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

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Introduction to the Federal-Aid Highway “Reimbursement” Process 2019

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Presenters

 Chris Millington, P.E., FHWA  Melissa Toni, FHWA  Diane Kenneally, P.E., NYSDOT  Dawn Arnold, P.E., NYSDOT  Doreen Holsopple, NYSDOT

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Workshop Agenda

 Roles and Responsibilities  Key Elements of the Federal-Aid Highway

Program

 Project Development

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Roles and Responsibilities

Local Projects Manual Chapter 2 – Roles & Responsibilities

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Federal Aid Local Program Roles and Responsibilities

 Federal Highway Administration

 Administer Federal Aid Program

 Stewardship and Oversight Agreement

 NYSDOT

 Reimbursement Program  Local Project Manual (LPM)

 State-Local Agreements

 Local Government Sponsor

(villages, counties, towns, cities)

 Implementation and Management (LPM)  Coordinate with NYSDOT/FHWA

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 FHWA’s authority and oversight roles defined in:

 23 USC & 23 CFR  FHWA/NYSDOT Stewardship Agreement,

setting authority for delegation Chapter 2 of Local Projects Manual (LPM)

Federal Aid Local Program Roles and Responsibilities

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FHWA Stewardship and Oversight (S&O)

 NYSDOT/FHWA Agreement, June 2015  NYSDOT Delegated Actions/Projects  Project of Division Interest - Screening Criteria

 National Highway System (NHS)

➢ >$25M (Regions 10 & 11); >$10M (Regions 1-9) ➢ EIS (Environmental Impact Statement) ➢ Interstate Access Modification ➢ TIGER/Special Funding ➢ Major/Unusual Structures ➢ Major (>$500M) and Sub-Major ($100-$500M) ➢ Design Approval by FHWA

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FHWA S&O

 Projects of Division Interest (PoDI)  Category I - Full Federal Involvement in all phases  Category II - Design Review/Approval  Category III - Construction Review  Category IV-No Further Federal Involvement  Program Involvement  Compliance Assessment Program (CAP)  Financial Integrity Review and Evaluation (FIRE)  Process Reviews  Program Element Reviews

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FHWA’s Roles

To Ensure:

 Federal-Aid program accomplishes its purpose  Review/Approve State procedures and projects  Federal Laws, Regulations, and Standards  NYSDOT adequately administers projects

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FHWA Federal-Aid Videos

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NYSDOT’s Roles

 Determines projects eligibility for Federal and

State funding

 Ensures projects developed and constructed in

full compliance with Federal and State requirements

 Protects Federal/State investment on projects

regarding the quality, safety and financial integrity

• f the project

 Takes necessary corrective actions

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 Local Projects Manual (LPM)  Regional Local Projects Liaison (RLPL)  Interprets manuals and guidelines  Monitor Projects  Completeness reviews  Consult with NYSDOT Main Office and FHWA  Local Project Agreements  Periodic Program & Project Update Meetings  Local Programs Bureau

NYSDOT provides guidance and assistance to Sponsors thru…

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Local Projects Manual

https://www.dot.ny.gov/plafap

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NYSDOT’s Project Responsibilities

 Request Federal authorization for each project phase:

 Design  Right-of-Way (ROW)  Construction

 Process Sponsor’s reimbursement requests  Approve design exceptions/non-standard features for

work on/related to non-NHS State Highways and non- Interstate NHS

 Grant design approval for projects on/related to non-NHS

State Highways and non-Interstate NHS

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NYSDOT’s Project Responsibilities

 Approve Railroad and Utility Relocation Agreements  Approve Right-of-Way Clearance  Concur with Contract Award Recommendation  Review & Approve Good Faith Effort (GFE)  Verify Sponsor’s final inspection and final

acceptance of construction contract

 Close out local agreement and make final payment

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Sponsor Responsibilities:



Process State-Local Agreement



First-instance all project costs



Submit Reimbursement Requests



Administer and implement the project



Procure a Consultant



Perform/oversee project design & environmental activities



Make SEQR determination



Grant Design Approval



Acquire right-of-way

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Sponsor Responsibilities:



Coordinate Utility Agreements



Acquire permits



Determine/approve DBE goals



Approve Construction Contract Documents



Advertise and Award Construction Contract



Administer the Construction Contract



Perform/oversee construction inspection



Initiate Change Orders



Accept Construction Contract Work



Close-out project

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Sponsor Responsibilities:

 Federal Requirements NOT Associated with a

Federal Aid Project:

