udot university project financial management

PROJECT FINANCIALMANAGEMENTYour Path to Project Accounting

Fall 20

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Table of Contents

Last revised 10/17/2012

1- INTRODUCTION.................4 • ThePathtoUnderstanding

ProjectFinance

2- BASIC PROJECT ACCOUNTING....................7

• AccountingSystemvs.Business System

• ProjectFunding • FiscalAccounting • UnderstandingFederal-aid • ProjectCostManagement • ProjectAccountingReportToolbox • FundingIncrease/DecreaseProcess • PotentialFinancialHazards • Summary

3- PROJECT PIN CREATION PROCESS........................18

‘PROPOSED’ to ‘STIP’ Status • ProjectPINCreationProcess

Overview • PotentialFinancialHazards • Summary

4- CONCEPT DEVELOPMENT (CD) PROCESS................21

‘PROPOSED’ to ‘CONCEPT COMPLETE’ Status

• CDBudget • ConceptReportCostEstimate • CDProcess • PotentialFinancialHazards • Summary

5- PRECONSTRUCTION PROCESS........................25 ‘SCOPING’ to ‘ACTIVE’ Status

• ScopingtoActiveDesign • In-houseResources • ConsultantServicesContracts • LocalGovernmentSponsoredProjects • ProcurementGuidelines • LocalGovernmentandThird-party

Betterments(FacilityUpgrades) • Pass-throughProjectAgreements • UtilityAgreements • ROWAgreements • EligibleConstructionActivities • PotentialFinancialHazards • Summary

6- ADVERTISE CONSTRUCTION PROCESS........................36

‘ADVERTISED’ Status • ConstructionAdvertisement • ProgramFinance • AdvertisingNotification • FundingAuthorization • ContractAddenda • ContractBidOpening • ContractAward • Re-advertisementorNon-award • PotentialFinancialHazards • Summary

TABLE OF CONTENTS

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UDOTUniversity|ProjectFinancialManagement

7- CONSTRUCTION AND POST-CONSTRUCTION PROCESSES....................44 ‘UNDER CONSTRUCTION’ to ‘CONSTRUCTION CLOSEOUT’ Status

• UnderConstructionOverview • ConstructionChangeOrders • ConstructionContractClosing

Overview • ConstructionCompletion

ProcessDetails • Post-constructionCompletion

ProcessDetails • PotentialFinancialHazards • Summary

8- FINANCIAL PROJECT CLOSEOUT PROCESS....50

‘CLOSEOUT’ to ‘CLOSED’ Status • ePMProjectCloseoutNetwork • ProjectTrackingOracle

Database • PotentialFinancialHazards • Summary

9- CONCLUSION..................53

10- GLOSSARY....................54

BackgroundInformation/Details

Defintions

Examples/Hints

LocalGoverment

Calloutboxescanbefoundthroughouttheguideto helporganizeinformation. Thefollowinglegenddenoteswhattypeoftheinformationthecalloutboxeshold,dependingonthecolorof theheader.





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Chapter1

ThegoalforthisguideistoprovideProjectManagers(PMs)withanoverviewoftheprojectfinancelifecycleandtogivethemtoolstominimizetheproject’sfinancialriskandmakebestuseofbudget.

ManagingthefinancesofaprojectisoneofthemostimportantresponsibilitiesofaUtahDepartmentofTransportation(UDOT)PMandProjectDeliveryTeam(PDT).Thechallengeisbalancingalimitedprojectbudget,theappropriatelevelofscope,andtheteamschedule.ThisProjectFinancialManagementguidegivesacomprehensiveoverviewofwhatittakestosuccessfullymanageaprojectbudget,teachthebasiclanguageofprojectfinance,andfulfillyourfinancialroleandresponsibilitiesduringthelifeofaproject.

Additional links to resources will be given to describe the various features of project finance, which include:

• Appropriateprojectfundingauthorization• Accurateprojectbudgetplanning• Costcontrolstoreachmilestonesunderbudget• Qualitybudgetandcostestimatereporting

ThePMandthePDTmustdefinethevariouspartsofaproject’sbudgetinordertomaintainfinancialcontrolthroughout.Thentheymustcontinuallyrefine,monitor,update,andreportonit.Goodteamcommunicationisnecessarytoensurethateveryoneisworkingeffectivelywithintheproject’sallottedtimeandbudget.Adjustmentstotheprojectorteam’sstrategymightbeneededifthebudgetortimelinechanges.

ThePDTassiststhePMindevelopingandmonitoringthebudget.ThePDTmembersare thetechnicalexpertsintheirrespectiveareasanditistheirresponsibilitytoknow,manage andcommunicatetheirpieceoftheproject.Theywilldevelopandnegotiatethebudgetundertheirareaofexpertise.

Itisimportanttoroutinelyremindtheteamabouttheirvaluablefinancialroleontheproject.

1 INTRODUCTION

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THE PATH TO UNDERSTANDING PROJECT FINANCEWiththeexceptionofChapter2’sBasicProjectAccounting,theremainingsectionsofthisguidefollowthebasiclifecycleprocessesandmilestonesofatransportationproject.Theprojectlifecycleincludes:

ThelifecyclePhases and electronic Program Management (ePM) PIN Statusesserveasbudgetmilestonesandcheckpointopportunitiestovalidateprojectedcostestimates,accountforactualexpenditures,confirmprojectphasebudgets,andensurebudgetriskcostcontrolsareinplace.

Stewardshipofyourbudgetinvolvesplanningandcontinualmonitoringtocontroltherisklevelsbetweenthebudget,scope,andschedule.Budgetriskscanbemanagedsotheydonotjeopardizethesuccessoftheproject. The UDOT Project Manager Guide describesoneprinciplethathelpsminimizebudgetriskscalledtheMITARprocess:Monitor,Investigate,TakeAction,andReport.UsingMITARtobudgetriskfactorscausedbynewscopeorscheduleinformationwillhelpkeepthingsoncourseandmovingforward.

PROJECT FINANCIAL LIFE CYCLEInitialSpendingRequestThroughFinancialCloseout

MITAR PROCESS

Monitor: Trackandcompareprojectprogresstothebaselineprojectplan.

Investigate: Explorethecausesandpossibleresolutionstochangesinscope,schedule,budget,andteam.

Take Action: Manageandrecordthechanges,issues,andrisksthatemergeastheprojectprogresses.

Report: Communicateactualperformance,progresses,variances,andactionstakentoappropriatemembersof theorganization.

Construction and Post Construction Processes

Preconstruction Process

Financial Project Closeout Process

Project PIN Creation Process

Advertise Construction Process

Concept Development (CD) Process

http://www.udot.utah.gov/main/uconowner.gf?n=11629627145755385



http://www.udot.utah.gov/main/f?p=100:pg:0:::1:T,V:4011

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Chapter1

Engineering Technology Services:EngineeringTechnologyServices(ETS)ispartofUDOT’sProjectDevelopmentgroup.ETSsupportsanumberofapplicationsusedbyRegionandProjectDevelopmentpersonnelinthedeliveryofUDOT’sroadwayplanning,design,andconstructionprogram.TosupportUDOT’svarioususercommunities,ETSisorganizedintofiveteams:EnterpriseProgramManagement(ePM);ProjectWise;GraphicalInformationSystems(GIS);ProjectDevelopmentBusinessSystem(PDBS);andComputerAidedDesign&Development(CADD).Eachoftheseteamsisresponsibleforallaspectsofsupportfortheirrespectivecustomers.

ETS

Region Program and Project Management:Program/ProjectManagementisresponsibleformaintainingsuccessfulprogramdelivery. ProgramManagersandPMsplan,execute,monitor,construct,document,report,andcloseouttransportationprojectsfromcradletograve.Thekeytobalancingtheseactivitiesistomanagetheprocessesandtransitionsthroughallphasesoftheproject.

Construction Advertising:TheConstructionAdvertisingteamprovidescontractadvertisingsupportservicestoensurethequalityandintegrityofbiddocuments,fairbidpractices,strongcompetitivebidopportunities,andanefficient,streamlinedawardprocess.

Construction:TheCentralConstructiondivisionprovidescontractsupportservicestoensurequalitycontractadministration,laborcompliance,inspection,materialstesting,andconstructionoversight.Attheregionlevel,theResidentEngineer(RE)providesConstructionEngineeringManagement(CEM).

Program Planning and Funding:SystemsPlanningandProgrammingworkswiththeRegionofficestoplanandmonitortransportationsystemhealth,identifytransportationneeds,establishSTIPtransportationplans,andensureanefficientannualprogramdelivery.

Comptroller: TheComptroller’sofficeprovidesfinancialdatatoaiddecision-makingandprotectthebestinterestsofthepublic.Theysupportthesegoalsthroughthreemajorbusinessfinanceareas:• ProjectandFederal-aidAccounting(projectbillingandcostandcollectionsmanagement)• BudgetandFinancialReporting(revenueforecasting,cashflowanalysis,andmanagingthe

annualtransportationbudget)• GeneralAccounting(financialsystemcontrolsandsupport,generalaccountspayable/receivable,

contractencumbrance/payments,andUDOTpayroll)

$$$

Program Finance:TheProgramFinanceofficeensuresfinancialauthorizationintegrityforprogrammedtransportationhighwayfunds.IthelpsUDOTprojectmanagement,seniorleadership,administrativepartners(suchasFAWA),andotherlocalagenciesmaintaininformationregardingtheirprogramandprojectfinances.

Navigating the process of project finance can be challenging at times. Discipline icons are featured at the beginning of each chapter. These will help you better understand the finance disciplines associated with each process. Here is a list and description of the icons:

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Costisoneofthemajorfactorsusedtodeterminethesuccessofaproject.Inordertomanagecostsefficientlyandaccurately,theProjectFinancialteamsandthePMshouldbewellacquaintedwithallfinancedetails.Thischapterreviewsfinancesystems,fundingsourcesandtheiruniquelimitations,financemanagement,andpotentialhazards.Byunderstandingtheseareasandcommunicatingprojectstatusandchangesappropriately,theteamsandthePMcansecuresuccessfulprojectdelivery.

2 BASIC PROJECT ACCOUNTING

ACCOUNTING SYSTEM VS. BUSINESS SYSTEMIt is important to recognize the distinction between an accounting system (FINET) and a business system (ePM, OMS, PDBS). TheofficialstateaccountingsystemisUtahState’sFinancialNetworksystem(FINET). Allfinancialtransactionsarerecordedinthisaccountingsystem.ManyUDOTbusinesssystemssuchasePM,OMS,andPDBSaccessFINETdatatoprovidefinancialinformationtoUDOTusersinaconvenientandeasy-to-understandformat.

AnaccountingsystemlikeFINETconsiderstheindependentfactorsofexpense/revenue,debit/credit,andpositive/negative.TheUDOTbusinesssystemssimplifythedatatoonebottom-linenumberthatcanbeeither positiveornegative.Thisonesimple numberisusuallyadequateforUDOTPMs.ContacttheComptroller’sofficewhenmoredetailisrequired.UDOTbusinesssystemsprovidefinancialdata,butthe information found in FINET is the official record.

FINET CodingTheFINET coding block is divided into twoelements:• Fund Accounting Elements:Required

foralltransactions(Fund,Department,Unit,Appropriation,Object,and RevenueSource)

• Cost Accounting Elements:Notrequired,butareusedextensivelybyUDOT(Program,Phase,andActivity)fortracking,spendinganddecisionmaking


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Chapter2

PROJECT FUNDINGUDOTaccountsfortheappropriateuseoffundsfromvarioussourcesthroughouttheprojectfundingprocess.Thisincludesreceivingfundsandunderstandingtheregulationsandspendinglimitations.

AprojectisfirstproposedontheStatewideTransportationImprovementProgram(STIP)forfunding.TheSTIPisafive-yearplanapprovedbytheUtahTransportationCommission. OnlytheearliestorfirstyearoftheSTIPisfundedandspendingauthorized.ThefutureyearfundsandprojectsremaintobeapprovedbytheUtahTransportationCommissioneachyear.

Aprojectmaybeamendedfromanon-fundedSTIPyearifrecommendedbyUDOTProgramFinanceandapprovedbytheCommission.SeeTransportation Program Funding for anexample.

STIPfundsareprogrammedatastatewidelevelbytheProgramFinanceDirectorandSTIPCoordinator.StateandfederalfundsarefiscallyconstrainedtowhatisavailableinthecurrentStateorFederalfiscalperiod.

See the links below to understand the relationship among various terms.• Fund Accounting and Cost Accounting Definitions• Analogous Terms Guide • UDOT Programs Chart

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FISCAL ACCOUNTINGState Fiscal Year:BeginsonJuly1andendsonJune30.UDOTisrequiredtoreport eachfiscalyearseparately.Services and goods delivered to UDOT must be reported in the same fiscal year in which they are received.Projectsmayspanmultiplefiscalyears,spendingisreportedannually.

Federal Fiscal Year:BeginsonOctober1andendsonSeptember30.StatesarerequiredtoobligateallfederalSTIPfundsannuallysoitiscriticalthatprojectsaredeliveredintheplannedconstructionyear.

FHWA usually closes their Financial Management Information System (FMIS) the last two weeks in September, so if you plan your project to advertise in September, allow sufficient time for the advertising obligation process.

UNDERSTANDING FEDERAL-AID

Federal Project ReimbursementTheFederal-aidHighwayPlanningandConstructionProgramisareimbursable program. Thismeansfederalfundsarenever advancedtothestateorlocalmunicipalities.Theprojectmustincureligiblecosts,thenrequestreimbursementforthefederalprorata(proportionateallocation)share.Enhancementprojectshaveaminimumof80percentfederaland20percentstateorlocalshare.Otherfundtypesrangefrom94.18percentto50percentfederalparticipationrate,dependingonwhatismandatedbyU.S.Congressinthetransportationbill.ThereimbursementUDOTreceivesforeachprojectislimitedtothefederalagreementamountinFMIS.FundingbreakdownisshownonePMscreen710.

STATE FISCAL YEAR CUTOFF EXAMPLE

Consultant provides services in May 2013: ThisexpensemustbereportedinFiscalYear2013,whichendsJune30,2013,evenifpaymentisnotapproveduntilJuly2013.

IfthePMknowsthereareissuesthatwilldelaysubmittingtheinvoicetotheComptroller’sofficebythelastweekofJuly,thePMmustcontacttheComptroller’sofficetocreateaFINETAccountingAccrualentryplaceholder.

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Chapter2

Projectexpendituresareincurreddailyonactivefederal-aidprojects.TheUDOTComptroller’sofficeprocessesaweeklyfederalbillingtoFHWAforreimbursementofeligibleprojectexpendituresincurredthepreviousweek.AnelectronicbillisinterfacedintoFHWA’sRapidApprovalandStatePaymentSystem(RASPS)fornextdayreimbursementtoUDOT. Thistightfederalreimbursementschedulemakesaccuratecodingandtimelycorrection ofprojectexpenditurescritical.SeeFinancing Federal-aid Highways for details.

OTHER AGENCIES MATCHING SHARE

Federal-aid Agreement (FAA): ThisagreementholdslocalgovernmentsresponsiblefortheirmatchandineligiblecostonprojectsadministeredbyUDOT.Theagreementneedstoshowestimatedmatchcostsandtherequirementsforadvancingthefunds,suchasmilestoneand timeframes.UDOTholdslocalgovernmentfundsintheirbehalfondeposit,thenbillsagainstthemquarterly.

Betterment Agreement: Theseareseparateagreementswherelocalgovernmentsandotheragenciesrequestfacilityupgrades.Bettermentagreementsdefineandmakethelocalagencyresponsibleforfundingandmaintainingtheseimprovements.

