LOCAL PUBLIC AGENCY (LPA)
ADMINISTERED FEDERAL-AID
PROJECTS
2012 NACE/AACE Western Region Conference Laughlin, NV
November 1-2, 2012
1
Background
Next Steps
Moving Forward
MAP-21
EDC Initiative
Federal Aid Essentials
Introduction
2
Federal Highway Administration
2005 National Risk
October 25, 2007 Memorandum Internal Control-Material Weakness
Established Local Government Coordinators in each FHWA Division Office.
LPA Program $6 to $8 Billion
Represents 20% of the Federal-aid Highway Program
LPA Coordinator in every state
In Arizona – Sharon Gordon
Background – Local Public
Agency (LPA) Program
3
Increase Agency Communication
Improve Quality
Promote Consistency
Reinforce Regulatory Requirements
Moving Forward
4
MAP-21 – new legislation extending the Federal-aid Highway Program
EDC initiative for locals
Certification Acceptance
Consultant Service
Partnering
FHWA outreach on Federal Aid Essentials videos
Moving Forward
5
October 2012
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After 10 extensions, a 27-month bill
SAFETEA-LU expired on September 30, 2009
10 extensions (final one from July 1 to July 6, 2012)
Strong bipartisan vote for 27-month transportation bill
Passed 373-52 in the House
Passed 74-19 in the Senate
Also includes major non-transportation provisions, e.g.,
Extension of 3.4% interest rates for student loans
Reauthorization of flood insurance program
7
MAP-21 Themes/Highlights
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Reauthorizes the Federal-aid Highway Program
Strengthens America’s highway and public transportation systems
Creates jobs and supports economic growth
Supports the Department’s aggressive safety agenda
Simplifies and focuses the Federal program
Accelerates project delivery and promotes innovation
Establishes a performance-based Federal program
MAP-21 Major Features
Stable Funding
Program authorized through FY 2014
Current law extended through end of FY 2012
Most new provisions went into effect on October 1,, 2012
Average annual funding at FY 2012 levels (plus
minor inflation increase)
Extends Highway Trust Fund taxes and ensures 2
years of solvency for Highway Trust Fund (HTF)
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MAP-21 – Major Features
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Substantial Program Consolidation
Reduces many subprograms to 7 basic programs 1. NHPP
2. STP
3. CMAQ
4. HSIP
5. Railway-Highway Grade Crossings
6. Metropolitan Planning
7. Transportation Alternatives
No earmarks
Eliminates most discretionary programs
Program Structure Comparisons
MAP-21 SAFETEA-LU Law
National Highway Performance Program (NHPP) NHS, IM, & Bridge (portion)
Surface Transportation Program (STP) STP & Bridge (portion)
Congestion Mitigation & Air Quality Improvement
Program (CMAQ)
CMAQ
Highway Safety Improvement Program (HSIP) HSIP (incl. High Risk Rural
Roads)
Railway-Highway Grade Crossing
(takedown from HSIP)
Railway Highway Grade
Crossing
Metropolitan Planning Metropolitan Planning
Transportation Alternatives (setaside from
NHPP, STP, HSIP, CMAQ, and Metro Planning)
TE, Recreational Trails, and
Safe Routes to School
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$37.7 billion/year in formula funding
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National Highway
Performance
Program ($21.8)
Surface
Transportation
Program
($10.0)
HSIP ($2.2)
CMAQ ($2.2)
Transportation Alternatives ($0.8)
Metro Planning ($0.3)
Note: Amounts in $ billions; individual program amounts do not add
exactly to total due to rounding
Railway-Highway Crossing ($0.2)
National Highway Performance Program
(NHPP) $21.8 billion/year
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Funds an enhanced National Highway System, combining
functions of the existing NHS, IM and Bridge Programs
Enhanced NHS includes existing NHS, all principal
arterials, STRAHNET, and intermodal connectors
Requires an asset management plan
States set targets for conditions and performance
Min. standards for Interstate & bridge conditions in a State
DOT to set minimum standard for Interstate pavement condition
Law sets standard for NHS bridges -- no more than 10% of deck
area may be structurally deficient
Surface Transportation Program (STP)
$10.0 billion/year
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Continued flexible funding for Federal-aid highways,
plus safety and bridges on any public road
Eligibility for transportation enhancements, rec trails, ferry
boats, consolidated border infrastructure program, truck
parking facilities, and safe routes to schools (no set-aside)
50% of funds subject to suballocation based on population
Rural provisions enhanced
Rural planning organizations, if any, must be consulted
Up to 15% of rural suballocation may be spent on minor collectors
Highway Safety Improvement Program
(HSIP) $2.4 billion/year
Dramatically increases size of existing program
Maintains current structure; adds requirement for regular update
of the strategic highway safety plan
