW  Signed by the Sponsor and NYSDOT Real Estate Officer APPENDIX 11-5 RIGHT OF WAY CLEARANCE CERTIFICATE To: Regional Real Estate Officer, Region Date: Design Approval Date: From: Sponsor: P.I.N: Project: Sponsor Acquiring ID #: Agency:

STEP 1 96 Plan and Identify Project STEP 14: STEP 2: Operate & Maintain Obtain Project Facility Funding STEP 3: STEP 13: Execute a Project Close Project Agreement Agreement STEP 12: STEP 4: Construct & Select and Hire Federal-Aid Inspect Project Consultant Highway “Reimbursement” STEP 5: Process STEP 11: Authorization to Bid & Award Proceed with Project Preliminary Design STEP 10: STEP 6: Authorization to Prepare Design Proceed With Approval Construction Document STEP 7: STEP 9: Authorization to Prepare Contract Proceed With Documents Detailed STEP 8: Acquire Property

97 STEP 9: Prepare Contract Documents Local Projects Manual Chapter 9 – Design Standards & Construction Specifications Chapter 12 – Construction Contract Requirements Chapter 15 – Administering Construction Contract

98 Compile Contract Bid Documents  Final Plans, Specifications, Estimate (PSE)  Construction Management Plan (CMP)  ROW Clearance Certificate  Permits & Agreements  Environmental  Utilities/Rail  Highway Work Permit  https://www.dot.ny.gov/divisions/operating/oom/transpo rtation-systems/traffic-operations-section/highway- permits  MOA  USACOE  SPEDE (NY) State Pollutant Discharge Elimination System  Wetlands

99 Contract Bid Documents  Design Approval Document  NYSDOT standards  Licensed Professional Responsible for Design  Signed by the Sponsor  Additional Approval on NHS/State System

100 Contract Bid Documents  ROW lines  Detailed Engineers Estimate by a Licensed Professional  Proprietary items (unless public interest finding is documented and approved)  Construction Contract Requirements  Federal Provisions