The Sum of Prior and 2012 FederalObligation=Total Obligation to Date

This represents state match forwhat was obligated during 2012

Federal %

Select the Project Number tab,then the Current Federal tab

Locate the Federal Percent on a Federal Project using the ePM 710 Screen

http://www.fhwa.dot.gov/reports/financingfederalaid/index.htm

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Ineligible Federal Reimbursement CostsPrinciplesandstandardsfordeterminingeligiblecostsforfederalawards,projects,andprogramsareestablishedunderFederal 2 CFR Part 225.TheseprincipleshelpUDOTpromoteeffectiveprogramdelivery,efficiency,andbetterrelationshipsbetweentheFederalGovernmentandotheragencies.

FINETrecognizestheeligibilityoffederalreimbursementonprojectexpendituresthroughtheactivitycode.Allactivitiesbeginningwiththeprefix8areeligible.FINET will recognize the project as eligible for federal reimbursement if there is no activity within the coding block. Expenditures with an activity prefix 7 are ineligible.

Seeproject expenditures incurred on federal-aid and state programs formoreinformation.

TYPES OF PROJECT INELIGIBLE COSTS

• ROWeconomicremnants(23CFR710.203, Subpart6)

• Food/beverageatmeetings• Office/engineeringsuppliesformultipleprojects• Training(exceptiononannualprojectsetup)• Equipmentpurchase(inverylimitedsituationsallowedwithpriorFHWAapproval)

• Reception/entertainmentcosts• Laboractivitespertainingtogeneraladministration/operationofdepartmentnotdirectlyrelatedtotheproject

• Betterments• Computersupplies• Books• Coststhatbenefittheentireprogramandnotaspecificproject

• Maintenance• Finesandpenalties

http://www.whitehouse.gov/sites/default/files/omb/fedreg/2005/083105_a87.pdf



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Chapter2

ProjectaccountingcodesaresetupbyProgramFinancetohelpUDOTtrackprojectfinancesintheaccountingandbusinesssystems(FINET,FMIS,ePM,OMS,PDBS).ProgramFinanceassignsaprojectnumber,FINETprogramandphasecodes,afteraprojectisapprovedontheSTIP.FMISprojectIDnumbersaregeneratedautomaticallywhenfederalfundsareprogrammed.Eachphaseofaprojecthasaspecificauthorizationprocessandanassociatedchargingphasecode.

Afterthenumbersareassigned,ProgramFinanceobtainsthenecessaryapprovalsR-709(federal),orR-76(state)forms. Theprojectphaseisnowreadyforspending.

TheUtahTransportationCommission,ProgramFinanceDirector,FinancialAuthorizationTeam,STIPCoordinator,PM,andRegionProgramManagereachplayaspecificroletoensurefundingadjustmentsaremade,authorized,andupdatedineachbusinessandaccountsystem.

PROJECT COST MANAGEMENTProjectcostmanagementisaccomplishedthroughthreebasicprocesses:• Cost estimating:Estimatingdesignandconstructioncostsneededtocompletetheproject• Cost budgeting:Assigningcostestimatestoindividualworkitemstoserveasa

baselinebudget• Cost control:Controllingchangestoscopeandschedulethatimpacttheprojectbudget

PHASE CODES

• 04M ConceptDevelopment-UDOT• 24M ConceptDevelopment- Consultant*• 20N Environmental-UDOT• 25N Environmental-Consultant*• 01D PreliminaryEng-UDOT• 15D PreliminaryEng-Consultant*• 03C ConstructionEng-UDOT• 13C ConstructionEng-Consultant*• 06K ContractorPayments*• 07R ROW• 12S StateForces• __H TOC/Research/Planning• 10U UtilityRelocationsContracts*• 02A PostAuditCosts• _ _T CooperativeAgreements

*Restrictedforcontractualexpenditures

Approval must be placed before proceeding to the next project phase.

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PROJECT ACCOUNTING REPORT TOOLBOXCOGNOSisUtahstate’sreportingandperformancemanagementtool.TheCOGNOS PM Toolbox containsprojectfinancialreportsfromtheStateFinanceandUDOTDataWarehouses.Thesedatabasesprovideflexibleandefficientaccesstoprojectaccountingfinancialdata.ItcollectsinformationfromsystemsthathelpmanagetheFederal-aidandStateHighwayProgram.Projectfinancialdataisupdateddaily.

Project financial data is only as good as the quality of the input.ThePMisresponsibleformonitoringandverifyingthequalityofprojectfinancialandbudgetinformation.

UDOT and State Data Report ToolsDatacomesfromtheaccountingandbusinesssystemsandgoesintodatabasestocreatevariousCOGNOSreports.TheUDOTandstatedatabasesprovideefficientweb-based accesstoprojectaccountingreportstohelpvalidatetheePM505and495screen expenditures.RefertotheData Integration Chart tobetterunderstandhowtheePMinformationfeedsthesedatabasesandreports.

Review the instructions on how to access the State Finance Data and Reports.

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https://reports.udot.utah.gov/cognos/cgi-bin/cognos.cgi?b_action=xts.run&m=portal/cc.xts&m_folder=i57180A52A7C24F56ADDBAD01C8E136ED&m_folder2=m-iE7F4280A42BB4B989AE1591A94A3EF01



https://reports.udot.utah.gov/cognos/cgi-bin/cognos.cgi?b_action=cognosViewer&ui.action=run&ui.object=%2fcontent%2ffolder%5b%40name%3d%27ePM%27%5d%2ffolder%5b%40name%3d%27Production%27%5d%2ffolder%5b%40name%3d%27Project%20Management%27%5d%2freport%5b%40name%3d%27Link%20to%20Financial%20Reports%27%5d&ui.name=Link%20to%20Financial%20Reports&run.outputFormat=&run.prompt=true&ui.backURL=%2fcognos%2fcgi-bin%2fcognos.cgi%3fb_action%3dxts.run%26m%3dportal%2fcc.xts%26m_folder%3di9015A3F2D25B4A7B82D756C2F2AAC28B%26m_folder2%3dm-iE7F4280A42BB4B989AE1591A94A3EF01

https://login2.utah.gov/user/loginUMD?TYPE=33554433&REALMOID=06-000d6a40-402e-1181-b9bb-83194589feb9&GUID=NO&SMAUTHREASON=0&METHOD=GET&SMAGENTNAME=$SM$Z4SWw6YVAcVOIholPfWSIxLPbcoeG3cQftQtHH3cH%2fs%3d&TARGET=$SM$http%3a%2f%2fdatawarehouse%2eutah%2egov%2fnew_finet%2findex%2ehtm

https://login2.utah.gov/user/loginUMD?TYPE=33554433&REALMOID=06-000d6a40-402e-1181-b9bb-83194589feb9&GUID=NO&SMAUTHREASON=0&METHOD=GET&SMAGENTNAME=$SM$Z4SWw6YVAcVOIholPfWSIxLPbcoeG3cQftQtHH3cH%2fs%3d&TARGET=$SM$http%3a%2f%2fdatawarehouse%2eutah%2egov%2fnew_finet%2findex%2ehtm

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Chapter2

FUNDING INCREASE/DECREASE PROCESSThePMworkswiththeRegionProgramManagertogiveprojectbudgetrecommendationstotheProgramFinanceDirector(STIPCoordinator).TheSTIPprojectamountisamendedifchangessuchasanincrease,decrease,ortransferoffundsareneededatanytimeinaprojectlifecycle.Herearetwosituationsyoumayfacewhendealingwithbudgetadjustments:• A requested amount greater than 25 percent of the project value or $500,000,

whichever is lower:AUDOTCommissionactionisrequiredtoapprovetheamendment.RememberthattheSTIPisafinanciallyconstraineddocument,approvedannuallybytheUDOTCommission,FHWA,andFTA.Fundsaddedtooneprojectmustbetakenfromanotherprojectorprograminthesameorpreviousfundedyear.Federalfundsare adjustedinFMISbyProgramFinance.ProjectadjustmentreportsaresentfromProgramFinancetotheComptroller’sofficetoupdateFINETandfederalbillingrecordstoensurefiscalaccountability.

• Local government project funding changes:ThelocalgovernmentorurbanareaMPOorJointHighwayCommitteemustbeincludedinthenegotiationwhenafundingadjustmentinvolveslocalgovernment-sponsoredorpass-throughfunds.TheirapprovalisneededbeforeaSTIPamendment.MPOscreatethelocalTransportationImprovementPlan(TIP)thatrollintotheSTIP.TheirTIPswillbeamendedatthattimeaswell.

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POTENTIAL FINANCIAL HAZARDSBelowaresolutionstopreventcommonfinancialhazardsthatanewPMcanactivelymanageandavoid:• Verify financial authorization:VerifythattheR-709and/orR-76authorizationformis

inProjectWiseatthebeginningofeachprojectmilestone.ThisconfirmstheprojecthasreceivedauthorizationfromFHWAand/orUDOTProgramFinance.

• Verify that funds for the next project stage are in the current year:ConfirminePM thatthenextphaseofprojectactivities(suchasEnvironmental,PreliminaryEngineering, orConstruction)isfundedforthisyear.Reviewtheencumberedbudgetbalancereport locatedinthePMToolboxinCOGNOS.

• Confirm environmental clearance approval:Approvalmustbeinplacebeforeproceedingtoadvertiseonprocurementprojects,ortothePS&EDesignStageonDesign-Bid-Build,whichis30percentdesignatcompletionoftheProjectDeliveryNetwork’sPlan-in-Hand.

• Coordinate early for local government betterments and FAA:InitiatetheseagreementsassoonasthePMisawareoftheneed.CoordinateuniqueagreementfeatureswiththeComptroller’sofficesotheycanensuretheproperbilling.

• Plan, monitor and report the project budget:UseePM screen 505tosetupthebudgetandroutinelymonitorandupdateittoreflectnewprojectinformation.SeethePM Guide,Section4:BudgetMITAR(Monitor,Investigate,TakeAction,andReport)processfordetails.


http://www.udot.utah.gov/main/f?p=100:pg:0:::1:T,V:3077,


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Chapter2

SUMMARYPMsneedtolearnthebasicaccountingtermsinvolvedwithcostestimating,costbudgeting,andcostcontrolinordertomanageprojectcostseffectively.

BecomingfamiliarwithFINETisessentialbecauseitprovidesanofficialprojectaccountingrecordanddetails.

UDOTmusthavepreauthorizationfromFHWAandProgramFinancebeforeincurringprojectcosts.ThisisacriticalsteprequiredforexecutionofprojectcontractsandROWactivities.Costs are ineligible for federal reimbursement on federal-aid projects without advance authorization before starting with the next phase of work.

Federalreimbursementonlycoverseligiblecosts.Federalfundsmustbematchedwithstateorlocalfundingsourcesforalmostallconstructionorimprovementprojects.ProjectsmustbeapprovedbytheCommissionandlistedintheSTIPtoreceivefunding.

TheStateFinanceandUDOTDataWarehousesarecriticalforreporting,monitoringandanalyzingintegratedprojectfinancialinformation.ThePMmustactivelymanagefinancialrisksandensuretheaccuracyoftheePMandPDBSdatathatfeedthedatabases.

• Confirm agreements are in place before proceeding to Construction Advertising: Ensureallutility,ROW,federal-aid,andbettermentagreementsareinplaceandexecuted.Ensuretheadvertisingpackagedefinesthecontractlimitationsofconstructioniftheyarependingexecution.Anylimitationsofthecontractor’soperationsshouldbeincludedintheproject’s00555MProsecutionandProgressspecialprovision.

• Confirm the on-call contract is set up before initiating a Work Task Order (WTO): Verifythattheon-callcontractusedfortheWTOhassufficientremainingfundsandlength oftimebeforeproceedingwithproposedWTOactivities.

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TOOLS AND RESOURCES

• Forguidanceonmanagingfinancialcostsontransportationprojects,referto UDOT 08-04 and Project Financial Management Team.

• RefertotheFINET coding block to findoutmoreaboutfundaccountingandcostaccountingelements.

• RefertoFund Accounting and Cost Accounting definitions, Analogous Terms Guide,and UDOT Program Chart forvarious termsanddefinitions.

• SeeTransportation Program Funding foranexampleofamendingaprojectfromanon-fundedSTIPyear.

• SeeFinancing Federal-aid Highways fordetailsonUDOTreimbursementthroughFHWA.

• Referto2 CFR Part 225 todetermineeligiblecostsforfederalawards,projectsandprogramsestablishedunderFederal2CFRPart225.

• Refertothefirstdigitoftheactivitycodetodeterminereimbursement eligibility of an activity code.

• Seeproject expenditures incurred on federal-aid and state programs formoreinformationonfederalreimbursementcosts.

• ObtainthenecessaryspendingauthorityapprovalsbyworkingwithProgramFinancetocompletetheR-709 and/or R-76 forms.

• TheCOGNOS PM Toolbox containsprojectfinancialreports fromtheStateFinanceandUDOT DataWarehouses.

• RefertotheData Integration Chart tobetterunderstandhowtheePMinformationfeedsdatabasesandreports.

• ReadinstructionsonhowtoaccesstheState Finance Data and Reports.

• Access local government betterment andfederal-aidagreements.

• UseePM screen 505tosetupthebudgetandroutinelymonitorandupdateittoreflectnewprojectinformation.











http://www.fhwa.dot.gov/reports/financingfederalaid/index.htm

http://www.whitehouse.gov/sites/default/files/omb/fedreg/2005/083105_a87.pdf









https://reports.udot.utah.gov/cognos/cgi-bin/cognos.cgi?b_action=cognosViewer&ui.action=run&ui.object=%2fcontent%2ffolder%5b%40name%3d%27ePM%27%5d%2ffolder%5b%40name%3d%27Production%27%5d%2ffolder%5b%40name%3d%27Project%20Management%27%5d%2freport%5b%40name%3d%27Link%20to%20Financial%20Reports%27%5d&ui.name=Link%20to%20Financial%20Reports&run.outputFormat=&run.prompt=true&ui.backURL=%2fcognos%2fcgi-bin%2fcognos.cgi%3fb_action%3dxts.run%26m%3dportal%2fcc.xts%26m_folder%3di9015A3F2D25B4A7B82D756C2F2AAC28B%26m_folder2%3dm-iE7F4280A42BB4B989AE1591A94A3EF01



18

Chapter3

ThePINistheidentificationnumberusedthroughoutthelifeofaproject.ThePINcreationprocessestablishesaprojectwithinUDOT’sePMbusinesssystem.OnlyafteraPINiscreatedcanalltheotherphasesbegin.WhilethePMisnotinvolvedinmanyofthesesteps,itisimportanttounderstandthisprocessbecausethePINstatusisessentialandthePMneedstoknowhowtoresolveanyPINorstatusissuestheymayface.

3ETSProgram/Project

ManagementProgramPlanning andFunding

ProgramFinance

EngineeringTechnologyServices(ETS)

PROJECT PIN CREATION PROCESS ‘PROPOSED’ to ‘STIP’ Status

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PROJECT PIN CREATION PROCESS OVERVIEWThe PIN creation processincludescreationoftheprojectname,location,proposedvalueandcostestimate,andtheProgramorPortfolioManager’sdesireddeliverydate.ThePINcreationandfundingprocessmustoccurbeforebeginningprojectworkactivities.Therearemanychecks,balances,andpeopleinvolvedinthePINcreationandspendingauthorizationprocess.APMshouldunderstandthebasicsofthePINcreationprocessandtimeframesshownbelow:

PROPOSED Status:APINresidesinePMscreen300’sPROPOSEDdraftlistofanticipatedprojectsafteritiscreatedbytheProgramorPortfolioManager.Itisnotyetfundedorauthorizedforspending.ThesePINswillnotappearonePMscreen710untiltheyarefundedbyProgramPlanningtomatchtheprojectvalueforthedraftSTIP.