Keeps setaside ($220M/year) for rail-highway grade crossings
No high risk rural roads setaside unless safety statistics worsen
Secretary to establish measures and States to set targets for
number of injuries and fatalities (and number per VMT)
Strengthens link between HSIP and NHTSA programs 15
Congestion Mitigation & Air Quality
Improvement (CMAQ) $2.2 billion/year
Continues the current program with changes
Performance plans for large TMAs (to include air quality and
congestion measures)
States with PM 2.5 areas must use a portion of their funds to
reduce PM 2.5
Some expanded authority to use funds for transit operations
Explicit support for installation of facilities serving electric or
natural gas-fueled vehicles
CMAQ outcomes assessment study required 16
Transportation Alternatives (TA)
$814 million/year
17
Incorporates eligibilities from many current programs
Most (but not all) formerly Transportation Enhancement activities still
eligible
Recreational Trails program
Safe Routes to Schools program
Planning, designing, or constructing roadways within the ROW of
former Interstate or other divided highways
Similar funding level to TEs under SAFETEA-LU
Total TA $ equal to 2% of MAP-21 highway funding
Funded via takedown from each State’s formula funds
50% sub-allocated to LPAs for more local control
50% State allocation can be transferred to other formula programs
Under SAFETEA-LU
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Prior to MAP-21, most Federal-aid funds used on LPA
projects came from the:
Surface Transportation Program (STP),
Highway Bridge Program (HBP),
STP set aside for Transportation Enhancements (TEA),
STP set aside for Recreational Trails Program (RTP).
Congestion Mitigation & Air Quality Improvement Program
(CMAQ)
Federal Lands & Tribal Transportation
Generally followed Administration’s proposed structure:
Annual $
Federal Lands Transportation Program
(with new partners)
$300 million
Federal Lands Access Program $250 million
Tribal Transportation Program
(new formula for distribution among
tribes)
$450 million
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Federal Lands Transportation Program
(FLTP) – $300 million/year
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For projects that improve access within the Federal estate
(e.g., national forests, national recreation areas) on
infrastructure owned by the Federal government
Combines Park Roads & Refuge Roads programs; adds
new partners—Forest Service, BLM & Corps of Engineers
Some funds reserved for National Park Service & Fish and
Wildlife Service roads; remainder awarded competitively
Federal Lands Access Program (FLAP)
$250 million/year
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For projects that improve access to the Federal estate on
infrastructure owned by States and local governments
Distributed by formula based on
Recreational visitation
Federal land area
Federal public road mileage
Federal public bridges
80% of funds go to States with ≥1.5% of total public land
Each State’s programming decisions made by committee
(State DOT, FHWA and Local Agency Representative)
Requirement for local match
Tribal Transportation Program (TTP)
$450 million/year
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For projects improving access to and within Tribal lands
New statutory formula for distribution among tribes
(to be phased in)
Various set-asides
Up to 6% for BIA and FHWA project management & oversight expenses
Up to 2% for transportation planning
Up to 2% for priority program for improving deficient Tribal program-
eligible bridges
Up to 2% for safety projects on Tribal lands
Tribal supplemental funding
Emergency Relief (ER) Program
Authorized at $100 million per year
State must apply and provide a complete list of project sites
and costs within 2 years of event
May not exceed cost to repair/reconstruct comparable facility
Emergency repairs—
Option for Secretary to extend the 180-day limit on emergency repairs at 100%
when access to damaged areas is limited
For permanent repairs, up to 90% share if cost ≥ State’s annual apportionments
Debris removal from Stafford Act disasters funded by FEMA
Maintenance/operation of additional ferryboats or transit
eligible as substitute service 23
Accelerating Project Delivery
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Any State can choose to assume specific CE
designations in FHWA NEPA regulations
Construction Manager at Risk (CMAR) and/or
Construction Manager/General Contractor (CMGC)
contract delivery methods now available for use
Accelerated completion of complex projects (4 yr) when
State requests technical assistance
Increased Federal share for some innovative techniques
Accelerating the environmental process
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Environmental review process streamlining
FEIS and ROD combined in certain conditions
Allows for the use of planning products in the NEPA process (PEL)
Deadlines for issue resolution, with penalties for agencies
Programmatic mitigation plans