 Title VI Plan

 LPM - Chapter 13 – Civil Rights Requirements

 ADA Transition Plan

 LPM – Chapter 13 – Civil Rights Requirements

 Scour Critical Bridge Plan

https://www.fhwa.dot.gov/engineering/hydraulics/scourtech/s cour.cfm

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Americans With Disabilities Act (ADA)

• f 1990



Ensure Individuals with Disabilities are Not Excluded from:

▪

Programs

▪

Services

▪

Activities



Requires ADA Transition Plans



Requires Installation of Curb Ramps Where Curbs or Other Barriers Restrict Access to Sidewalks/Other Pedestrian Walkways

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ADA Self-Evaluation and Transition Plans



Self Evaluation:



Identify barriers in programs and activities



Provide opportunity for interested persons to participate in process



Municipal funding and staff to support commitment



Collect Data



Create an Inventory



Transition Plan:



Becomes a short-range planning tool for completing modifications



Municipality with more than 50 people:



Ensure Self Evaluation is maintained for at least three years



Available to the Public for at least three years

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What Sponsors Need to Know

 Any Work Performed Prior to:  Adding Project to TIP & STIP (excluding

Emergency Relief Program)

 Processing State-Local Project Agreement  Receiving an Authorization to Proceed From

NYSDOT

Is Ineligible for Federal Reimbursement

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Key Elements of the Federal-Aid Highway Program

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Key Program Elements

 Reimbursement  Authorization  Eligible Costs  Planning  Environment  Right-of-Way  Contract Administration  Special Projects  Audits

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Reimbursement Program

(a range of monthly-quarterly)

Contractor Does Work Local Agency Pays Contractor Local Agency Submits Bill to NYSDOT NYSDOT Submits Bill to FHWA FHWA Reimburses NYSDOT NYSDOT Reimburses Local Agency

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

Federal-Aid Highway “Reimbursement” Process

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STEP 1: Plan and Identify Project

Local Projects Manual Chapter 3 – Project Initiation, Management, and Funding Chapter 2 – Roles & Responsibilities

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 Project Should Be Consistent With:

 Statewide Long Range Plan  MPO Master Plans

 14 MPOs Statewide

 Regional Transportation Plans

 Project Must Be on The:

 Transportation Improvement Plan (TIP)  State Transportation Improvement Plan (STIP)

Project Planning

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Project Should describe

(Initial Project Proposal Scoping)

 Objective(s)  Logical Termini  Independent Utility  Public Use  Transportation Function  Project should be consistent with:

 Transportation Improvement Plan (TIP)  State Transportation Improvement Pan ( STIP)

Transportation Project Report

[Draft] Initial Project Proposal/Final Design Report

Month 20xx

[Project Title/Description (e.g., Route______over________)]

Project Identification Number (PIN): _______ [Bridge Identification Number (BIN): ________] [Village/Town/City] of________ ________ County

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Good Cost Estimate

 Costs For All Project Phases

 Preliminary Design  Detail Design  ROW Incidentals  Property or ROW Acquisition  Construction  Construction Inspection  Miscellaneous (Utilities, Railroads)

 Overruns Subject to Availability of Offsets

 STIP is fiscally constrained

• Misc. Utilities (Water/Sewer)

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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

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Smart Growth Screening Tool

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

Federal-Aid Highway “Reimbursement” Process

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STEP 2: Obtain Project Funding

Local Projects Manual Chapter 3 – Project Initiation, Management, and Funding

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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

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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

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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

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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

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

Federal-Aid Highway “Reimbursement” Process

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STEP 3: Execute Project Agreement

Local Projects Manual Chapter 4 – State-Local Agreements

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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

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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

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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

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Authorization

 Obligation of Funds  Commits Federal Government to pay

Federal Share of eligible expenses

 Based on estimates  Federal Aid Funding  NYSDOT ~$1.7B/yr

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

Federal-Aid Highway “Reimbursement” Process

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STEP 4: Select and Hire Consultant

Local Projects Manual Chapter 6 – Consultant Procurement and Administration

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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

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Retained Consultant

 To Be Eligible for Federal Reimbursement MUST

meet ALL of the following requirements:

 Selected in compliance with procedures in Chapter 6

• f 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.