STIP Status:AftertheSTIPisapprovedbytheCommission,theProgramPlanningFinanceDirectorwilladvancethePINfromaPROPOSEDtoaSTIPstatus. ProjectFINETcodesandprojectnumbersareassignedbytheProgramFinanceTeamat thistime,butspendingisstillnotyetauthorized.

• CreateaproposedprojectintheePM300screen(PINStatus=PROPOSED)

• Whenready,movePINtoanePM310or325fundingscreen(PINStatus=PROPOSED)

• ePMautomaticallyemailsProgramPlanning thattheprojectisreadytoaddfundstothe PIN(ePM318screen)

RegionProgramManagement(Region Program or Portfolio Manager)

ProgramFinance

• AddprojecttodraftSTIP(PINStatus=STIP)• AssignprojectFINETprogramcodeand projectnumber

Program/PlanningandFunding

20

Chapter3

POTENTIAL FINANCIAL HAZARDSFollowingarewaystoavoidhazardousfinancialactivitiesduringtheProjectPINCreationprocess.• Prevent budget hazards by obtaining authorization before work starts:APMcan

preventearlybudgethazardsandineligiblechargesbyverifyingfinancialauthorizationinePMscreen370beforebeginninganyphaseworkorinitiatinganycontractsoragreements.

SUMMARYThemostimportantthingforaPMtoknowaboutthePINcreationprocessisthattheRegionProgramManagers,theCentralPortfolioManagers,ProgramPlanningandFunding,andtheProgramFinanceTeammanagethemajorityoftheprocessesusingtheePMbusinesssystem.PINcreationoccursbeforeaPMisassigned.TheePMscreen300givesProgramandPortfolioManagersaplacetobuildtheirwishlistsofprojectsfortheirprograms.PMscanviewtheprogressandearlyprojectstatusofaPINasitmovesthroughthecreationstageinePMscreen370.ThePMwillreceiveanotificationonceaprojectisassignedtothembytheRegionProgramManagerandworkcanbeginforthenextphase.

ThisprocessprovidesaworkflowforRegionProgramManagersandPortfolioManagersto:• Planpotentialfutureprojects(ePM300)• MoveapotentialprojectintotheSTIPapprovalprocess(ePM300)• Obtainstateandfederalspendingauthorizationforaproject(ePM310/325)• AssignaPM• MoveaprojectintotheActiveDesignphase(ePM370)uponsettinganinitialcommitteddelivery

date(ePM510)alongwiththebudgetandcashflowinformation(ePM505)

TOOLS AND RESOURCES

• ReviewtheePM300screen‘5YearProjectPlan/ConceptDevelopment’andtheePM370screen‘RegionProgramManagerOversight’tolearnmoreaboutthetransitionsbetweentheePMconceptandPINsetupprocesses.Tutorials are available here.AnAdobeConnectloginisrequiredforthetutorialandcanbesetupforyoubytheePMhelpdesk.

• CoordinatewiththeRegionProgramManagertohelpresolveanyfundingorotherPINcreationproblems.

http://connect.udot.utah.gov/system/login?domain=connect.udot.utah.gov&next=%2Fadmin%3Fdomain%3Dconnect.udot.utah.gov&set-lang=en

21


TheConceptDevelopment(CD)processisacriticalpointatthebeginningofaproject. Thisprocessinvestigatesthefeasibilityofadvancingaprojectforfurtherfunding.ARegionProgramManageroraStatewidePortfolioManageridentifiespossibleprojectsbasedonvarioustransportationplanningorassetmanagementanalysis.Astheseprojectsareinvestigated,aconceptcostestimateisdeveloped.Thisestimateiscriticalasitservesasthebaselinebudgetthroughouttheprojectlife.CDprocessactivitiesalsohelpidentifywhethertheenvironmental,social,oreconomicimpactsaresufficienttorequireanEnvironmentalAssessment(EA)oranEnvironmentalImpactStatement(EIS)leveldocument.Attheendoftheprocess,theconceptreportandprojectconstructionscopeadvisewhetherornottoproceedtoconstruction.Bycarefullyhandlingprojectfundsandthoroughlyanalyzingprojectfeasibility,youcanhelpassureasuccessfulprojectoutcome.

CD BUDGET TheCDbudgetisfundedwithRegionConceptDevelopmentfunds.Federalfundsarenever usedforcreatingCDreports,butmaybeidentifiedforfutureprojectphasessuchasEnvironmental,Design,andConstruction.TheCDbudgetonlyincludestheteamhoursandresourcesneededtodevelopandpreparethefinalConcept Report and Concept Cost Estimate. Conceptbudgetactivitiesofteninclude: • Reviewingtrafficandoperationalstudies• Analyzingaccidenthistory• Reviewingexistingprojectdeficienciesfromeachtechnicalarea• Developingalternatives• Identifyingenvironmental,social,andeconomicissues• ConsideringandminimizingutilityandROWimpacts• Researchinganypavement,geotechnical,structural,material,orotherfeaturesrequiredfor

conceptdecisionmaking

4$$$

Program/ProjectManagement

ProgramPlanning andFunding

ProgramFinance

Comptroller

CONCEPT DEVELOPMENT (CD) PROCESS ‘PROPOSED’ to ‘CONCEPT COMPLETE’ Status



22

Chapter4

CONCEPT REPORT COST ESTIMATE

ThedetailedprojectcostestimateresultingfromtheCDresearchwillincludeallthefuturefinancialfundingneededtocompletetheproject.Thisestimateispreparedanddetailedby eachtechnicalareateammembersuchastheROWLead,UtilityCoordinator,andDesign TeamLeader.Eacharealeadwillincludenotesabouttheircostestimateassumptionson theconceptestimateforfutureteamreference.Thesenotescanhelpidentifyhighrisksin eacharea.Commonriskareasareimpactstorailroads,utility,irrigationcanalfacilities, andROW.TheprojectcostestimatealsoincludesannualinflationcostsprojectedthroughtherecommendedconstructionSTIP-fundedyears.SeetheUDOTEstimator’s Cornerforcurrentinflationprojections.

LocalgovernmentconceptreportsareusuallyapartofaMetropolitanPlanningOrganization(MPO),JointHighwayCommittee(JHC), orUDOTTransportationEnhancement(TE)applicationprocess.Requestacopyoftheconceptreportfromthelocalagencyortheplanningorganizationsoyouunderstand theapprovedprojectscope.

Thisearlyconceptestimateservesasthebasisforthetotalprojectbudgetandfundingapproval.ThefuturePMandteamwillhave tomanagetheprojectwithinthisbudget. TheConceptbudgetismanagedaspartoftheCDProcess.

CONCEPT COST ESTIMATENOTE EXAMPLES

Utility: Estimateassumesthattheprojectfootprintavoidtheirrigationcanal.

ROW: Estimateincludesnineconstructioneasementsontheeastside.


23


CD PROCESSTheCDcyclebeginsandterminatesintheePMScreen300.Theseactivitiesarecompleted bytheProgramManager,thePM,ProgramFinance,andComptroller’soffice.Seethe ePM 300 tutorialforfurtherdetailsontheCDcycle.Thisprocesscanbebrokendownasfollows:

• CreateaproposedprojectintheePM300screen(PINStatus=PROPOSED)

• OncereadyforCDprocesswork,movePINtothe370setupscreens(PINStatus=SCOPING/CONCEPT)torequestfundingapprovalforconceptactivities(ePMautomaticallyemailsProgramFinancetoauthorizespending)

• AssignaProjectManagertomanagetheCDprocess

RegionProgramManagement(Region Program or Portfolio Manager)

• AfterCDscopingMeeting:EnterphasebudgetinformationinePM505screenandfinalCommitDateinePM510screen

• RequestRegionProgramManagertomovePINtoePMscreen370’s(Activetab)

ProjectManagement

• AdvancethePINinePMscreen370(ePMautomatesthePINstatustoPINstatus=CONCEPTDEVELOPMENT)

RegionProgramManagement

Program Finance:Authorizespending,openCDphase04M‘CDUDOT’/24M‘CDConsultant,inePM;createandsendFINETsetupformstoComptroller’soffice

Comptroller:OpenCDphaseinFINETtoallowcharges

ProgramFinance

Comptroller$$$

• Obtainconsultantifneeded• ManageCDphaseandcompleteConceptReport

ProjectManagement

• ReconcileConceptphaseexpendituresinePM• NotifyProgramFinancetoterminateconceptspending

ProjectManagement

ProgramFinance

Region Program/ProjectManagement(Region Program or Portfolio Manager)

PM:RequestProgramManagertocloseCDprocess (PINStatus=CONCEPTCOMPLETE,thenPINreturnstoPROPOSEDstatusinthe300screenawaitingSTIPstatusandfunding)

Program Finance:NotifyComptroller’sofficetocloseCDprocessinFINET

Comptroller:CloseCDphaseinFINETComptroller

$$$

http://connect.udot.utah.gov/system/login?domain=connect.udot.utah.gov&next=%2Fadmin%3Fdomain%3Dconnect.udot.utah.gov&set-lang=en


24

Chapter4

POTENTIAL FINANCIAL HAZARDSIdentifyingfinancialandbudgetsolutionsduringtheCDprocesswillresultinagoodconceptcostestimate.ThishelpsRegiondecision-makingwhentheprojectismovedforwardintoafundedyear.Belowaretwocommoncostestimatefinancialrisksthatcanbeprevented.• Verify financial authorization for CD activities: Verifythattheprojecthasreceived

fundingauthorizationfromUDOTProgramFinancebeforechargingtimeorstartingcontractworkontheCDactivities.

• Confirm the Concept Report cost estimate includes all technical disciplines and their cost-related assumptions:Communicatewithalldisciplinestomakesurethatanycosts,assumptions,andprojectfeaturesfortheirdisciplineworkareincludedintheConcept Cost Estimate Form.

SUMMARYTheCDPhaseinvestigatesthefeasibilityandneedfornewprojects.ConceptactivitieshelpdeveloptheConceptReportandtheprojectcostestimate.Technicalareateammembersdocumenttheircostestimateassumptionsincludingpotentialrisksorunknowns.Thiscostestimateistheprojectbudgetforfuturephases.

TwocommoncostestimateriskscanbepreventedbyverifyingfinancialauthorizationforCDprocessactivitiesandbyincludingalltechnicaldisciplinesandtheircost-relatedassumptionsintheestimate.

TOOLS AND RESOURCES

• ThefinalConceptReportand concept cost estimateiscreated usingtheCDbudget.

• SeetheePM300tutorialfordetails ontheCDcycle.

• RefertotheePM710screenFINETProgramField afterfundingauthorizationiscompletetoverifythe04M/24Mphases.areactive.

• IncludeallcostsfromeachdisciplineintheConcept Cost Estimate Form.

• SeetheEstimator’s Corner for guidanceonestimatingandprojectedinflationcosts.





25


ThePreconstructionprocessisanimportantpartofsuccessfulprojectplanning.APMneedstobesuretoselecttheappropriatetypeandlevelofresourcestobalancetheproject’sscheduleandqualityneeds.DuringthisprocessaPMwillcreate,document,approve,manage,andcloseavarietyofprojectcontractsandagreements.

DuringtheSCOPINGtoACTIVEstatuses,deliveryofthedesignactivitiesrequiredforaconstructionadvertisingpackageareaccomplished.Thiscanalsoincludecompletingastudyorenvironmentaldocument.Fromafinancialperspective,mostofthecostsforthisprocesscoverthespendingauthoritytoprocureneededservicesandresources,suchasconsultantservices,utilitywork,orROWacquisition.

SCOPING TO ACTIVE DESIGN

ScopingphasechargescannotbeginuntilthePINisapprovedtomovefromSTIPtoSCOPINGstatusinePM.AfterthePINisinaSTIP-fundedyear,theRegionProgramManagercompletesanymissinginformationintheePM370screenandassignsaPM.ThePMestimatestheePM505budget/cashflowandprovidesaproposedePM510commitdate.ThePMthenaskstheRegionProgramManagertoadvancethePINstatusfromSTIPtoSCOPINGintheePM370screen.ePMthensendsanauto-emailtotheProgramFinanceTeamtorequestspendingauthorization.Oncethefundingobligationisapproved,theProgramFinanceTeampreparesafundingauthorizationform(FederalR-709orStateR-76),obtainsapprovalsignatures,andthenopenstheapplicableCostAccountingphase(s)inFINET.Finally,scopingchargesbecomeeligibletoproceed.

5Program/ProjectManagement

ProgramFinance

PRECONSTRUCTION PROCESS ‘SCOPING’ TO ‘ACTIVE’ Status

26

Chapter5

ThefollowingchartshowsthephaseactivitiesthatcanbeginaftertheSTIPisapprovedandthePINisdesignatedtoafundedyear:

SCOPING Status:AftertheSTIPisapprovedandtheRegionProgramManagerfollowstheabovestepstomovethePINstatustoSCOPING,theProgramFinanceTeamreceivesanePMauto-emailtoopentheFINET phasesforspending.Oncethefundingauthorization forms are approvedbyProgramFinance,anemailissenttothePMthatScopingworkcanproceed.AfterthePMmeetswiththeprojectteamtoconfirmandenterthebudgetandadvertisingdateinePM,thePMaskstheRegionProgramManagertomovethestatusfromSCOPINGtoACTIVEintheePM370screen.

ACTIVE Status:InmostcasestheobjectiveoftheActivephaseistocompleteanddeliver thedesignforaconstructionadvertisingproject.ForasummaryoffinancialactivitiesseetheActive Process Overview.OncethePINisinACTIVEstatus,futureePMstatusadvancing isautomated.

Region Program Manager:AssignthePMandcompleteotherrequiredinformationinePMscreen370fundingscreens

PM:Enterproposedbudget/cashflowdatainePM505screen

Region Program Manager:Oncetheprojectdataisinandtheprojectisreadytobegin,movetoPINstatus=SCOPING, andePMsendsauto-emailtoProgramFinance

ProjectManagement

ProgramFinance Program Finance:AuthorizefundingobligationsoSCOPING

chargescanbeginandopentheapplicableCostAccountingPhaseinePM (suchas01DPrelimEng-UDOT,20NEnviron-UDOT,etc.);send FINETsetupinformationtoComptroller’soffice

Comptroller:OpensapplicablephasesinFINETtoallowcharges

Comptroller$$$

• AfterScopingMeeting:EnterphasebudgetinformationinePM505screenandfinalCommitDateinePM510screen

• RequestRegionProgramManagertomovePINtoePMscreen370’s(Activetab)

ProjectManagement

• AdvancethePINinePMscreen370(ePMautomatesthePINstatusfromhere,andcanincludePINStatus=ACTIVEorADVERTISED)(ActivePHASEDDESIGNisnowobsolete, butmightappearonolderprojects)

RegionProgramManagement






27


IN-HOUSE RESOURCESSelectingtheProjectDeliveryTeamandotherresourcesisoftendrivenbytheexpectationsandcommitmentsoftheprojectsponsor’sorRegionProgramManager’sProposedAdvertiseDate(PAD)/ProposedDueDate(PDD).In-housecorecompetencies,availabilityofteammembers,levelofexperience,anduniqueprojectcharacteristicsareotherdecidingfactorsthatwillhelpyouselecttheteam.

TheProjectDeliveryTeamcanconsistsolelyofUDOTemployeesoramixofUDOTandconsultantteammembers.ThePMshouldinitiateconsultantselectionandcontractingas soonaspossibleifaconsultantisneeded.Refertothe“PlanningtheProject”chapterof theUDOT PM GuideandtheUDOT Project Delivery Networksfordetailsaboutsetting upanetwork.