Reduced statute of limitations on claims (150 days, not 180)
Expanded authority for categorical exclusions
Multi-modal projects
Projects to repair roads damaged in declared emergency
Projects within existing operational right-of-way
Projects receiving limited Federal assistance
Freight provisions
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National Freight Policy
Establishment of National Freight Network, incl. Primary Freight Network,
remainder of Interstate System, and critical rural freight corridors
National freight strategic plan
Freight transportation conditions and performance reports
Development of transportation investment data and planning tools
Prioritization of projects to improve freight movement
For these projects, increases Federal share payable to 95% on the
Interstate System and 90% elsewhere
USDOT must certify project improves efficiency of freight movement
Project must be identified in a State freight plan
State freight advisory committees & freight plans encouraged;
plan required to qualify for increased Federal share
Other Notable Provisions
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Bridge and Tunnel Inspection
States may approve overweight permits for divisible
loads during major Stafford Act disasters
Truck size and weight—no changes, but requires a new
study and inventory of current state laws
Electric vehicle charging infrastructure in new or
previously funded fringe and corridor parking facilities
may be funded on otherwise eligible facilities
Other Notable Provisions Continued
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Rest areas—State may allow limited commercial activity
in Interstate rest areas; commercial activities may be
privately operated
Changes to Buy America requirements
• Administered on project level rather than contract level
• Any federal funds on contract cause application to
entire project
Changes to value engineering requirements
• $50M for NHS highway projects; $40M for NHS bridge
projects
• Not required off NHS, or for design-build projects
Performance Management
MAP-21 identifies national goal areas
USDOT establishes measures, with input
States set targets
State & metro plans describe how the organization will use program and
project selection to help achieve targets
States report to USDOT on progress toward targets
(within 4 yr. of enactment; biennially thereafter)
Reports typically lead to corrective actions (not sanctions)
Consequences if condition of NHS falls below thresholds
29
Special provision for Arizona & Nevada
30
MAP-21 (Section 1104)
designated US-93* between
Phoenix, AZ and Las Vegas,
NV as Interstate 11
* Technically, US-93 now ends at Wickenburg, AZ. A new alignment
for future I-11 will need to be established between Wickenburg and
Phoenix
2012 NACE/AACE Western Region Conference Laughlin, NV
November 1-2, 2012
31
Why an LPA Initiative?
32 32
Why an LPA Initiative?
• LPA Administered Processes:
– Environmental determination and mitigation
– Right-of-way Procurement
– Utility Relocation
– Design Standards
– Project Management
– Contract Compliance
– Quality Assurance
33 33
Why an LPA Initiative?
• LPA Concerns:
– Time and Cost of Project Delivery
– Communication, Coordination and Cooperation
34 34
Three Identified LPA Initiatives
• Certification/Qualification-type Programs
• Consultant Services Flexibilities
• Stakeholder Partnering
35 35
Three Identified LPA Initiatives
• Certification/Qualification-type Programs
• Consultant Services Flexibilities
• Stakeholder Partnering
36 36
Certification Program Initiatives
Adoption of a Certification Program : • Expand FHWA’s efforts to help State Transportation Agency
(STA) and Local Public Agency (LPA)s
• Opportunity to promote interagency partnerships
• Provide outreach and education
• Improve consistency across jurisdiction
• Assist STAs in management and administration of local programs and projects.
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Certification Program
• State formalized program, certifies the LPA ability to: – Administer/manage a phase(s)or project
development and implementation process
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Certification Program
The Certification Program is:
Option of the STA
Conducted through a signed agreement between STA and LPA(i.e. Identifying roles and responsibilities, approval authorities, etc.)
Multiple Projects
Project by Projects
Phased/ Tiered certification Approval
STA is responsible for LPA’s compliance with all applicable Federal requirements.
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Three Identified LPA Initiatives
• Certification/Qualification-type Programs
• Consultant Services Flexibilities
• Stakeholder Partnering
40 40
Consultant Services Initiative:
Highlight existing flexibilities for contracting and using consultants to:
• Assist STAs & LPAs in development & delivery of local projects
• Assist STAs in management & administration of local programs
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Why Use Consultants?