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Qualifications-Based Process

 Place Advertisement (defined phases)  Committee Evaluates Proposals  Committee Interviews Top Rated Firms  Committee Re-Ranks Based on

Interviews

 Final Selection Made

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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

• riginal proposals for LDSA list

 Proposals for all of the listed firms are on file with the

County Highway Superintendents Association

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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

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Consultant Procurement

Chapter 6 Appendices

CONTENTS Appendix Page Number 6-1 Sample Project Manager’s Checklist 3 6-2 Sample Consultant Advertisement 4 6-3 Sample Letters to Consultants 8 Request for Oral Presentation 8 Notification of Selection 9 Notification of Non-selection 11 6-4 Sample Scope of Services (SOS) with Instructions 12 How to Develop a SOS for a Project 12 Section 1 General 12 Section 2 Data Collection and Analysis 16 Section 3 Preliminary Design 21 Section 4 Environmental 25 Section 5 Right-of-Way 28 Section 6 Detailed Design 30 Section 7 Advertisement, Bid Opening and Award 33 Section 8 Construction Support 34 Section 9 Construction Inspection 34 Section 10 Estimating and Technical Assumptions 38 6-5 Sample Consultant Contracts 41 Instructions 41 Sample Architectural/Engineering (A/E) Consultant Contract 45 Attachment A 65 Federal-Aid Requirements for Architectural/ Engineering Consultant Supplement 67 6-6 Sample Cost Proposal 72 6-7 Sponsor Certification 78 6-8 Sample Selection Committee Score Sheet 79 6-9 Typical Pre-Negotiation Audit Report 81 6-10 Typical Expression-of-Interest Format and Explanation of Forms 84 Chapter 6 Appendices

Consultant Procurement and Administration

NYSDOT Procedures for Locally Administered Federal Aid Projects March 2013

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DBE in Consultant Selection

 Sponsors must solicit DBE participation

• n all consultant projects

 Proposed participation level up to 20%

within the limitations of any project

 Firms from LDSA list are not exempt from

this requirement

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

Federal-Aid Highway “Reimbursement” Process

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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

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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

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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

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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

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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

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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

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

Federal-Aid Highway “Reimbursement” Process

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STEP 6: Prepare Design Approval Document

NYSDOT - Project Development Manual (PDM) https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm

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Design Approval Document

(DAD)

 Follow the Project Development Manual (PDM)

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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

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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_

• perations_pdf/dseqrhandbook.pdf

 The Sponsor is typically Lead Agency

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Federal Environmental Approval Worksheet

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ENVIRONMENTAL LAWS THAT MAY DRIVE YOUR TRANSPORTATION PROJECTS

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Endangered Species Act, Section 7

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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.

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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

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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

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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

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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

Requirements:

 National Historic Preservation Act of 1966

 Consider effects on historic properties

 Resource:

 Any Prehistoric or Historic District, Site, Building,

Structure or Object in or eligible for inclusion on the National Register of Historic Places

 Does the project “have the potential to cause

effect on historic properties”? (800.3(a))

Section 106

79

Process:

• 1. Define Area of Potential Effect (APE)
• 2. Determine if Section 106 Resources 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

Section 106

80

Process:

• 4. Determination by FHWA:

 “No Historic Properties Identified”  “No potential to cause effect to historic

properties” (No Effect)

 “No Adverse Effect”

 Avoidance and Minimization of Effects

 “Adverse Effect”

 Resolution of Effects with SHPO/FHWA/ACHP  Memorandum of Agreement (MOA)

➢MOA Stipulations (mitigation, avoidance, protection requirements)

Section 106

81

Section 4(f) Parks/Recreation/Historic Resources

82

Requirements:

 US Department of Transportation Act of

1966

 Section 4(f) Evaluation  Resources (Section 4(f) Properties):  Publicly owned parks  Recreation areas  Wildlife or Waterfowl Refuges  Any public or privately owned Historic Site

listed or eligible for listing on the National Register of Historic Places

4(f) Parks/Recreation/Historic

83

Process:

• 1. Identify potential ‘use’ of Section 4(f) property

permanent incorporation of land from the property temporary occupancy of the land during construction

may also be considered a Section 4(f) ‘use’ of the property

• 2. Before approval, FHWA must determine either:

(a) the impacts are de minimis

 No change to activities, features, or attributes  Written concurrence from the Official with Jurisdiction  Public Opportunity to Comment

4(f) Parks/Recreation/Historic

84

• OR -

(b) conduct a Section 4(f) Evaluation

 Section 4(f) Programmatic Agreements

 Use of Historic Bridges  Minor Involvement with Historic Sites  Independent Bikeway or Walkway Construction

Projects

 Minor Involvement with Public Parks, Recreation

Lands, and Wildlife and Waterfowl Refuges

 Transportation Projects that have a Net Benefit to

Section 4(f) Property

4(f) Parks/Recreation/Historic

85

 Individual Section 4(f) Evaluation  Determine if a feasible and prudent

alternative exists which completely avoids the property.