CONSULTANT SERVICES CONTRACTSAConsultantServicescontractisbetweenUDOTandaconsultantorbetweenthelocalgovernment(LG)andaconsultantwhohasaUDOTagreementtoperformengineeringorengineering-relatedservices.TheePMContractManagementSystem(CMS)isamodulewithinePMthattrackstheworkflowandmaintainsConsultantServicescontracts,FAA,andWorkTaskOrders(WTO).CMSalsotracksthespendingauthorization(R-709)requests/approvalsforConsultantServicescontracts.

• TheR-709forConsultantServicecontractsandon-callcontractsaregeneratedthroughtheePMCMSmodule.

• IfaConstructionEngineeringManagement(CEM)consultantisneededonaprojectthecontractmustbeinplacebytheAdvertiseConstructionprocess. Theprojectmayproceedtoadvertisementifsignaturesareinprocess,butarenot yetcompleted.

LGprojectsarealmostalwaysdesignedbyconsultantsandLG-authorizedrepresentativesalwayshelptoselect theconsultant.

Local Government



28

Chapter5

Consultant SelectionConsultantsareselectedbasedontheBrooks Act(40USC11),whichisaqualifications-basedselectionprocessforarchitectsandengineers.Therearevariousqualifications-basedselectionprocessesdevelopedbyConsultantServicesthatmeettherequirementsoftheBrooksAct.TheseprocessesrangefromselectingaconsultantdirectlyfromprequalifiedliststoafullRequestforQualifications(RFQ).Theselectionprocessrecommendedisbasedontheestimatedcontractvalueandcomplexityoftheproject.SeethePM Guide for details.

General Engineering Services and Local Government Pool• On-call:$200,000percontractand$40,000perWTO*• Direct-select:$0-$150,000percontract• RequestforPoolLetterofQualifications:$150,000-$600,000percontract

RFQ (no $ cap)• StreamlinedRFQ• RequestforLetterofInterest• StandardRFQ

Understandingthevariousselectionprocesswillhelpyoudeterminewhichonetochoosebasedontheproject’sneed,ratherthanchoosingthequickestoreasiestprocess.ThishelpspreservetheintegrityofUDOT’scontractprocessandbuildstrustwithintheconsultantcommunity.ThiscanalsosaveaPMfromre-workandtheneedtobeginanotherselectionprocess.

* The WTO limit is $40,000 per consultant for the life of the project (or PIN).

http://www.fhwa.dot.gov/programadmin/23cfr172.cfm


29


Financial Management of Consultant Contracts ThePMoverseesandmanagesConsultantServicescontracts,whichincludesreviewingandapprovingconsultantpayrequestsonbehalfofUDOT.Thereareanumberofareaswherepotentialerrorsmayhappenthatcanjeopardizetheprojectfunds.• Work Before Notice To Proceed (NTP):ConsultantServicesstaffissuesanofficialNTP

oneachcontract.ConsultantServicesstaffconfirmstheR-709isapprovedbeforeissuing anNTP.˚ Potential Risk:Allowingaconsultanttoproceedorapprovingpaymentforservices

performedbeforeNTP.• Work Before Contract Modification:Eachcontracthasamaximumamountthatmaynot

beexceeded.˚ Potential Risk:Allowingaconsultanttoexceedthecontract’smaximumamountbefore

amodificationhasbeenprocessedorpaymentapprovalonserviceshasbeenmade.• Documentation of Pay Requests:Paymentrequestsarerequiredto

beaccompaniedbyappropriatesupportingdocumentationforlabor orotherdirectcosts.˚ Potential Risk:Approvingapaymentrequestnotsupportedbyappropriatedocumentation,

suchastimesheetsreflectinghoursanddaysworkedorotherdirectexpenses.• Unit Price Rates:Unitpricefeetypecontractssettheratesapprovedforuseontheproject.

˚ Potential Risk:Approvingapaymentrequestwheretheratesexceedtheapprovedratesinthecontract.

Refer to Consultant Selection Thresholds and Caps for the latest cap limits.

TIP

Navigating the process of project finance can be challenging at times.Learn the ins and outs by viewing the Consultant Selection and Contracting Overview Presentation.

TIP

Consultant Selection Pitfalls

Itisunwisetousethedirect-selectengineeringpoolforserviceswheretheIndependentCostEstimate(ICE)fallswithin$30,000ofthe$150,000WTOcap.Thisdoesnotallowroomforscopenegotiationwiththeconsultantandmayresultinhavingtostartoverwithanotherselectionmethod.




30

Chapter5

LOCAL GOVERNMENT SPONSORED PROJECTS

LGprojectsrequirespecialattentionfromtheUDOTPM.LGsponsoredprojectsincludeasignedFederal-aidAgreement(FAA)developedbytheUDOTPM.ThisagreementisthespendingauthorizationbetweentheLGandUDOTonbehalfoftheFederalHighwayAdministration(FHWA).TheFAAdefinestheterms,conditions,andcompliancerequirementsforreimbursementtotheLGalongwiththeresponsibilitiesoftheLGandUDOT.TheFAAmustbeinplacebeforeanyothercontractsoragreementscanbegin

LGshavetheopportunitytoprovidealocalin-kind(non-cash)match.Softmatchexamplesincludedonationsofmaterialsorlabor.RefertoUDOT Local Government Assistance to accessPDFsonFlexibleMatchApprovalGuidelinesandtheFlexibleMatchApprovalForm.

LOCAL GOVERNMENT AND THIRD-PARTY BETTERMENTS (FACILITY UPGRADES)TheUDOTPMmustprepareaBettermentAgreementifaLG,utility,orotherthirdpartyrequestsfacilityupgradesduringconstructionforeithertheirprojectorastate-sponsoredproject.TheBettermentAgreementincludesdetailsaboutthescopeofworkandtheresponsibilitiesandfundingofeachparty.Refertothe Betterment Agreement template as aresource. ThefollowingareimportantdetailstoknowaboutBettermentAgreements:• TheBettermentAgreementmustdetailwhattheLGorthirdpartywillpayforthecostof

construction,includingtheirpercentageofCEcosts.ThiswillensurethatUDOTisabletorecoverallthecostsrelatedtotheimprovements.

• BettermentdetailsneedtobeincludedinPDBSwithintheEngineer’sEstimateundera non-participatingdetailshowingtheentityinvolved.Thisdetailednon-participatingestimatebiditemallowstheUDOTComptroller’sofficetobillaccordinglyaftertheconstructioncontractisawarded.ThisisthemethodbywhichUDOTconfirmstheLGallocationandreimbursementfortheagreedbettermentcosts.RefertotheBettermentand Non-ParticipatingpresentationforPDBS instructions.

• Bettermentsareusuallyrepresentedbyadollaramountthatneedstobeaddedtothe STIPaspartoftheprojectvalue.Thesevaluescomeupasafundingsourceonthe ePM710screen.

• UDOTrequiresthatthetotalestimatedcostofbettermentworkbeadvancedordepositedinescrowwithUDOTpriortoadvertisingtheproject.

The PM makes sure the project scope and all costs are well defined in the FAA and understood by all parties. Refer to the Local Agency FAA form template and guidelines.

TIP

http://www.udot.utah.gov/main/f?p=100:pg:0::::V,T:,2518





31


Be aware of the most current highway transportation bill regulations.

TIP

PROCUREMENT GUIDELINESThemethodofprocuringothertypesofservicesormaterialswillalsoimpacttheprojectbudget.Somemethodswillrequiremoreeffort,coordination,andlead-timethanothers.Inordertomakethebestselectiondecision,itisimportanttolearnaboutalltheprocurementoptionsavailable.TheUtahStateDivisionofPurchasingandGeneralServicesprovidespurchasing andcontractoversighttoUDOTalongwithotherstateandlocalgovernmentagencies.Purchasing 101 training and a UDOT Procurement Guide are also available.

UTILITY AGREEMENTS

Therearevarioustypesofutilityagreementsandfundreimbursementsthatcanbeusedifaprojectcannotavoidimpactstoautilityfacility.Agreementtypesandtheircostsinclude:• Utility Line Relocation or Adjustment:CheckwiththeRegionUtilityCoordinatorto

determinethecost(50percentreimbursable,100percentreimbursable,company’sdesiredbettermentwork,andcostparticipationratios.)

• Master Utility Agreement:Subsequentsupplementalagreementsforspecificlocation,especiallyusedfordesign-buildprojects.

• Reimbursement for Railroad Flagging and Inspection:Withorwithoutrailroad crossingwork.

• Letter Agreement:Lumpsum,under$5,000,50or100percentreimbursement,noaudit.• Reimbursement for Power Source Installation:Usuallyalumpsum.ContacttheRegion

UtilityCoordinatortoarrangehook-up.

AnimportantfinancialhazardwithallutilitiesistheBuy AmericaFederalRegulationrequiringallU.S.steelpurchasestoqualifyforfederal-aidreimbursement.

http://purchasing.utah.gov/training/documents/purchasing101.ppt


http://www.fhwa.dot.gov/construction/cqit/buyam.cfm

32

Chapter5

ROW AGREEMENTS AROWagreementisrequiredifaprojectcannotavoidimpactstoapropertyorifaconstructioneasementisneededtoallowthecontractoraccesstoaproperty.BeforeROWacquisitioncanbegin,theplannedROWbudgetisestablishedthroughtheROWCostEstimatepreparedbytheCentralROWLead.ThisestimateisrequiredforProgramFinancetogeneratetheR-709ROWfundingauthorizationandincludestheappraisal,appraisalreview,agentinformation,propertyparcelspecifications,andeasementacquisitioncosts.ItishelpfultoroutinelyverifytheePM505screenROWestimatewiththelatestROWcostsshownintheePMROWmoduleandtheePM750screen,OwnershipStatus.

ROW authorization must be obtained before the Advertise Construction Process, or else all of the federal project funds are in jeopardy.Fortheconstructionplanpackage, a00555MSpecialProvisionmustbewrittentoincludeanylimitationsofthecontractor’soperationsforparcelsoreasementsthathavenotbeenacquired.ThesesameparcelandeasementlimitationsmustbemirroredintheROWcertificationbeforetheprojectcanproceedtotheAdvertiseConstructionprocess.

ELIGIBLE CONSTRUCTION ACTIVITIESAsyouproceedthroughdesign,keepinmindthatthetypeofconstructionactivitiesallowedonaprojectaredefinedbytheprogramfundingsource.• Core program fundsarethesourceformostprojectfunds.• Restrictive program fundsincludealternatetypesofroadwayfundswithdefined

limitationsonhowtheycanbeused.

Besureyouunderstandthelimitationsoftheproject-specificfundstobetterensuretheprojectsarenotjeopardized.RefertoGuide to Federal-Aid Programs and Projects,whichwillhelpguideyourselectionmethodforprocuringprojectresources.



http://www.fhwa.dot.gov/federalaid/projects.cfm

33


Thereareothertypesofprojectsmanagedsimilarlytopass-throughprojects,buttheseareproject-specific.ThePMwillneedtoworkwiththeRegionProgramManagertodeveloptheseagreementsandplanhowtodocument,manage,andfinanciallyclosetheseprojects.

COMMON PASS-THROUGHS AND SIMILAR AGREEMENT TYPES:

• Federallands• Scenicby-ways• Indianreservations• Saferoutestoschools• Safesidewalkprograms• Safetyspotimprovements• Selectedhousebillprojects

OTHER PROJECT AGREEMENTS (PASS-THROUGH)Therearetwotypesofpass-throughprojects– State Pass-Through and Federal Pass-Through.Bothpass-throughprojectscanbereimbursed,butFederalPass-Throughrequiresproofofworkcompletedbeforereimbursement.FederalPass-Throughprojectsaredefinedasfundsreceivedbyonestateagencyorinstitutionandtransferredtootherstateagenciesorinstitutionstocarryouttheproject’sprogrammedpurpose.No funds are advanced before work is complete.

UDOT’S ROLE AS A ‘PASS-THROUGH ENTITY’

UDOT’sroleasa‘Pass-ThroughEntity’onfederalprojectsistoprovideafederalawardtoathird-party‘subgrantee’tocarryoutafederalprogram.

Third-party (3P) Subgrantee’s Role: • Determineswhoiseligibletoreceivefunds• Performanceismeasuredbymeetingprogramobjectives• Responsibleforprogrammaticdecision-making• Responsibletoadheretoapplicableprogramcompliancerequirements• Usesthefundstocarryoutaprogramoftheorganizationratherthanthoseofthe

‘Pass-ThroughEntity’

34

Chapter5

POTENTIAL FINANCIAL HAZARDSFollowingarewaystoavoidhazardousfinancialactivitiesduringthePreconstructionprocess:• Follow the necessary procedures before starting LG projects:TheFAAmustbe

executedbeforespendingfundsonaLGproject.• Deposit funds before executing contracts: LGsmustdepositfundsforthespecific

phasesbeforeUDOTcanexecuteanycontracts.• Include betterment details:BettermentdetailsneedtobeincludedinPDBSwithinthe

Engineer’sEstimate.• Choose an efficient, yet thorough, procurement method: Aprocurementmethodthat

initiallyappearstobetheshortest,simplestmethodcanleadtobacktrackinganddoubleworkifitturnsouttobeaninappropriatemethod.

• Prepare estimates before advertisement:ThetotalestimatedcostofthebettermentworkneedstobeadvancedordepositedwithUDOTbeforeadvertisingtheproject.

• Acquire NTP before beginning work:ConsultantsshouldnotproceedandpaymentapprovalshouldnotoccurbeforereceivingtheNTP.

• Modify the contract before costs exceed contracted amount:Consultantsshouldnotexceedthemaximumcontractamountorexpendadditionalfundsbeforeacontract modificationapproval.

• Use required documentation:Allpaymentrequestsmustbesupportedby appropriatedocumentation.

• Do not approve payments that exceed approved rates:Paymentrequestsshouldnotbeapprovedwhentheyexceedtheapprovedratesinthecontract.

• Acquire environmental document approval:TheenvironmentaldocumentmustbeapprovedbeforebeginninganyROWacquisitionorfinalizingutilityagreements.

• Verify proper steps are taken before starting ROW acquisitions:ThePMneedstoverifytheFederalfinancialauthorizationdateisinplaceandnotifytheLGbeforeROWappraisalsandacquisitionscanbegin.

• Create ROW budget before starting work:TheROWbudgetmustbeestablishedandROWfundsauthorizedbeforebeginningROWwork.

• Make sure all documents are in place before advertising: ROWcertificationmustbeobtainedbeforetheAdvertiseConstructionprocesscanbegin.

35


SUMMARY ThePreconstructionprocessrequiresthePMtodevelop,document,approve,manage, andcloseavarietyofprojectcontractsandagreements.Topreventjeopardizingprojectfundsassociatedwiththesedocuments:• UnderstandUDOT,state,andfederal-aidcontractprocesses• Communicateearlyandoftenwiththeothercontractingentities• Ensurecontractsandspendingapprovalsareinplacebeforeproceedingtothe

nextactivities

TOOLS AND RESOURCES

• RefertothePlanningtheProjectchapteroftheUDOT PM Guide for furtherinformationaboutselectingtheProjectDeliveryTeam.

• RefertoUDOT Project Delivery Networkstolearnaboutsettingupaprojectnetwork.

• RefertotheBrooks Act(40USC11)tobetterunderstandthequalifications-basedselectionprocessforarchitects andengineers.

• RefertoConsultant Selection Thresholds and Capsforthelatest

• UDOTConsultantPoolcaplimits.• LearntheinsandoutsofConsultant

Selection with a Contracting Overview.• RefertoPurchasing 101 training and

theUDOT Procurement Guide for UtahStateDivisionofPurchasingandGeneralServicespurchasingguidance.

