Federal-Aid Project Delivery: General Overview for Locally

Federal-Aid Project Delivery: General Overview for Locally Administered Projects March 2022

Federal-Aid Project Delivery Locally Administered Projects Overview What you will learn from this Presentation: Major Steps of administering a federal-aid project by a local government agency Resources available for local government agencies EBS Portal – managing your project online 2

Federal-Aid Project Delivery Basic Requirements for Federal-aid Projects Federal-aid funding is cost-reimbursement Funding Authorization is required prior to each phase of work Local Government Agency (LGA) has the responsibility to deliver the project NCDOT has the responsibility to provide oversight to LGAs and ensure appropriate use of funds 3

PROJECT DELIVERY – MAJOR STEPS 4

Federal-Aid Project Delivery Pre-Construction “Mountain” Final Plans, Specifications, and Estimate Right of Way/Utility/RR Certification Right of Way Acquisition (and Utility Relocation) Right of Way (ROW) Authorization Right of Way Plans Environmental Document Procuring Professional Services Preliminary Engineering (PE) Authorization Agreement Programming (includes Schedule) 5

Federal-Aid Project Delivery Construction “Mountain” Maintenance Final Voucher Date Final Reimbursement Final Inspection and Project Acceptance Construction Engineering and Inspection Construction Bidding, Letting, and Awarding Construction Contract Construction (CON) Authorization 6

Federal-Aid Project Delivery Agreement Requested by the LGA through the EBS Portal Executed between NCDOT and the Local Governmental Agency Includes provisions that LGA must comply with in order to receive reimbursement Includes funding, time frames, scope of work, and responsibilities Funding Authorizations cannot occur until a fully executed agreement is in place. 7

Federal-Aid Project Delivery Agreement Federal Funding Accountability and Transparency Act (FFATA) – FFATA Subrecipient Form – is required to be completed once each state fiscal year or each time contact or officer information changes, until the project is completed – The NCDOT requires that Subrecipient data be provided by each Local Agency Subrecipient working on federally funded projects of 30,000 or greater. – It is only required for Subrecipients that use Federal funds for locally administered Transportation and Infrastructure projects. – The form can be found in the Forms & Templates column at https://connect.ncdot.gov/municipalities/Funding/Pages/default.aspx – Form needs to be submitted to the NCDOT Fiscal Management Division, Kelly Blackwood ( [email protected]). 8

Federal-Aid Project Delivery Funding Authorizations For every phase that is eligible for reimbursement, the LGA must request funding authorization through the EBS – PE: Preliminary Engineering – pays for professional engineering services, and other preconstruction activities – ROW: Right of Way and Utility Relocation – pays for costs of acquiring ROW, relocating utilities, appraisals and other ROW associated costs – CON: Construction – pays for the construction contract, construction engineering and inspection (CEI), and contract administration. 9

Federal-Aid Project Delivery Funding Authorizations Note deliverables (from the steps) that are needed prior to requesting funding authorization Funding authorization starts the clock with FHWA Funding authorization still requires reviews of proposed costs with NCDOT prior to LGA incurring costs NCDOT will use your funding 10

Federal-Aid Project Delivery Professional Services LGA is responsible for soliciting and selecting consultants in accordance with federal regulations, state statutes, and NCDOT policy NCDOT provides a standard template that can adapted for either Design or CEI work as needed LGA must follow a qualifications-based selection process; NCDOT will review and concur with the selection of a consultant and the negotiated amount of the contract 11

Federal-Aid Project Delivery Environmental Documentation Must be in conformance with NEPA – National Environmental Policy Act Must also comply with other Federal environmental laws Most projects qualify as a Categorical Exclusion (CE) Document In order to authorize either ROW funds or Construction funds, we must have a completed environmental document. 12

Federal-Aid Project Delivery Design Follow NCDOT Design Standards for Roadways and Structures Use NCDOT details, for example wheelchair ramps, curb and gutter, etc. Work with Division on when plans should be submitted for review; complex projects may need an earlier review than simpler projects Review may occur solely at the Division or certain reviews may occur in Raleigh 13

Federal-Aid Project Delivery Right of Way Any kind of ROW, whether it’s acquisition in fee simple, or you’re entering into an easement (temporary or permanent), or an encroachment, must be properly documented and then certified All acquisition must be in conformance with the “Uniform Act,” whether ROW Acquisition is being reimbursed with Federal funds or not Appraisals must be reviewed by NCDOT, even if ROW is not an eligible expense; NCODT will provide a concurrence in “just compensation” If ROW is an eligible phase, ROW Funding must be authorized prior to acquiring ROW 14