 If an avoidance alternative exists, IT MUST BE

SELECTED.

 If no feasible and prudent avoidance

alternative, FHWA must select the alternative that causes the least overall harm after all possible consideration.

4(f) Parks/Recreation/Historic

86

Design Approval Document (DAD)

Includes:

Public Involvement (info meeting) Property Acquisition (if applicable) Design Approval

 MUST have Design Approval before

Final Design can begin.

87

Design Approval

 After SEQRA and NEPA Determinations  Recommended by Design Professional

 Professional Engineer  Registered Architect (Buildings)

 Granted by Sponsor  Additional Approval May Be Required

(NYSDOT for NHS/State System)

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

Federal-Aid Highway “Reimbursement” Process

89

STEP 7: Authorization to Proceed With Detailed Design

NYSDOT - Project Development Manual - PDM NYSDOT - Highway Design Manual - HDM

90

Home Stretch

 ROW Acquisition Phase  Final Design – Phases V&VI

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

Federal-Aid Highway “Reimbursement” Process

92

STEP 8: Acquire Property

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

From: Sponsor: P.I.N: Project: Sponsor ID #: Acquiring Agency:

APPENDIX 11-5 RIGHT OF WAY CLEARANCE CERTIFICATE

To: Regional Real Estate Officer, Region Date: Design Approval Date:

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

Federal-Aid Highway “Reimbursement” Process

97

STEP 9: Prepare Contract Documents

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

101

Contract Bid Documents

 May Include  Alternate Bids, IF Approved by NYSDOT  May Not Include:  Proprietary Items  Warrantee for the entire project  Retainage  Language That Conflicts With Federal

Requirements

102

Contract Bid Documents

 EVERY Contract Must Include:  Standard Federal Clauses  Federal Davis-Bacon Wage Rates  NYS Prevailing Wage Rates  NYS Wicks Law Provisions (Buildings)

103

Methods of Construction

 Competitive Bidding  Force Account Construction  Requires approval from NYSDOT/FHWA  Requires a Public Interest and Finding of Cost

Effectiveness

 Design-Build not approved for Local

projects receiving Federal Aid

104

Non-Typical Situations

 Public Interest Findings (Require approval)

 Use of State/Public Agency Furnished Materials  Specifying Use of Proprietary Items (matching)  Designating a Storage or Disposal Site  Use of Warranties

 Warranties (Manufacturer Type – Items)  Proprietary Items (New – Need Approval)

105

Construction Specifications

 Must Use NYSDOT Specifications  On National Highway System  On State Highway  On Any Public Road  Special Specifications  Approved by NYSDOT

106

Buy America

All Steel & Iron Products Should Be U.S. Made

▪ Sheet Piling ▪ Rebar ▪ Guiderail ▪ Bridge Beams

“Melted and Manufactured in the U.S.” Exceptions:

▪ Incidental Quantity:<.1% of total project cost or

$2,500, whichever is greater.

▪ Waiver, guidelines not yet established.

107

What is the DBE Program?

Disadvantage Business Enterprise

 Provides reasonable opportunities for DBE’s

to compete for and to perform on contracts financed in whole or part with federal financial assistance

LPM – Chapter 13 – Civil Rights Requirements

108

Objectives of the DBE Program

 Ensure non-discrimination in the award and

administration of contracts

 Create level playing field  Remove barriers to disadvantaged

businesses

 Assist in the development of DBE firms

https://www.dot.ny.gov/main/business-center/audit/dbe- certification

109

DBE & EEO Requirements

 Disadvantaged Business Enterprises (Firms)  Standard Federal Clauses  Goals for Contracts > $ 500K  Supersedes M/WBE Programs  Equal Employment Opportunities (People)  Standard Federal Clauses  Female Goal = 6.9%  Minority Goal Determined by County

110

EEO Contractor Practices

 Recruitment  Hiring  Pay  Training  Promotion  Retention

Subcontractors and suppliers

111

Commercially Useful Function (CUF)

 To count a DBE’s work towards the goal they must

perform a commercially useful function.

 They are responsible for performing, managing

and supervising the work as specified in the contract.