• RefertoBuy Americaforfinancialdetailsandimpactsonanyproject,especiallythosewithutilityitems.

• VerifyyourePM505ROWestimatewiththelatestROWcostsinthe ePMROWmodule,screen750,OwnershipStatus.

Local Government and Third-party Financial Tools• RefertotheLocal Agency FAA form

template and guidelines. • RefertotheBetterment Agreement

templateandthePDBS instructions forentering“betterments”and“non-participating”ascontractbiditemsforthird-partyandLGbetterments.

• RefertoUDOT Local Government AssistancetoaccessPDFsofFlexibleMatchApprovalGuidelinesandtheFlexibleMatchApprovalForm.




http://www.fhwa.dot.gov/programadmin/23cfr172.cfm





http://purchasing.utah.gov/training/documents/purchasing101.ppt


http://www.fhwa.dot.gov/construction/cqit/buyam.cfm








36

Chapter6

Preparingtoadvertiseaconstructioncontractisoftenoneofthemosthecticandhazard-pronetimesforaproject.Thisismainlybecausestateandfederalprojectadvertisingisheavilyregulated.Advertisingisalsowhenthebulkofprojectfundsareauthorizedforspending. Thisprovidesacriticalopportunitytomitigatefinancialhazardsby:• Providingaqualityconstructioncostestimate• Verifyingexpendituresandsufficientremainingfunds• Obtainingfinalconstructionspendingapprovals

6ETSProgram

FinanceProgram/ProjectManagement

ConstructionAdvertising

EngineeringTechnologyServices(ETS)

ADVERTISE CONSTRUCTION PROCESS ‘ADVERTISED’ Status

37


• Completeadvertisingplanpackage• SendemailtonotifyCentralteamsthatpackageisreadyforreviewandrequestforfunding

ProjectManagement

ProgramFinance Program Finance:ReviewprojectFinancialStatus,approveand

obligatefunding,sendemailtonotifyPMthatfundsareauthorized,and send FINETsetupinformationtoComptroller’soffice

Comptroller:Openapplicablephases(O3CCE-UDOT,13CCE-Consultant,O6KContractorPayments,etc.)inFINET

Comptroller$$$

• AdvertiseprojectConstructionAdvertising

ProjectManagement • Leadabstractreview,incoordinationwithREandRegion

ProgramManagertorecommendaward• UpdateePM505estimatetomatchcontractbid

ConstructionAdvertising • Awardconstructioncontract

ProgramFinance • AdjustfundingtomatchthePM’supdatedePM505estimate

• OverseeconstructionandCEbudgetsProjectManagement

Thefollowingchartshowstheadvertisingactivitiesleadingintoconstruction:

OncethePINisinACTIVEstatus,allfutureePMstatusadvancingisautomated,includingADVERTISEDandAWARDstatuses.


38

Chapter6

CONSTRUCTION ADVERTISEMENTTwoUDOTcentralofficeteamsthatserveimportantfinancialrolesasyouproceedtoadvertisearetheConstructionAdvertisementandtheProgramFinancegroups.

TheConstructionAdvertisementteamisresponsiblefortheintegrityofUDOT’spublicadvertisingandbidlettingforallheavyhighwayconstructioncontracts.TheyconductbiddingthroughPDBS,whichisthesourceforimportantfinancialdocuments,includingtheEngineer’sEstimate.InterestedcontractorssubmittheirbidsthroughtheElectronicBidSystem(EBS).TheirbidiscomparedagainsttheEngineer’sEstimate,aswellasotherbiddersatbidopening.

Refer to the following for additional advertising guidance: • UDOT Central Construction and Getting Started with Project Advertising are

especially useful if your design team has not advertised a project recently.• FHWA Contract Provision Federal-aid Construction Contracts includes a list of

items and activities that jeopardize federal reimbursement of construction costs. Become familiar with these.

TIP



http://www.fhwa.dot.gov/programadmin/contracts/1273.cfm

39


PROGRAM FINANCE TheProgramFinanceteamhelpsassureprojectfinancialqualitythroughoutthelifeoftheproject.Theirroleisespeciallyimportanttoverifyaproject’sbudgetstatusduringtheAdvertiseConstructionprocess.ThePMneedstocoordinatewithProgramFinancetoverifytheprojectfinancialinformationrequiredastheproject’sadvertisingfundingauthorizationisprepared.ThechartbelowshowsthesourceofdatathatProgramFinanceusestoverifyprojectfunds,obligations,andexpenditurestocompletetheproject’sT-725,AuthorizationtoAdvertise forConstruction.

Where to Find Project Financial Information

PreliminaryEngineering

ConsultantPE ROW UtilityForceAccount

Construction CEOversight(In-house)

ConsultantCE

UDOTContingency

Incentives StateFurnished Additive#1,#2,#3...

ePM495screenexpendituresandencumberedtotals

Allauthorizedcontractstotaled

Estimatedcost(CentralROW)

Allauthorizedcontractsandagreementstotaled(RegionUtilityCoordinator)

Engineer’sEstimateinPDBS

CEcontractamountmatchesEngineer’sEstimateinPDBS

CEcontractamountmatcheswithallauthorizedcontracttotals

ePM505screenmatchesEngineer’sEstimateinPDBS




ADVERTISING NOTIFICATIONQualitycontrolsfortheadvertisingandfinancialdocumentsarethePM’sresponsibility.ThePMmustcheckthattheEngineer’sEstimateisuploadedintoPDBS,andthatadvertisingchecklistdocumentsaresavedintoUDOT’sProjectWisebusinesssystemandmarkedforadvertisement.ThePMthennotifiesbothConstructionAdvertising([email protected])andProgramFinance([email protected])byemailthattheprojectisreadytoadvertise.


40

Chapter6

FUNDING AUTHORIZATIONProgramFinancecompletestheconstructionfundingauthorizationforms.TheywillobtaintheUDOTDeputyDirector’ssignatureforconstructionfundingapprovalontheT-725 form and FHWA’ssignatureforapprovalontheFHWA’s R-709 form.TheR-709andT-725formsarethenscannedintoProjectWiseandmarkedforadvertisement.ThePM,Comptroller’soffice,andConstructionAdvertisementteamareemailedtheProjectWiselinktoaccessapprovaldocumentsasneeded.Afterapproval,theapplicabledatesareaddedtothePDBSsystem.

Before sending an email notification that your project is ready to advertise:• Adjust your PE estimated amount to include actual plus your forecasted

in-house (UDOT team members) and consultant costs. Be aware that the ePM 495 screen expenditures can lag behind actual costs.

• Verify that the amounts on the current Engineer’s Estimate and the ePM 505 screen match.

• Refer to File Guidance Contingency 5-5-9 Percent for a list of items to include in contingency.

• Refer to Additives Bid Table for examples.• Refer to Estimator’s Corner to improve the quality of your Engineer’s Estimate.

TIP

Plan on five to seven business days for funding authorization because many UDOT and FHWA staff are involved in this approval process. The 10 Day Target Advertising Schedule time frame includes this time frame and additional details.

TIP

Refer to UDOT’s Addendum Manual to learn how to modify contract documents during advertisement.

TIP

PROJECT ADDENDAItiscommonforcontractorstoidentifyerrorsandomissionsthatimpacttheEngineer’sEstimateandprojectbudgetduringtheadvertisementperiod.AnaddendumneedstobecreatedandsubmittedtotheConstructionAdvertisementteamiftherearechangestotheprojectadvertisingdocuments.ThePMmustinitiateandmanagetheaddendumsubmissionprocess.ThePMwillworkwiththeRegionProgramManagerandProgramFinanceifanaddendumrequiresadditionalfundsthatwillexceedtheprojectvaluelimits.




http://www.udot.utah.gov/main/f?p=100:pg:0:::1:T,V:1624,56956





41


CONTRACT BID OPENING

UDOThasarigorous,controlledbidprocessinplacetoensurecompetitive,fair,andequitablebiddingandaward.ContractorssubmittheirbidsthroughtheElectronicBidSystem(EBS)—asoftwareapplicationthatmanagesthebiddingprocess.Atbidopening,theirbidsarecomparedagainstoneanotherandagainsttheEngineer’sEstimate.

ThePMisallowedtoreviewthebidabstractifthelowestresponsivebidisequaltoorlessthan110percentoftheEngineer’sEstimate.Beforeawardingthecontract,thePMandResidentEngineer(RE)reviewthebidabstractforpotentialareasofrisksuchasunbalancedbidsorlargedifferencesinspecificbiditemsreflectingapparenterrorsintheadvertisingpackage. ThePMcoordinateswiththeRegionProgramManagertodecidewhetherornottoawardacontracttotheapparentlowbidder.

ThePMfollowstheUDOT 08B-12 policyforcontractawardguidanceifthelowestresponsivebidisgreaterthan110percentoftheEngineer’sEstimate.Refertothe10 Percent Over Engineers Estimate Guidance Documentforabstractapproval.

CONTRACT AWARDThePMconsultswiththeREbeforerecommendingawardoftheprojecttotheapparentlowbidder.Next,thePMobtainsawardapprovalfromtheprojectsponsorsuchasthePortfolioManagerorLocalGovernmentifneeded.ThePMthenadjuststheePM505screenawardandcontingencyamountsaccordingtotheProject Budget Recovery Guidance.ProgramFinancemirrorstheePM505screenupdateinFMISandforwardstheapprovaltotheComptroller’sofficeforFINETupdates.

Thepurposeforthisstepistorecoverunusedprojectfundsforre-programmingtonewprojects.Thisprocessdoes notapplytonon-UDOTsponsoredprojects.ThePMemailsConstructionAdvertisingtoproceedwiththeNoticeofAward(NOA).

ConstructionAdvertisingsendstheapparentlow-bidderanawardletterbasedonthePM’srequesttoawardandforwardsacopyofthelettertoProgramFinance.ThistriggersProgramFinancetoadjustFMIStotheePM505screen,ProjectTotalEstimate.ThecontractNOAisnowissuedbytheUDOTConstructionDivisionandtheePMPINstatusautomaticallymovesfromAdvertisedtoAwarded.

FollowingistheautomatedPINstatuschangeprocess:• ePMlooksforaNoticetoProceeddateinPDBS• ThePINstatusischangedtoUnderConstructionandtheEffectiveDatechangesto

currentdate• AdescriptionisaddedtotheModificationCommentsonePMScreen745.

RefertotheHelpsectionofePMforacompletedescriptionofallautomatic PIN status updates.





http://168.178.125.70/Robo/projects/System_Control_Subsystem/MPS_Run/Automatic_PIN_Status_Update.htm

42

Chapter6

RE-ADVERTISEMENT OR NON-AWARDProgramFinancede-obligatesfederalfundsandde-authorizestheconstructionphaseiftheprojectisnotawarded.Thereisnoautomaticnotificationatthistime.ThePMmustcontactProgramFinancetonotifythemthatanon-awardhasoccurred.Thefundingwillremainprogrammedontheprojectuntilthere-advertisementoradecisionismadebytheRegionProgramManagertore-assignthefunds.

POTENTIAL FINANCIAL HAZARDSItisimportanttounderstandtheAdvertisingConstructionprocessinordertoallowtheteamsufficienttimetocompletetheirworkandtoprepareadvertisingandfinancialapprovals. Tohelpaddresspossiblerisks:• Coordinate routinely with the designer throughout the design phase:Verifytheproject

scopeanddesignexpectationstopreventalast-minutebudgetcrisisatadvertising.• Complete necessary tasks before advertising:ReviewoutstandingPEcontractsand

prepareanyneededcontractmodificationsbeforeadvertising.• Prepare documents to provide answers to contractors:HaveyourConstruction

EngineeringManagement(CEM)contractNTPinplacebeforeAdvertising,soyourassignedREisavailabletoanswercontractorbidquestions.

• Advertise at the right time of year to optimize bidding opportunities:RefertotheEstimator’s Corner forbestplanningandpractices.

• Make sure processes are recorded and completed accurately:CoordinateearlyandcloselywithProgramFinancetoverifyprojectexpendituresandoutstandingcontractobligations.ProgramFinancemonitorstheirworkloadusingtheWeeklyAdvertisingReport(WAR)intheCOGNOS PM Toolbox.KeeptheSubmitforAdvertisementdatecurrent(foundontheePM510screen)asitisavaluablecommunicationtoolforthecentral officeteams.

• Ensure the quality of estimates:CoordinateearlywithConstructionAdvertisingtoensurethequalityofyourEngineer’sEstimate.Refertothe Estimator’s Cornerfortips.

• Minimize scope creep:ThePMneedstocloselymonitorandassistwherepossibletominimizescopecreeponLGprojects.

• The PE phase for expenditures automatically closes 30 days after the FMIS R-709 advertised approval date. Contact Program Finance if a design issue is identified later during construction.

• Construction phases 03C (UDOT Construction Engineering), 06K (Contractor payments), and 13C (Consultant Construction Engineering) are opened for charges.

• Program Finance adjusts FMIS to match the PM’s revised ePM 505 estimate for federally funded projects and the excess project funds are returned to the region master PIN for re-programming.

• Excess funds return to the general fund for state funded projects.

TIP




43


SUMMARYAdvertisingaconstructioncontractisachallenging,high-risktimeforaproject.Uptonow, thePMhasbeenworkingprimarilywiththeProjectDesignteam.ThePMnowcoordinatescloselywithnewteamswhohavestewardshipandfinancialoversighttasksthatensuretheintegrityofUDOT’sconstructioncontractprocess.Earlycoordinationandroutinecommunicationwiththeseteamswillgoalongwaytohelptheprojectadvertiseontimeandwithinbudget.

TOOLS AND RESOURCES

• RefertoUDOT Central Construction whengettingstartedwithprojectadvertising.

• RefertoFHWA-Contract Provision Federal-aid Construction Contracts,whichincludesitemsandactivitiesthatmayjeopardizefederalreimbursementofconstructioncosts.

• RefertoFile Guidance Contingency 5-5-9 percentforcontingencyinformation.

• RefertotheAdditives Bid Table for examplesofanEngineer’sEstimate inPDBS.

• RefertoEstimator’s CornertoimprovethequalityofyourEngineer’sEstimate.

• Refertothe10 Day Target Advertising SchedulefortimeframeafternotifyingthecentralofficeyouradvertisingpackageiscompleteinProjectWise.

• RefertoProject Budget Recovery Guidancewhenpreparingfor contractaward.

• RefertotheCOGNOS PM Toolbox WeeklyAdvertisingReport(WAR) toimprovecommunicationandtrustwithCentralAdvertisingteams.

• RefertotheUDOTAddendum Manualforguidanceonmodifyingcontractdocumentsduringadvertisement.

• FollowtheUDOT 08B-12 policy forcontractawardguidance.

• Refertothe10 Percent Over Engineers Estimate Guidance Documentforabstractapproval.






http://www.udot.utah.gov/main/f?p=100:pg:0:::1:T,V:1624,56956













44

Chapter7

TheConstructionprocessiswherethecontractorfinallybeginstheirwork.Thisprocessstartsatthecontractor’sNoticeofAward(NOA),wherePINstatusequalsAwarded,andendsatContractCloseout.Whilethecontractorconstructstheproject,theREmanagesthe day-to-dayaspectsoftheproject.TheREinspectsandverifiesthattheprojectisbuiltaccordingtocontractdocuments.ThedetailsandscopeoftheprojectarefoundinthePreconstructionPlans,Specification,andEngineer’sEstimate(PS&E).