• Supplement agency staff
• Balance workload fluctuations
• Provide independent or specialized expertise
• Perform all aspects of project development & delivery
• Provide management & oversight services
42
Benefits of Implementing Consultant Flexibilities:
• Shortened time & reduced cost to:
– Procure consultants
– Develop & deliver projects
• Improved quality & performance of services
• Enhanced oversight of local programs & projects
• Compliance with Federal & State requirements
43
Three Identified LPA Initiatives
• Certification/Qualification-type Programs
• Consultant Services Flexibilities
• Stakeholder Partnering
44 44
Stakeholder Partnering Initiative
• Partnering
• General definition:
– A relationship created through an implied or expressed commitment between two or more parties who agree to share responsibility for the achievement of a specified goal.
45
Stakeholder Partnering Initiative
Partnering
There are two forms of partnering :
– Formal e.g. agreement
– Informal e.g. no agreement
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Stakeholder Partnering Initiative
• Stakeholder Partnering:
– Collaborative teamwork that allows a team of stakeholder members facilitate strategies to achieve measurable results through agreements and productive working relationships that will resolve issues by maintaining relationships, educating, and communicating processes to deliver the locally administered Federal-aid program and projects.
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Goal to Mainstream LPA Initiatives
• Implementation plan will establish goals for a specified number of STAs to adopt a process under each of the indentified initiatives:
• Certification/Qualification-type Programs
• Consultant Services Flexibilities
• Stakeholder Committee
• New practices are to be adopted by XX number of
STAs by 12/31/2014
48 48
Arizona Successful Practices
• ADOT Local Public Agency Project Manual
– ADOT Administration
– Self Administration
– Certification Acceptance Program
• ADOT On-Call Consultant Program
• Certification Acceptance Program
– Eight (Phoenix, Tucson, Scottsdale, Mesa, Tempe, Chandler, Pima County and Maricopa County)
49 49
EDCII Initiative - Goal:
Fostering Interagency partnership
Creating evaluation and streamlining processes
Monitoring and oversight
Providing outreach and education
Identifying performance measures
Expand FHWA’s efforts to help DOTs and LPAs
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Federal-aid Essentials for Local Public Agencies
2012 NACE/AACE Western Region Conference Laughlin, NV
November 1-2, 2012
51
Federal-aid Essentials for Local Public Agencies
What we’ll be talking about today…
What is Federal-aid Essentials?
Why did FHWA create Federal-aid Essentials?
Our guiding philosophy
Web site
Library of video modules
Companion resources
State and local resources
Take a tour
Web site
Video library
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What is Federal-aid Essentials for Local Public Agencies?
• A new Web site, and more!
• An online hub of information LPAs can use to understand the Federal-aid Highway Program requirements
Dynamic videos
Illustrated examples
Printable takeaways
Expansive resources
• Federal-aid Simplified!
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Why create Federal-aid Essentials?
Complex system
Diverse users
Funding responsibilities
Regulations
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Why create Federal-aid Essentials?
Complex system
• Local governments – primarily counties, cities & towns, or LPAs–own and operate about 75 percent, or roughly 2.9 million miles, of the Nation’s highway network
Diverse users
Funding responsibilities
Regulations
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Why create Federal-aid Essentials?
Complex system
Diverse users
• There are more than 28,000 cities, towns & counties: some with extensive Federal-aid experience and others with none
Funding responsibilities
Regulations
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Why create Federal-aid Essentials?
Complex system
Diverse users
Funding responsibilities
• Of the nearly 28,000 LPAs in the U.S., each year an estimated 7,000 of them are actively managing about $7 billion in Federal-aid projects
• 15% of our Federal-aid program
Regulations
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Why create Federal-aid Essentials?