 Need to be Certified by

New York State.

https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms- manuals-computer-applications-general-information/civil-rights

112

Sponsor’s DBE Responsibility

 If a contract has a DBE goal:  Monitor and ensure that work committed to

DBEs at contract award is actually performed by DBEs

 Report actual DBE attainment compared to

commitment to NYSDOT

113

Good Faith Effort

 When a DBE goal has been established for a

contract in advertisement, it must be awarded to the low bidder who achieves the goal or makes a Good Faith Effort (GFE) to achieve the goal.

 If post award changes are made to the contract,

and subcontracting opportunities arise or are changed, contractor required to make a GFE to use DBEs during construction.

114

Contract Administration Resources

 Local Projects Manual

 Chapter 12 - Appendices 1 & 2

 MURK - Manual of Uniform Record Keeping

 CIM – Construction Inspection Manual  CAM – Contract Administration Manual

 Highway Design Manual  Project Development Manual

115

Construction Management Plan

(CMP)

 A Plan provided by the Sponsor as to how

the construction contract will be administered

 Provides clear assignment of authority and

accompanying responsibility

 Approved by NYSDOT before contract

advertising

116

CMP

 Construction Management Plan Should Address

 Contract Administration  Contract Documentation  Change Order Procedures  Subcontractor Approvals  Inspection  QC/QA  Labor Relations  EEO  Record Retention  Contract Closeout

117

Reviewed By NYSDOT RLPL

 Final Contract Bid Documents  Plans  Specifications  Bid Documents  Engineer’s Estimate  Construction Management Plan (CMP)  DBE and EEO Goals  ROW Clearance Certificate

118

Reviewed by NYSDOT RLPL

 Certifications by Design Professional & Sponsor  Copies of:

 Signed Agreements With Utility Companies  Agreements With Railroads  Required Environmental Permits

 Project Management Plan  Consultant Agreement for Construction Inspection

LPM – Chapter 12 – Construction Contract Requirements - Checklist

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

Federal-Aid Highway “Reimbursement” Process

120

STEP 10: Authorization to Proceed With Construction Phase

Local Projects Manual Chapter 14 – Advertisement, Contract Letting and Award

121

Advertisement for Bids

 Include:  DBE & EEO Goals  NYSDOT PIN, Project Name & Description  Owner/Contracting Sponsor  Letting venue, date & time  Where to obtain contract documents  Where to submit bids  Bid deposit/security required  Whom to contact for questions

122

Advertisement for Bids

 Place In:

 NYS Contract Reporter

 http://www.nyscr.org

 Local Newspaper (recommended)

 Publish Minimum of 3 Weeks Prior to Bid

Opening (complicated projects requires more time)

 Amendments: need to be distributed to all

bidders and NYSDOT.

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

Federal-Aid Highway “Reimbursement” Process

124

STEP 11: Bid & Award Project

Local Projects Manual Chapter 14 – Advertisement, Contract Letting and Award

125

Bid Opening & Pre-Award

 Sponsor Must  Open Bids Publicly  Analyze Low Bid  Evaluate Low Bidder’s Responsibility  Review Proposed DBE Plan & Obtain

NYSDOT Approval

 Sponsor Must NOT  Negotiate With Low Bidder

126

Pre Award DBE Commitments

 Low Bidder must meet contract goal or

receive approval of their GFE prior to Contract Award.

 Low Bidder provides “Contract Template”

to Sponsor=>RLPL=> for EBO upload. dot.sm.mo.localprograms.ebo <localprograms.ebo@dot.ny.gov>

 Sponsors => NYSDOT’s mechanism for

verifying DBE Commitments

127

Pre Award DBE Commitments

 localprograms.ebo@dot.ny.gov, RLPL=>

Sponsor=>Low Bidder will notify low bidder of contract upload from template.

 Low Bidder has 5 days to enter their utilization package

into EBO

 Goal met – Award process proceeds  Goal not met – Low Bidder to provide documentation of

GFE.

 Sponsor => NYSDOT approval of GFE required

prior to proceeding with Award process

128

Award

 Submit Award Package to NYSDOT  Obtain NYSDOT Concurrence  Award to Lowest Responsive &

Responsible Bidder

Appendix 14-4

Locally Administered Federal Aid Project Contract Award Checklist

PIN: ____________ Project: ___________________________________ Finish Review by: ___/___/___ Start Review on: ___/___/___ OK NA Date Resolved Proof of advertising (Contract Reporter, local newspapers, etc.) Copy of all amendments issued

• No concerns with amendments
• Copy of receipts of amendments

Bidding & Award Certification by Responsible Local Official Bid analysis (no collusion, no unbalancing for high bid/low bid items (25%

• ver/under EE) and in certain cases major items (see Chapter 15, page 6) and

additional items determined if low bid is 10% over EE.