AfterconstructionworkontheprojectiscompleteandthecontractornotifiestheREthattheprojectissubstantiallycomplete,theREarrangesafinalinspection.Oncetheprojecthaspassedthefinalinspection,theREinitiatestheContractCompletionandCloseoutprocesses.FollowingaredetailsleadingfromAwardtoConstructionCloseout:

UNDER CONSTRUCTION OVERVIEWThePM’sroleduringconstructionistomonitorandensurethattheprojectscope,schedule, andbudgetmeettheproject’scontractedintent.ThePMmustcoordinatewiththeREtomanagetheConstructionEngineering(CE)budget,minimizescopecreep,andensureconstructionoverrunsandChangeOrdersdonotexceedtheprojectfunds.ThePMmustalsoseethatallROWacquisitions,utility,andthird-partycommitmentsarefullysatisfied.Toavoidadditionalconstructioncostsanddelaystotheschedule,commitmentsmustbecompletedonscheduleandmustnotimpactthecontractoroperations.

CONSTRUCTION CHANGE ORDERS TheREcoordinateswiththePMonallChangeOrders.TheREhasauthoritytoapproveChangeOrdersoflessthan$25,000aslongasitdoesnotmodifythespecifications orexceedtheProjectValue.TheREpreparesanAuthorizationtoProceed(FormC107) thatgivestheREandthecontractortwoweekstonegotiateandapprovetheChangeOrderincaseofemergencyworkordelaystoworkprogress.ThePMassiststheREinestablishingthatthecumulativetotalofallChangeOrdersdoesnotexceedtheProjectValue,approvesChangeOrdersthatfallwithintheirapprovalauthoritylimit,andrecommendsapprovalforthosethatexceedtheRE’sapprovallimit.RefertoUDOT Policy 08B-10,forChangeOrdersgreaterthan$25,000.TheActiveProjectSummaryontheePM506screen,thesamereportasPDBSProjectDetail,helpsdetermineiftherearesufficientfundstocovertheproposedChange Order (Form C-100).

7 $$$

Construction Program/ProjectManagement

Comptroller

CONSTRUCTION AND POST– CONSTRUCTION PROCESSES ‘AWARDED’ to ‘CONTRACT CLOSEOUT’ Status




45


Whenfundsarenotsufficient,thePMandREcoordinatewiththeDistrictEngineerand RegionProgramManagertoeitherresolvethescopeorobtainadditionalfundingfortheproject. ThefundingrequestisinitiatedbytheREusingtheUDOT COFN Form C118,whichisadvancedtotheComptroller’sofficeforfinalprocessingtoallowinvoicestobepaidoncefundsarelocated,approved,andaddedbyProgramFinance.SeetheUDOT CONF Form C118 instructionsforfurtherdetails.

CONSTRUCTION CONTRACT CLOSING OVERVIEWOncethecontractornotifiestheREthattheprojectissubstantiallycomplete,theREcoordinatesthefinalinspectionandpostconstructionconference.ThePMattendsthesemeetingsalongwithotherlocal,region,andcentralstakeholdersinvolvedintheproject.TheREcontinuestoworkwiththecontractortoverifythematerialscertificationanddocumentationcloseout.AfterverificationoftheprojectdocumentationbytheREandRegionContractSpecialist,theREsubmitsthefinalcontractorpaymentrequesttotheUDOTCentralConstructionoffice.AftertheRegionContractSpecialist(RCS)andCentralConstructionDivisioncompletetheirfinaldocumentationreview,andaFinalConstructionContractLetterisissuedtothecontractorbytheCentralConstructionoffice.ProgramFinanceissentacopyoftheFinalConstructionContractLetter,whichtriggerstheFinancialCloseoutprocessoftheproject.

TheUDOTConstructionDivisionhascommittedtocloseoutconstructioncontractswithin150daysfromsubstantialcompletion.ThePMwillwanttomonitorprogresstomeetthisgoal.Furtherinformationontrackingyourprojectthroughtheconstructionandpost-constructionprocessesandPINstatusescanbefoundbelow.




46

Chapter7

CONSTRUCTION COMPLETION PROCESS DETAILSTheREentersthedatetheroadwayisopenandconstructionisnolongerimpacting trafficintoPDBS,andtheePMsystemautomaticallychangesthePINstatustoSUBSTANTIALLYCOMPLETE.• ePMfindsasubstantialcompletiondateinPDBS• ThePINstatusischangedtoSUBSTANTIALLYCOMPLETE,theEffectiveDateischanged

tothecurrentdate,andModificationCommentsareaddedontheePM745screen• Timebeginsfora150daycompletiongoaltocloseouttheconstructioncontract

SUBSTANTIAL COMPLETION

TheREcancallaprojectasSubstantiallyCompletewhenthefollowinghaveoccurred:• Thepublichasfullunrestricteduseoffacilities• Allsafetyfeaturesareinplace• Onlyminorincidentalworkremainsforphysicalcompletion• ThecontractorandREmutuallyagreethatremainingworkwillnotimpedethepublic

ForfulldefinitionseeSection00570of2012UDOTStandardSpecifications

POST-CONSTRUCTION COMPLETION PROCESS DETAILS

Contractor ActivitiesTimeframe: Complete 30 days after PIN status = Substantially Complete

Thedatethecontractor’sfinalpunchlistandallconstructionsiteworkiscomplete,theREentersthisinformationinPDBS,andtheePMsystemautomaticallychangesthePINstatustoPHYSICALLYCOMPLETE.• ePMfindsaphysicalcompletiondateinPDBS• ThePINstatusischangedtoPHYSICALLYCOMPLETE,theEffectiveDateischangedto

thecurrentdate,andModificationCommentsareaddedtotheePM745screen

Contractor ActivitiesTimeframe: Complete 30 days after PIN status = Physically Complete

Thedatewhenallcontractdocumentationandcontractorobligationsarefulfilled,theREentersthisinformationinPDBSandtheePMsystemautomaticallychangesthePINstatustoCONTRACTCOMPLETE.• ePMfindsacontractcompletiondateinPDBS• ThePINstatusischangedtoCONTRACTCOMPLETE,theEffectiveDateischangedtothe

currentdate,andModificationCommentsareaddedtotheePM745screen

47


Resident Engineer Activities Timeframe: Complete 30 days after PIN status = Contract Complete

Thedatewhenallcontractdocumentationandcontractorobligationsarefulfilled,theRE entersthisinformationinPDBS,andtheePMsystemautomaticallychangesthePINstatustoREGIONREVIEW.• ePMfindsanoticeofcontractcompletiondateinPDBS• ThePINstatusischangedtoREGIONREVIEW,theEffectiveDateischangedtothe


Region Contract Specialist ActivitiesTimeframe: Complete 30 days after PIN status = Region Review

TheRegionalContractSpecialistreviewsthecontractdocumentsforcompletenessandaccuracyandsubmitsafinaldocumentationpackagetoCentralConstruction.• ePMfindsanoticeofregiondocumentationreviewcompletioninPDBS• ThePINstatusischangedtoCENTRALREVIEW,theEffectiveDateischangedtothe


Central Construction ActivitiesTimeframe: Complete 30 days after PIN status = Central Review

CentralConstructionreviewsdocumentationandprocessestheFinalPayEstimate.• ePMfindsanoticeoftheFinalPayEstimateinPDBS• ThePINstatusischangedtoCONTRACTCLOSEDOUT,theEffectiveDateischangedto

thecurrentdate,andModificationCommentsareaddedtotheePM745screen• ePMnotifiestheComptroller’sofficetheprojectisreadyforfinalpaymentandaudit

30 Days 30 Days30 Days60 Days

Region ContractSpecialist

CentralConstruction

ResidentEngineer

Contractor

150 Days total

The timeline to close out construction contracts using the substantial completion date as a baseline, includes:

48

Chapter7

Central Closeout Team ActivitiesTimeframe: Varies by project

AcollectivegroupincludingConstruction,CivilRights,ConsultantServices,andROWcompletestheCentralCloseoutactivities.• CloseoutandfinancialdocumentsarefinalizedforAuditreview• TheComptroller’sofficeauthorizesthefinalcontractorpaymentandtheretentionrelease

Program Finance ActivitiesTimeframe: Varies by project

ProgramFinanceadvancesPINstatustoCONSTRUCTIONCLOSEOUTandtheprojectmovestothenextprocess,FinancialCloseout.

POTENTIAL FINANCIAL HAZARDSConstructionitemoverruns,especiallyonmajoritems,andChangeOrdersarethehighestriskitemsthatcandamagetheprojectbudgetduringtheconstructionphase.Thebestpracticesforconstructionitemoverrunpreventioninclude:• Administer a constructability review:Maketimeforaqualityplanreviewandfieldreview

withanexperiencedconstructionexpertduringthedesignphase.• Conduct a project risk review:Aprojectriskreviewwillhelptodevelopanappropriate

contingencytomitigaterisks.• Manage a reconstruction investigation:Doaqualitychecktodeterminepotentialoverruns,

especiallyonaproject’smajorcostitemssuchasHMA,UTBC,andgranularborrow.• Maintain proactive construction communication:Scheduleroutinecommunicationwith

theREtomonitoroverrunsandaskfrequentquestionsaboutthequantitiesofmajoritems.

PreventChangeOrderbudgetoverruns:• Plan ahead:Tohaveaqualityplanadvertisingpackageinplace.• Prevent scope creep:BycommunicatingregularlywiththeRE.• Stay involved:Preventcontractorclaimsbystayinginvolvedtohelpmonitorwhetherthere

arepotentialconflictsfromthecontractor’sperspective.RefertoUDOT 08B-91.


49


SUMMARYThemajorityofaproject’scostsareincurredduringtheconstructionphase.Commitmenttomonitoringprojectfinancesisimportant.ThePMcontinuestomonitorthebudget,followsuponanyunresolvedROWacquisitionsandutilitycommitments,andkeepsintouchwiththeREonprojectprogresstoensuretheprojectdoesnotexperiencescopecreep.RefertoUDOT PM Guideforadditionaltipsonmanagingasuccessfulconstructionphase.

ThePMshouldcontinuetomonitorprogressduringpost-constructiontoensuretimelyconstructioncloseout.

LOCAL GOVERNMENT HAZARDS

• MonitoranyLGscopecreeptoensurefederalfundsarenotjeopardized, whichisacommontendencyforallprojectsduringtheConstructionPhase

• ModifytheFAAifaLG’sadditionalestimatedshareexceeds$25,000• IftheLGchoosesnottoawardthecontract,allfederalfundsexpendedmustbereturnedandunauthorizeduntilreadvertisingorotheractionsaretaken

TOOLS AND RESOURCES

• ComparetheePM505and495screensandupdate505screenaccordingly.Bothofthesewillfeedandensureanaccurate506ActiveProjectSummaryReport.

• RefertoFinancialReportsin thePM Toolboxforprojectencumbrancesandtheprojectexpenditurecostsummary.



https://reports.udot.utah.gov/cognos/cgi-bin/mod2_cognos?b_action=cognosViewer&ui.action=run&ui.object=%2fcontent%2ffolder%5b%40name%3d%27ePM%27%5d%2ffolder%5b%40name%3d%27Production%27%5d%2ffolder%5b%40name%3d%27Project%20Management%27%5d%2freport%5b%40name%3d%27Link%20to%20Financial%20Reports%27%5d&ui.name=Link%20to%20Financial%20Reports&run.outputFormat=&run.prompt=true&ui.backURL=%2fcognos%2fcgi-bin%2fmod2_cognos%3fb_action%3dxts.run%26m%3dportal%2fcc.xts%26m_folder%3di9015A3F2D25B4A7B82D756C2F2AAC28B

50

Chapter8

ThelastphaseoftheprojectlifecycleistheFinancialProjectCloseoutprocess.Thisincludesmanydifferentactivities,butthischapterwillfocusonthefinancialaspectsofprojectcloseout.Finalpaymentismade,issuesareresolved,fundsarereconciled,andprojectspendingauthorityisterminatedduringthisprocess.TimelyprojectcloseoutistheresponsibilityofthePMandallowsre-programmingofexcessprojectfundstowardotherprojects.

PromptprojectclosingwithintheFederal-aidandStateHighwayProgramiscriticaltoUDOTandFHWAinordertooptimizethelimitedfinancialresourcesunderUDOT’sstewardship.Unexpendedfundsfrompromptlyclosedprojectscanbeusedfornewprojects.

ePM PROJECT CLOSEOUT NETWORK • TheProjectCloseoutNetworkwasdevelopedtooutlineandtrackthestepsnecessary

toproperlycloseoutprojectsinePM.Forconstructionprojects,theProjectCloseoutNetworkbeginsonthedatetheREmarkstheprojectasSubstantiallyCompleteinPDBS.RefertotheConstruction Closeout Process Timelineforconstructionprojectcloseoutactivities.Fornon-constructionprojects,theProjectCloseoutNetworkbeginswhenthePMdeterminesthattheintentoftheprojectiscomplete.

8

SUBSTANTIAL COMPLETION

ThedaydeterminedbytheEngineerwhenthepublichas fullunrestricteduseofthefacilitiesfromanoperational andsafetystandpoint.RefertoSection00570ofthe UDOTStandardSpecificationsforafulldefinitionofsubstantialcompletion.

$$$Construction ComptrollerProgram/Project

ManagementProgramFinance

FINANCIAL PROJECT CLOSEOUT PROCESS ‘CLOSEOUT’ to ‘CLOSED’ Status


51


ThePMinitiatestheprojectcloseoutbysettinguptheProjectCloseoutNetworkinePM. ThissetupincludesselectingtheCloseoutactivitiesbasedonthecharacteristicsoftheproject,assigningmanagementunits(MU)orteammembertothoseactivities,andselectinganetworkcloseoutcompletiondate.

• RefertoProject Closeout Network activities in ePMforatutorialanddocumentationthatshowsPMsandActivityLeadershowtosetupandupdatetheprojectinePM.TheProjectCloseoutNetworkendswhenallcontractobligationsaremetandtheprojectiscompletelyclosedinePM,FINET,andFMIS.TerminationofprojectspendingauthoritytakesplacethroughformR-77. Unexpendedfundsarereleasedoncetheprojectisclosed.Atthistimefundsforanyprojectoverrunmustbefound.CoordinatewiththeRegionProgramManagertolocateanappropriatefundingsource.Afterfundsarereconciled,ProgramFinancemovestheePMPINstatusfrom“Closeout”to“Closed.”

PROJECT TRACKING ORACLE DATABASETheProjectTrackingOracleDatabasewasdevelopedtotracktheclosureofspecificconstruction,consultant,andutilitycontracts.ThedatabasetracksifconsultantorutilitycontractsrequireapostauditfromUDOT’sInternalAuditDivision.TheregionPMSupportTechniciansaresetuptohelpaccessthisdatabase.



52

Chapter8

POTENTIAL FINANCIAL HAZARDSAmajorresponsibilityofthePMistomakecertainthatallfinancialcommitmentshavebeenmetbeforeclosingtheproject.Belowaresolutionsforavoidingcloseoutproblems:

SUMMARYItisimportanttoconsidertheFinancialProjectCloseoutprocessthroughoutaproject’slifecycle. Thiswillensuretheproperstepsandfinancialdocumentsareinplaceforacloseoutthatmaysometimesbemanyyearsinthefuture.Alittlecloseoutplanningduringeachphaseoftheprojectwillgoalongwaytowardasuccessfulcloseoutprocesswhenthattimearrives.

• Check contracts and evaluations: Checkthatallconsultantcontractsareclosedandevaluationscompleted.

• Coordinate with the Comptroller’s office:CoordinatewiththeComptroller’sofficeforanywarranties,ROWcondemnations,ROWRightofOccupancy(ROO),andROWlitigations.

• Check outstanding contracts:Verifytherearenooutstandingutility,railroad,orotherthird-partycontracts.