Federal-Aid Project Delivery Utility Relocation All utilities should be cleared from the Project Area, prior to moving into construction Costs for third-party utility providers to relocate utilities must be reviewed by NCDOT before LGA enters into contract. 15

Federal-Aid Project Delivery Right of Way / Utility / RR Certification Certification ensures that LGA has control of all ROW needed for project and the ROW is clear from all obstructions Either the LGA owns outright or has a lease, easement, or other legal document to control ROW Certification should also address any utility or railroad conflicts: – Utilities should be relocated out of the project area; or, – Utility relocation should be included in the construction contract; and, – Any RR conflicts must be documented with agreements/approval from RR to encroach on their property 16

Federal-Aid Project Delivery Contract Proposal and Estimate Contract Proposal is prepared in accordance with the 2018 North Carolina Standard Specifications for Roads and Structures Proposal will include federal provisions that will be part of the contract The engineer’s estimate is a line-item estimate that references the Spec Book or special provisions The engineer’s estimate is also used to set a goal for Disadvantaged Business Enterprise firms 17

Federal-Aid Project Delivery Construction Procurement Advertising and Letting a Construction Contract can only occur after Construction funds are authorized NCDOT must review and concur in the LGA’s proposal to award a construction contract We have template letters and forms to use when requesting concurrence 18

Federal-Aid Project Delivery Construction Contract Administration and Construction Engineering & Inspection (CEI) is accomplished by the LGA in accordance with the NCDOT Construction Manual LGA should hire a professional engineering firm to provide these services – follow Professional Services guidance NCDOT will provide oversight through the Division Office or the Resident Engineer’s Office NCDOT must concur with the LGA’s acceptance of the project before final reimbursement can be made 19

Federal-Aid Project Delivery Reimbursement Can occur throughout the project as costs are incurred LGA pays full invoice; NCDOT reimburses 80% of eligible costs up to amount in agreement Final Reimbursement will not occur until project is complete, accepted by NCDOT, and all reporting and other requirements have been accomplished 20

Federal-Aid Project Delivery Close-Out and Final Voucher Date Department will process several items related to closing out the LGA project: – Ensuring that LGA has all appropriate records – Calculating any costs that the LGA owes the Department – Certifying materials permanently incorporated in the Project Once these items are accomplished, NCDOT will request FHWA close the project and issue a Final Voucher Date Final Voucher date will start retention of records period 21

Federal-Aid Project Delivery RESOURCES https://connect.ncdot.gov/municipalities/Funding/Pages/default.aspx 22

Federal-Aid Project Delivery RESOURCES 23

Federal-Aid Project Delivery RESOURCES 24

Local Project Management Tool The Project Management Tool on the EBS Portal will be used to: Request New Agreements and Supplemental Agreements Submit Documents for review by the Department Request Funding Authorizations for each phase of work Submit Reimbursement Requests for work performed 25

LPMO Security Form LPMO Security Form Must have a user id and password to access the EBS portal and Local Projects. Form is on the Connect website. If you already have access to EBS portal, then indicate that in Section 2 of the form. 26

Local Project Management Tool https://www.ebs.nc.gov/irj/portal 27

Local Project Management Tool 28

Application Process – Agreement Request 29

Application Process – Agreement Request 30

Application Process – Agreement Request 31

Actions for Application Your Application will be Returned, Rejected or Approved: Returned: If the application needs to be corrected, or needs additional information Rejected: If the Project is not programmed in the STIP, you can’t start agreement process. Approved: An Agreement is started by the LPMO 32

View Agreement / Submit Documents 33

View Agreement / Submit Documents 34

View Agreement / Submit Documents 35

View Agreement / Submit Documents 36

View Agreement / Submit Documents 37

View Agreement / Submit Documents 38

View Agreement / Submit Documents 39

View Agreement / Submit Documents 40

Documents you will Submit 41

Submit Change Request 42

Submit Change Request 43

Submit Change Request 44

Change Request Form 45

Submit Change Request 46

Submit Reimbursement Request 47

Submit Reimbursement Request 48

Submit Reimbursement Request 49

Submit Reimbursement Request 50

Submit Reimbursement Request 51

Helpful Hints for Using EBS Portal Use browsers other than Internet Explorer (e.g. Edge or Chrome) If you forget your password, notify the SAP Help Desk – link is on EBS login page. System times out quickly – plan your work accordingly Check your SPAM or JUNK Folder for system e-mails All notification e-mails should include TIP number Use the “wrench” symbol to personalize each section for viewing 52

Thank you! Local Programs Management Office NCDOT – Transportation Program Management Marta Matthews 919-707-6626 [email protected] Madeline Rawley 919-707-6630 [email protected] 53