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

Federal-Aid Highway “Reimbursement” Process

130

STEP 12: Construct & Inspect Project

Local Projects Manual Chapter 15 – Administering Construction Contract Chapter 5 – Accounting & Reimbursement Procedures

131

Pre-Construction Meeting

 Required  After Contract Award  Before Start of Work  Attended By  Local Sponsor  Construction Inspector  Contractor  NYSDOT

132

Construction Inspection

 Sponsor is Responsible for Inspection  In-House Staff or Consultant Inspectors  Construction Inspection is Eligible for Federal-

Aid

 Ensure Compliance  Plans  Specifications  Federal Requirements  Consistent With Construction Management

Plan

133

Change Orders

 Required For All Modifications  Must be Submitted to NYSDOT  Minor Changes That Do Not Require Prior

NYSDOT Approval

 Simple Quantity Increases Within Contract Limits

and Scope

 Minor New Items Within Scope

134

Change Orders

 Major Changes That Do Require Prior

NYSDOT Approval:

 Significant New Items  Significant Changes  Outside Contract Limits  Outside Scope  Significant Cost Increases  Limited Federal Aid $ Available

135

Construction Completion

 Final Inspection  Performed By Sponsor  NYSDOT Invited to Attend  Contract Close-Out  Accept Contract Work  Close Contracts With Utilities, Railroads,

Consultants

 Close Highway Work Permit  Notify NYSDOT of Project Acceptance

136

Reimbursement

 Agreement with Active PIN  Eligible Work  Proof of Payment  Federal Reporting Requirement  EEO/DBE Goals Met

137

Reimbursement

 Should be submitted TIMELY  Quarterly or less  Inactive projects are subject to

DEOBLIGATION and WITHDRAWAL

 Noncompliance = NON-PAYMENT

LPM – Chapter 3 – Project Initiation, Management, and Funding

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

Federal-Aid Highway “Reimbursement” Process

139

STEP 13: Close Project Agreement

Local Projects Manual Chapter 16 – Federal & State Single Audit Requirements Chapter 17 – State-Local Agreement Close-out

140

Close Out Documentation



Final Reimbursement Request



Final Acceptance Form



Acceptance of Work on State Highway (Highway Work Permit Closed)



As-Built Plans

 Work on NHS or SHS  Bridges



Project Financial Summary



Date Of Most Recent Federal Single Audit (> $750,000)



Date Of Consultant Audit (> $300,000)



Final Reports

 DBE Utilization  EEO Utilization  Prime Contractor’s

Payments

141

Close Out Documentation

Checklist

142

Audits

 Federal Single Audit:

 Sponsors that expend $750,000 or more in Federal aid in their

fiscal year, from all sources, must have an audit performed.

 LPM - Chapter 16 – Federal & State Single Audit Requirements.



2 CFR 200.500 - .521, Audit Requirements

 Consultant Audit:

 Consultant Contracts greater than $300,000  Uniform Audit & Accounting Guide



http://sp.audit.transportation.org/Documents/UAAG-3%20FINAL.pdf

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

Federal-Aid Highway “Reimbursement” Process

144

STEP 14: Operate & Maintain Facility

145

Operate

 Generally, User or Access Fees Cannot

Be Charged

 In Rare Instances When Fees Are

Allowed, Proceeds Must Be Used For Maintenance And Operation Of Facility

146

Maintain

 Maintain For Useful Life  If Useful Life Not Attained, Sponsor

Responsible For Prorated Costs Associated With Unfulfilled Life

147

Federal-Aid Highway Program Summary

 Eligibility of projects for funding - TIP  Project Authorization  Environmental considerations / DAD  Acquiring right-of-way and relocations  Design to accepted standards  Procurement provisions  Completion of paperwork for payment

148

Fatal Flaws

 Violations that could potential cause a

Sponsor to loose their funding:

 Civil Rights  Uniform Act  NEPA  Buy America

149

NYSDOT Contact

 Diane Kenneally, P.E., NYSDOT

Diane.Kenneally@dot.ny.gov

 Dawn Arnold, P.E., NYSDOT

Dawn.Arnold@dot.ny.gov

 Doreen Holsopple, NYSDOT

Doreen.Holsopple@dot.ny.gov

150