• Complete audit:Besuretoplanabudgetforanyneededpostaudits.SeeCloseout Project Audit Cost Estimatesforguidance.ConfirmthatthefinalUDOTauditiscomplete.

• Locate additional funding: ThePMwillworkwiththeRegionProgramManagertolocateadditionalfundingtomeetobligationsofanycoststhatcomeinafterthereleaseoffunds,orthatexceedthetotalprojectbudget.

TOOLS AND RESOURCES

ThefollowingtoolsareavailabletoassistPMsinefficientlytrackingandmanaginga project’sclosure:

• UsetheePM Project Closeout Networktotrackthenecessarystepsinclosingaproject.

• RefertotheFinancial Project Tracking Oracle Databasetotracktheclosureofspecificcontractsrelatedtotheproject.





https://reports.udot.utah.gov/cognos/cgi-bin/cognos.cgi?b_action=cognosViewer&ui.action=run&ui.object=%2fcontent%2ffolder%5b%40name%3d%27Dashboard%20Shortcuts%20and%20PM%20Toolbox%27%5d%2ffolder%5b%40name%3d%27Project%20Manager%20Toolbox%27%5d%2freport%5b%40name%3d%27Link%20to%20Project%20Financial%20Closeout%20Tracking%27%5d&ui.name=Link%20to%20Project%20Financial%20Closeout%20Tracking&run.outputFormat=&run.prompt=true&ui.backURL=%2fcognos%2fcgi-bin%2fcognos.cgi%3fb_action%3dxts.run%26m%3dportal%2fcc.xts%26m_folder%3di9015A3F2D25B4A7B82D756C2F2AAC28B%26m_folder2%3dm-iE7F4280A42BB4B989AE1591A94A3EF01

https://reports.udot.utah.gov/cognos/cgi-bin/cognos.cgi?b_action=cognosViewer&ui.action=run&ui.object=%2fcontent%2ffolder%5b%40name%3d%27Dashboard%20Shortcuts%20and%20PM%20Toolbox%27%5d%2ffolder%5b%40name%3d%27Project%20Manager%20Toolbox%27%5d%2freport%5b%40name%3d%27Link%20to%20Project%20Financial%20Closeout%20Tracking%27%5d&ui.name=Link%20to%20Project%20Financial%20Closeout%20Tracking&run.outputFormat=&run.prompt=true&ui.backURL=%2fcognos%2fcgi-bin%2fcognos.cgi%3fb_action%3dxts.run%26m%3dportal%2fcc.xts%26m_folder%3di9015A3F2D25B4A7B82D756C2F2AAC28B%26m_folder2%3dm-iE7F4280A42BB4B989AE1591A94A3EF01

53


9 CONCLUSION

“Some Project Managers go over their budgets very carefully every month; others just go over them.” – Unknown

OneofthemostimportantservicesaUDOTProjectManagerprovidesistodeliverqualityprojectstothepublicinafiscallyresponsibleway.Inthesechangingeconomictimes,it’sevenmorecriticaltomanagefundsefficientlytobettersupportUDOT’s Strategic Direction. ThisProjectFinancialManagementresourcecanserveasacoreguidetoensuredelivery ofafinanciallyhealthyproject.

InitiallyPMsshouldtakethetimetobecomefamilierwiththecontentandchapterformats, soitwillbeeasiertolocatethetoolsandreferencematerialsquicklyasyouneedthemin thefuture.Theguidealsoreferencesmanyadditionalresourcesandlinkstohelpsteerawayfrompotentialprojectfinancialhazardsthroughouttheproject’slifecycle.

Refertothecompletefinanciallifecyclecharttoviewthefinancialprocessinitsentirety.

See the full Project PIN Status Chart.

TIP

PROJECT FINANCIAL LIFE CYCLEInitialSpendingRequestThroughFinancialCloseout

Construction and Post Construction Processes

Preconstruction Process

Financial Project Closeout Process

Project PIN Creation Process

Advertise Construction Process

Concept Development (CD) Process



54

Glossary

23CFRTitle 23 – Code of Federal RegulationsRegulationtoimplementandcarryouttheprovisionsoffederallawrelatingtotheadministrationoffederal-aidforhighways. (fhwa.dot.gov)

5-5-9 Contingency EstimateTheUDOTrecommendedpercentageofconstruction contingency amount based on the type of project:

5%forORANGEbookprojects

5%forPURPLEbookprojects

9%forBLUEbookprojects

ContingencyitemsincludeFUELADJUSTMENTS,MATERIALADJUSTMENTS,OVERRUNS,UNDERRUNS,andCHANGEORDERS.

10-Day Advertising ScheduleTheCentralProjectTeams’targetschedulefromthetimetheyreceivetheprojectpackagetothetimetheproject’sadvertisementnoticeispublishedat utahlegals.com

ABC Accelerated Bridge ConstructionAmethodofbridgeconstructionthatusesinnovativeplanning,design,materials,andconstructionmethodsinasafeandcost-effectivemannertoreducetheonsiteconstructiontimethatoccurswhenbuildingnewbridgesorreplacingandrehabilitatingexistingbridges.(fhwa.dot.gov)

AbstractThePDBSbidopeningtabulationthatcomparesthecontractorbidproposalswiththeEngineer’sEstimate.

AC AgreementAdvanced Construction AgreementAnACAgreementallowsthestatetoadvanceafederalconstructionprojectwithoutobligating thefederal-aid.Thestateorlocalagencybearsallexpenditureoutlaytocovertheagreement.ThisistypicallyhandledthroughSystemsPlanningandProgramming.

AC ConversionAdvanced Construction ConversionWhentheintendedfederal-aidand/orobligationauthorityisavailable,aportionortheentireACamountmaybeconvertedtoobligatedfunds.EligibleexpendituresmaybebilledforreimbursementtothestateorlocalagencyaftertheACConversion.(23CFRChapterISubpartG630.709)

10 GLOSSARY

55


Accounting SystemTechnologyorsoftwareprogramsthatassist anorganizationtoaccount,record,summarize,interpret,andpresenttimelyfinancialdata(Ex:UDOTFINETorFHWA’sFMISsystems)incontrasttobusinesssystemssuchasePMandPDBS.

Addendum (to advertising package)

Ifanerrorisdiscoveredafteradvertisingthecontractforconstruction,anaddendumispreparedtocorrecttheerror.

ARRAAmerican Recovery and Reinvestment Act of 2009TheprimaryobjectiveforARRAwastosaveandcreatejobsalmostimmediately.Secondaryobjectivesweretoprovidetemporaryreliefprogramsforthosemostimpactedbytherecessionandinvestininfrastructure,education,health,and ‘green’energy.(Wikipedia)

ATMSAutomated Traffic Management SystemATMSisacomponentofanIntelligentTransportationSystem(ITS).ATMSintegratestechnologyprimarilytoimprovetheflowofvehicletrafficandimprovesafety.Real-timetrafficdatafromcameras,speedsensors,etc.flowsintotheTransportationOperationsCenter(TOC)whereitisintegratedandprocessed(e.g.forincidentdetection),andmayresultinactionstaken(e.g.trafficrouting,DMSmessages)withthegoalofimprovingtrafficflow.(Wikipedia)

AdditivesDuringthedesignprocess,contractorsarerequiredtobidadd-onportionsofworkinanticipationofreceivinglowbidpriceswhereadditivescanbeselected.

Administrative RecordTherecordwhichreflectsallcommunications,mediaevents,meetingminutes,etc.applicableforenvironmentalNEPAdocuments.

Advertising ChecklistAguidancedocumentthatassistsaprojectteamtoprepareacontractpackage(Plans,Specifications,andEngineer’sEstimate)foradvertisingusedtoverifythecertificationsandapprovalstoproceedtoadvertise.

AmendmentAnaudittrailforanychangesmadetoaprojectinePM.

ApportionmentApportionmentisatermwhichreferstoastatutorily-prescribeddivisionorassignmentoffunds.Anapportionmentisbasedonprescribedformulasinthelawandconsistsofdividingauthorizedobligationauthorityforaspecificprogramamongthestates.ExamplesincludeInterstateMaintenance(IM),NationalHighwaySystem(NHS),SurfaceTransportationProgram(STP),CongestionMitigationandAirQuality(CMAQ),and BridgeReplacementandRepair(BRR)programs.(txdot.gov)

Approved AmountRequestedfundsthathavebeenauthorizedbytheFHWA.

ArterialAfunctionalclassificationofaroadwaythat is foundinbothruralandurbanenvironments,whichprimarilyfocusesonhighlevelsofmobilitythroughrelativelyhigheroverallspeedsratherthanlandaccess.(fhwa.dot.gov)

56

Glossary

Arterial, MinorStreetsandhighwayslinkingcitiesandlargertownsinruralareasindistributingtripstosmallgeographicareasinurbanareas (notenteringidentifiableneighborhoods).(fhwa.dot.gov)

Arterial, PrincipalMajorstreetsorhighways,manywithmulti-laneorfreewaydesign,servinghigh-volumetrafficcorridormovementsthatconnectmajorgeneratorsoftravel.(fhwa.dot.gov)

Audit (see Post Audit)Theactofscrutinizingfilesforinfractionstothe23CFR.

AuthorizationFederaland/orstatespendingapprovalforSTIPprojectsandprograms.

Authorization SignatureSignaturerequiredfromauthorizedUDOTand/orFHWArepresentative(s),afterrequestingfundsfromFHWAorotherofficials,beforespendingcanoccur.

AwardOwner’snoticetoabiddingcontractorof theacceptanceoftheirsubmittedbidon aproject.

BVIBid Variation IndexAstatisticalcomparisonthatmeasuresthevariationofconstructionbidpricesamongbiddingcontractorsonagivenproject.

BettermentFacilityconstructionimprovements,beyondthescopeoftheproject,thatareaddedtoaUDOTprojectandarefundedbyathirdparty(i.e.localgovernment,orutility).

Betterment AgreementAsigneddocumentdetailingthefacilityconstructionimprovementitemstobeconstructed,andthefinancialresponsibilitybetweenUDOTandthethirdparty.

Bid Abstract - See Abstract

Bid LettingPublishingagovernmentcontractforbid.

Bid OpeningApricevalidationprocessusedtoaccept,compare,andevaluateconstructionbidsorproposalssubmittedbycontractors, toensurefairandequitableselection.

Blue Book ProjectProjectsthatmayincludenewconstruction,rehabilitation,orreconstruction,inordertoextendthelifeofbridgesandpavement.FundingconsistsoffederalandstatefundsonInterstates,NationalHighwaySystem, andfederal-aideligibleroutes.

Bridge FundsVariousfederalfundingprogramsdedicatedtoreplaceorrehabilitateexistingbridges.

Brooks ActQualifications-basedselectionprocessforarchitectsandengineersdefinedbyUSCode40USC11.

Business SystemTheITtoolsandprogramsthatcomprise theinformationarchitectureofanorganization,suchasUDOT’sePM, OMS,PDBS,andProjectWise.

57


Buy AmericaFederalconstructioncontractprovisionthatrequirestheprojectincludenosteelorironmaterialsor,ifsteelorironmaterialsareused,allmanufacturingprocesses,includingapplicationofacoatingforthesematerials,mustoccurintheUnitedStates.23 CFR 635.410. Projectsunabletomeetthisrequirementcouldjeopardizetheirfederalfunds.

C107 (UDOT Construction Division form)Authorization to Proceed with Extra WorkRequiredbeforeproceedingwithanyconstructioncontractchangeorextrawork.

C128 (UDOT Construction Division form)Report on Assembly of Final EstimateUsedtoensurecompletedocumentationfortheclosingofacontractandisrequiredbyFHWAfortheprojectclosingprocess.Thisisincludedinthefinalletterpacket.

C190 (UDOT Construction Division form)Project Acceptance ReportUsedtodocumentsubstantialandphysicalcompletionandisrequiredbyFHWAfortheprojectclosingprocess.Thisisincludedinthefinalletterpacket.

C196-A (UDOT Construction Division form)Project Materials Certification and Attachment AProvidescertificationoftheprojectmaterialstotheDistrictEngineerandisrequiredbyFHWAfortheprojectclosingprocess.Thisisincludedinthefinalletterpacket.

CAACommission Approved AmountInitialfundingamountprogrammedoneachprojectintheSTIP.TheUtahTransportationCommissionApprovedAmountisfoundin theePMProgramDevelopmentmodule, onthe710screenunder‘ProjectNumber’tab.Thecostoftheprojectisnottoexceedthisnumber.

CatExEnvironmental Categorical ExclusionACatExispreparedforactionsthatdonotindividuallyorcumulativelyhaveasignificanteffectontheenvironment.Theseareactionsthatdonot:inducesignificantimpactstoplannedgrowthorlanduseforthearea;requiretherelocationofsignificantnumbersofpeople;haveasignificantimpactonanynatural,cultural,recreational,historic,orotherresource;involvesignificantair, noise,orwaterqualityimpacts;havesignificantimpactsontravelpatterns;andotherwise,eitherindividuallyorcumulatively,haveanysignificantenvironmentalimpacts(23CFR771.117(a)).(UDOTEnvironmentalProcessManualofInstruction)

CCPConstruction Completion PacketTheCCPisfromcentralconstructionstatingtheconstructionhasbeencompletedonaproject.Aseriesofformsdesignedtosummarizetheconstructionphaseofaproject,includingtimetocomplete,materialacceptance,DBEcommitments,changeorders,materialover/underruns,andcontractorpayments.

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=2ceb3a15b1f03217c868a57fa989249f&rgn=div8&view=text&node=23:1.0.1.7.23.4.1.6&idno=23

58

Glossary

CD BudgetConcept Development BudgetAnominalamount(usually$10K)assignedtoaprojectfortheCDteamtoconductastudytodeterminethefeasibilityofthatproject. CDfundsarealwaysnon-participating.

CEM BudgetConstruction Engineering Management BudgetTheCEMistheportionofaprojectbudgetthatprovidesconstructionengineeringoversightonaproject.

CEMConstruction Engineering Management Engineeringservicestooverseeandadministertheconstructioncontract.

CFCCounty of the First Class FundHouseBill287fromthe2001GeneralLegislativeSessioncreatedaspecialrevenuefundthatreceives25percentofSaltLakeCounty’s0.25percentpublictransitsalestaxthatwasapprovedbyvotersintheNovember2000generalelection.FundscanbeusedforI-15andotherstatehighwayprojectswithinSaltLakeCountyandfordebtserviceonbondsissuedtopayforsuchprojectsasprioritizedbytheCommission.(udot.utah.gov)

CFRCode of Federal RegulationsTheadministrativelawofthefederalgovernment.Highwaysarecoveredunder23CFR,Acquisitionunder48CFR,Transportationunder49CFR,etc.

CHFCentennial Highway FundTheCHFisanallocationofstateandfederalmoneyforuseinbuildingcapacity-driventransportationprojects.Usesincludeconstruction,majorreconstruction,ormajorrenovationofstateandfederalhighways, themostprominentofwhichwasthe I-15reconstructioninSaltLakeCounty. (udot.utah.gov)

CHNFCritical Highway Needs FundDuringthe2007UtahLegislativeSession,HouseBill314createdtheCHNF.ThisfundisusedonvarioustransportationprojectsthroughoutthestateasprioritizedbytheCommissionbasedonrecommendationsdevelopedbyUDOTundercriteriaidentifiedinstatelaw.(udot.utah.gov)

CMAQCongestion Mitigation Air QualityAtypeoffederalfundingthatmaybeaddedtoaprojecttoassistinobtainingormaintainingacertainstandardofairquality.

CMGCConstruction Manager General ContractorThisisamodifieddesign-buildprocessinwhichtheownerholdsthecontractforboththeconsultantdesignerandthecontractor.