Complex system
Diverse users
Funding responsibilities
Regulations
• Federal requirements scattered among various Web sites and manuals
• Sometimes difficult to decipher
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Our Guiding Philosophy
Easily accessible
Easy to understand
Self paced Available anytime
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Our Guiding Philosophy
Easily accessible
• Available anywhere with internet access: desktop, laptop, tablet or smart phone
• Web site links to FHWA YouTube channel – no firewalls or passwords
• Free
Easy to understand
Self paced Available anytime
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Our Guiding Philosophy
Easily accessible
Easy to understand
• One topic per module
• Concise, quick videos – 4 to 7 minutes
• Helpful graphics and examples
• Plain language takes the guesswork out of understanding
Self paced Available anytime
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Our Guiding Philosophy
Easily accessible
Easy to understand
Self paced
• Watch what you want when you want as many times as you want
• In order or in YOUR order
Available anytime
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Our Guiding Philosophy
Easily accessible
Easy to understand
Self paced
Available anytime
• Virtual
• On demand
• 24/7
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The Web site: Federal-aid Essentials
• Three main components of the Web site:
Vast library of videos
Printable takeaways
Additional resources/contacts
• Other features
Feedback mechanism
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Library of Video Modules
• Modules cover 7 main categories
• Categories reflect key activities of the Federal-aid Highway Program
• Videos are about 4 – 7 minutes long
• Concise content provided in plain language
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Companion Resources
• Takeaways – printable resources and extra information, includes text of video content
• Additional web links are posted for other resources, such as: The main FHWA program page
The applicable CFR section
Existing FAQs and more
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• State coordinator
• State manual
• State Web page
• FHWA Division Office LPA coordinator
• Local Transportation Assistance Program (LTAP) Center
Directory of State and Local Resources
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Feedback
• Comments are welcomed, and easily provided on the Feedback page, regarding:
A specific video
The videos in general
The site in general
• Or by email to [email protected]
68
Let’s take a look at the Web site!
www.fhwa.dot.gov/federal-aidessentials
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A Peek Inside the Library
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Sample Topics in Library of Video Modules
Main Categories
Federal-aid Program Overview
Civil Rights
Environment
Finance
Right-of-Way
Project Development
Project Construction and Contract Administration
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Sample Topics in Library of Video Modules
Federal-aid Program Overview
• Stewardship and Oversight
• A Process from “Cradle to Grave”
• Funding Basics and Eligibility
• Project Requirements
• National Bridge Inspection Standards
• Procuring Consultant Services
Civil Rights
Environment
Finance
Right-of-Way
Project Development
Project Construction and Contract Administration
72
Sample Topics in Library of Video Modules
Federal-aid Program Overview
Civil Rights
• Nondiscrimination Requirements on Construction Contracts
• Foundations of the ADA/Section 504
• Disability Protections
• Disadvantaged Business Enterprise Program Overview
Environment
Finance
Right-of-Way
Project Development
Project Construction and Contract Administration
73
Sample Topics in Library of Video Modules
Federal-aid Program Overview
Civil Rights
Environment
• Overview of NEPA as Applied to Transportation Projects
• Environmental Impact Statement
• Purpose & Need, and Alternatives
• Public Involvement
• Agency Coordination
Finance
Right-of-Way
Project Development
Project Construction and Contract Administration
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Sample Topics in Library of Video Modules
Federal-aid Program Overview
Civil Rights
Environment
Finance
• Introduction to Cost Principles
• Internal Control Regulations and Requirements
• Developing an Indirect Cost Allocation Plan
• Matching or Cost Sharing Requirements
Right-of-Way
Project Development
Project Construction and Contract Administration
75
Sample Topics in Library of Video Modules
Federal-aid Program Overview
Civil Rights
Environment
Finance
Right-of-Way
• Introduction to Right-of-Way
• Requirements and the Uniform Act
• Property Management
• Acquisition and Negotiation
• Relocation Assistance
Project Development
Project Construction and Contract Administration
76
Sample Topics in Library of Video Modules
Federal-aid Program Overview
Civil Rights
Environment
Finance
Right-of-Way
Project Development
• Projects and Statewide Planning Requirements
• Selecting the Method of Construction: Contract or Force Account
• Project Advertisement, Bid Review, and Request for Concurrence in Award
• Project Geometric Design Requirements
• Bike and Pedestrian Accommodation
Project Construction and Contract Administration
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Sample Topics in Library of Video Modules
Federal-aid Program Overview
Civil Rights
Environment
Finance
Right-of-Way
Project Development
Project Construction and Contract Administration
• Introduction to Project Construction and Contract Administration
• Construction Quality Assurance
• Project Closeout
• Contract Time and Schedule Management
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What’s Next
• Continued outreach
• Review of feedback and comments
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Federal-aid Essentials for Local Public Agencies
www.fhwa.dot.gov/federal-aidessentials
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• http://www.fhwa.dot.gov/map21/Next Steps
• http://www.fhwa.dot.gov/everydaycounts/
• http://www.fhwa.dot.gov/federal-aidessentials/
References
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Ken Davis, Senior Engineering Manager – Operations
Federal Highway Administration -Arizona Division
Sharon Gordon, Local Programs Engineer
Federal Highway Administration-Arizona Division
Working Together To Achieve Success
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