CMGC ProjectConstruction Manager General Contractor ProjectContractingprocessinwhichacontractorisselectedtoaidwiththedesignandistheninvitedtoproposeapricefortheconstructionoftheproject.Thisisintendedtoidentifyandreduceprojectriskandcostofconstructionbyinvolvingthecontractorindesigndecisions.Timeissavedwhiletheprojectisindesignandconstructionriskisminimized.

59


CMPOCache Metropolitan Planning OrganizationTheCMPOisresponsibleforcomprehensivetransportationplanninginportionsofCacheCounty,Utah.(cachempo.org)

CMSContract Management SystemePMBusinessSystemmoduleusedforconsultantcontracting.

COChange Order

ChangeOrdersmodifythecontractandarerequiredfor,butnotlimitedto,thefollowingconditions:panorspecificationchangeoraddition,differingsiteconditionorsignificantchangeinthecharacterofwork;changeinDBEcommitment;extensionofcontracttime;extraworkrequiredthatcannotbetiedtoanoriginalbiditem;andacceptanceofavalueengineeringproposal.(UDOTConstructionManualofInstruction)

CPMCritical Path MethodAschedulingtechniquethatusesactivitydurationsanddependenciestocalculatethelongestpathofplannedactivitiestotheendoftheproject,andtheearliestandlatestthateachactivitycanstartandfinishwithoutmakingtheprojectlonger.(Wikipedia)

Capital CostsThevalueofthephysicalfeatureson a project.

COGNOSStateofUtah’sbusinessandperformancereportingtool.

Commission MinutesMinutestakenduringUDOTTransportationCommissionmeetingsthatcontainpertinentinformationregardingprojects,includingfunding.

Comptroller’s OfficeUDOTdivisionofficeresponsibleforsupervisingthequalityofaccountingandfinancialreporting.

Concept ReportReportdevelopedbytheConceptteamdocumentingtheproposedprojectneedanddefinesthelimits,scope,andcostestimatefortheproject.

Congressional District CodeRequired2-digitnumericfieldidentifyingthegeographicalcongressionaldistrictinwhich aprojectislocated.

Consultant ContractAcontractwrittenbyUDOTConsultantServicesforarchitectural/engineeringservicesorengineeringrelatedservicesforeitherUDOTorlocalgovernmentprojects.Thefundingmaybestate,federal,orlocalgovernment.Aconsultantcontracthasvariousmethodsofqualification-basedselection (i.e.GeneralEngineeringServicesandLocalGovernmentPool,RequestforQualifications,RequestforLetterofInterest,orEngineer ofRecord).

Contingency Plannedfundssetasideforunknownfutureeventsoremergencies.See5-5-9ContingencyEstimate.

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Glossary

Contract ModContract ModificationAcontractmodificationmayintroduceorcancelspecificationsortermsofanexistingcontract,whileleavingintactitsoverallpurposeandeffect.

Corridor PreservationLandpurchaseinanticipationoffuture road construction.

Cost AccountingAsystematicprocessforrecordingandreportingallthecostsandrevenuesofanorganizationinawaythatcanbeusedtoimproveitsmanagement

Cost BudgetingAllocatingcostestimatestoindividual workactivities.

Cost EstimatingAprocessusedtoapproximatethecostofaproject.Highwayprojectcostestimatingincludesthecostofmapping,survey,design,preparinganenvironmentaldocument,utilityimpactrelocations,rightofway(appraisals,appraisalreview,agents,acquisitions,andeasements),constructionmaterialsandlabor,andaudits.

DBDesign-BuildThereareseveraltypesofDBprojects,includingbestvalueandlowbid. Generally,UDOTdevelopsdocuments thatidentifytheendresultproduct,establishesthedesigncriteria,andapreliminarydesignthatprovidesinformationonunknownssuchasthegeotechnicaldata,tominimizeacontractor’srisk.Prospectivebiddersdevelopdesignproposalsbasedonthesedocuments.Thedesign-buildconceptallowsacontractormaximumflexibilityforinnovationintheselectionofdesign,materials,andconstructionmethods. WithDB,thecontractorassumesamuchlargerroleinthecontroloftheproject, withUDOThandlingmoreofanadvisoryandqualityassurancerole.(UDOTPMGuide)

DBBDesign-Bid-BuildUDOTdesignstheprojectanddevelopsasetofplans,specifications,andanestimate(PS&E).Thesedocumentsareadvertisedtothecontractingpopulationandtheysubmitbidsforthework.Thelowestresponsivebidderisselectedtoperformthework.UDOTmaintainscontroloftheconstructionproject.(UDOTPMGuide)

DBEDisadvantaged Business EnterpriseDBEsarefor-profitsmallbusinessconcernswheresociallyandeconomicallydisadvantagedindividuals(i.e.AfricanAmericans,Hispanics,NativeAmericans,Asian-PacificandSubcontinentAsianAmericans,andwomen)ownatleasta51percentinterestandalsocontrolmanagementanddailybusinessoperations.(USDOT)

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DEDesign EngineerAnengineerthatdesignsroadwayprojects.

Direct SelectAconsultantselectionprocesswhereafirm is selectedfromapre-qualifiedlistoffirms, suchasfromtheUDOTGeneral EngineeringPool.

DUNS NumberData Universal Numbering System NumberAuniversalnumericidentifierusedtotrackentitiesreceivingfederalawardsandmustbeprovidedonallfederalgrantapplications.

Dixie MPODixie Metropolitan Planning OrganizationTheDixieMPOisdesignatedbythestateofUtahtooverseetransportationplanningintheurbanizedandurbanizingareasinUtah’sWashingtonCounty—historicallyknownas‘Utah’sDixie.’(dixiempo.wordpress.com)

EAEnvironmental AssessmentANEPAdocumentpreparedforaprojectthatisnotontheCatExlist,anddoesnothavesignificantenvironmentalimpacts(i.e.minorwideningproject).

EBSElectronic Bidding SystemAUDOTsoftwareapplicationthatmanagestheprojectconstructionbiddingprocess.

EEEnvironmental EngineerAnengineerthatmanagestheNEPAprocess.

EISEnvironmental Impact StatementANEPAdocumentforaprojectthatisdeterminedtoposesignificantenvironmentalimpacts.Typicalforprojectswithanewalignmentandcantakethreetofouryears tocomplete.

ePMElectronic Program ManagementAUDOTsoftwareapplicationthatholdsallspendinginformationregardingSTIPprojectsandprograms.

ePM 300 ScreensTheinitialprojectPINcreationsetupscreensprimarilyusedbyPlanningandProgramming,ProgramandPortfolioManagers,wheretheydescribeandproposeaproject,moveitontotheSTIP,setupfundingandallowtheteamtoplantheprojectscope.

ePM, 495 Screen – Expenditure SummarySpecificscreenfoundintheePMProjectDevelopmentmoduleunderthe‘Financial’tab.Showstheprojectexpendituresummary.

ePM, 505 Screen – Cost EstimateEngineer’s EstimateSpecificscreenfoundintheePMProjectDevelopmentmoduleunderthe‘Financial’tab.ShowstheProjectManager’splannedcostestimateofaproject.

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Chapter1

ePM, 710 Screen – PIN/Project SetupProject InformationSpecificscreenfoundintheePMProjectDevelopmentmoduleunderthe‘Setup’tab.Showsdetailedprojectandfundinginformation(i.e.descriptions,routename, andlocation,etc.).

ePM, 750 Screen – Ownership StatusSpecificscreenfoundintheePMROWmodulethatincludesdetailsaboutownerships,parcels,landvalues,theagent’slog,condemnations,summary,deeds, andstatus.

ePM, 861 Screen – Report SelectionSpecificscreenfoundintheePMProjectDevelopmentmoduleunderthe‘Reports’ tabwhichcangeneratevariousreportssuchasbudgeting,projects,andGantt.

Earmark

Federalfundsthataresetasideforaspecificproject.Thisfundingcanonlybeusedforthespecifiedproject.AnyunexpendedfundsarereturnedtotheFHWA.

EligibleCoststhatmeetfederalstandardsforreimbursementoffederalfunds.

EncumbranceReflectscontractualprojectfinancialcommitmentspriortoanactualexpenditure.Managementtooltopreventoverspending.

Engineer’s EstimateTermgiventoadocumentfoundinPDBSthatiscreatedbytheprojectengineer,thatgivesadetailedbreakdownofcostsinallphasesoftheprojecttoadvertiseforconstructioncontractor.Thisdocumentmustremainwithin

theprojectvalue.

Environmental DocumentANEPA(NationalEnvironmentalPolicyAct)documenttodeterminewhethercertainactions(suchabuildingaroadway)‘significantly’affectthequalityofthe humanenvironment.

Environmental Documentation/Project FileAfilethatcontainsalltherelevantenvironmentaldocumentsforagivenproject.Maintaininganaccurateandup-to-dateprojectfileisanimportanttaskinanyNEPAstudy.ThisdocumentationincludestheAdministrativeRecord.(UDOTEnvironmentalProcessManualofInstruction)

ExpenditureAnyincurredcosttoaproject.

FAAFederal-Aid AgreementAsignedagreementbetweenUDOTandalocalgovernmentwhichdescribesthefundingresponsibilityforalocalproject.

FHWAFederal Highway AdministrationTheFederalHighwayAdministration(FHWA)isanagencywithintheU.S.DepartmentofTransportationthatsupportsstateandlocalgovernmentsinthedesign,construction,andmaintenanceofthenation’shighwaysystem(Federal-AidHighwayProgram)andvariousfederallyandtribalownedlands(FederalLandsHighwayProgram).(fhwa.dot.gov)

63


Final Construction LetterAletterissuedfromtheEngineerforConstructionandMaterialsthatterminates aconstructioncontractandreleases thecontractor.

Finance SystemsProcessesandtoolsthathelpanorganizationtrackandmanageresourcesandaidplanninganddecision-makingsuchasINETandFMIS.

FINETFinancial NetworkUtahState’sfinancialmanagementsoftwaresystemthatprovidesaccountinginformationtohelpagenciesanalyze,makesounddecisions,andmaximizeuseoftaxrevenues.TheFINETprogramusescostaccountingelementsinputintoexpendituredocuments.Thoseprogramswitha5or4prefixidentifyinvolvementoffederalfundsontheproject.

FINET CODING BLOCKAsetofcodingelementsusedbyUtahstateagenciestorecord,classify,andretrievefinancialinformationbycategoryandsubcategories.

FMISFiscal Management Information SystemFederalsystemusedtoenterandtrackobligationoffunds,expenditures,information,andfinancialchangesandadjustmentsonfederallyfundedprojects.

FMIS ActionAnyadjustmentorobligationwithintheFMISsystemthatrequiressignatureauthorization.

FMIS NumberAuniquenumbergeneratedforeach projectinePMwhichidentifiesitwithin theFMISsystem.

FONSIFinding of No Significant ImpactAFONSIisboththedecisionbyFHWAthattheprojecthasnosignificantimpactsandthedocumentationofthatdecision.AdeterminationthattheprojectwillhavenosignificantimpactsismadebyFHWA,followingconsiderationoftheanalysispresentedintheEA,considerationofcommentsontheEAmadebyagenciesandthepublic,UDOT’sselectionofthepreferredalternative,andanychangesintheproposedactionbasedonthecommentsreceived.(UDOTEnvironmentalProcessManualofInstruction)

FVFinal VoucherAdocumentgeneratedbytheComptroller’sofficethatbreaksdownallcostsonallsubphasesofaprojectorprogram.Everypennythatwasprogrammedfortheprojectisaccountedforbythisfinaldocument.

Federal-aid ProgramAllfederalfundsthatstatesareallowedtoexpend,providingfederalcriteriaismet.

Federal Bill – ReimbursementAweeklybillsubmittedtoFHWAforreimbursementtothestateforcostsincurredonfederalprojects.Initially,thestatecoversthefundingofanygivenfederalproject.OnlyaftersubmittingnecessarydocumentsandreceivingauthorizationoffundsbyFHWA,doesthisqualifythestatetobereimbursedbyFHWA.

Federal FundingMoneyfromthefederalgovernmenttofundUDOT’sfederal-aidprogram.

64

Glossary

Fiscal YearDateswithinaspecifictimeframeinwhichfiscalexpendituresarerecorded.TheUtahStatefiscalyeardiffersfromthefederal fiscalyear.

Flexible MatchPublicandprivatecontributionsareallowedtobecountedtowardthenon-federalmatchforfederal-aidprojects.Candidatefederal-aidprojectsforflexiblematchmustbeidentifiedatthetimeofprojectapplication.Thecandidateprojectrequiresevaluationofthetotalprojectfundingfordeterminationofflexiblematchfeasibilityandpre-approvalbytheUDOTLocalGovernmentProgramsEngineer.Softmatchisamatchcredittoaprojectderivedfromanon-projectsource,suchastollcreditsoroff-systembridgecredits.Theamountthestatespendsontheseprojectscanbecreditedtoanotherusingfederal-aidfunds.Thefederalshareonthefederal-aidprojectdoesnotchangewiththenon-federalsharesatisfiedbyasoftmatch.However,thebillingratioisupto100%ofcostincurreddependingontheamountofsoftmatch.

FTAFederal Transit AdministrationTheUSDOTfederalagencythatprovidesfinancialandtechnicalassistancetolocalpublictransitsystems.

Funded YearFundsthatshowinthecurrentyearintheSTIP.Onlycurrentfundedyearfundscan bereimbursed.

Funding PriorityThefundingsourcethatisdeterminedorrequiredtobethefirsttobeexpended onaprojectthathasmorethanone fundingsource.

GISGeographic Information SystemAtechnologicalfieldthatincorporatesgeographicalfeatureswithtabulardatainordertomap,analyze,andassessreal-worldproblems.(GISlounge.com)

Green Book ProjectProjectsthatmayincludenewconstruction,rehabilitation,orreconstructionforextendingthelifeofbridgesandpavements.Fundingconsistsofstateconstructionfundsordedicatedfederalfunds.

HCPHighway Construction ProgramTheHCPcontainsrevenuefromlegislativeappropriations.ThesefundsareusedforconstructionandreconstructionofstateandfederalhighwaysasassignedbytheTransportationCommission.Theprojectsfundedbythisprogramareintendedtobesmallerinscaleandforcongestionrelief.OncetheprojectsincludedinthecurrentStatewideTransportationImprovementProgram(STIP)arecomplete,theprogram isfinished;Thereisnoadditionalfunding.(udot.utah.gov)

HPPHigh Priority ProjectTermgiventoaprojectthatisdeemedmoreimportanttoconstructandisfundedwithearmarkedfunds.

ICEIndependent Cost EstimateAcostestimateperformedbyresponsibleUDOTagenttoestimatetheamountneededforcontractedprofessionalengineeringservicestobeperformed.

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IMInterstate Maintenance Discretionaryfundingprogramthatprovidesfundingforresurfacing,restoration,rehabilitation,andreconstruction(4R)work,includingaddedlanestoincreasecapacity, onmostexistingInterstatesystemroutes.

ITSIntelligent Transportation SystemInformationandcommunicationtechnology(appliedtotransportinfrastructureandvehicles)thatimprovetransportoutcomessuchastransportsafety,transportproductivity,travelreliability,informedtravelchoices,socialequity,environmentalperformance,andnetworkoperationresilience.(Wikipedia)

IncentivesFinancialrewardsforcompletionofa portionoftheworkonaprojectonor beforeschedule.

In-kind Match (see Flexible Match)Innovative ContractingAnymethodofcontractingthatvariesfromlow-bidcontracting.Includesincentive/disincentives,warranties,Price+TimeBidding,lanerental,additives,alternatebidding,Design-Build,andCMGC.

Interstate SystemAnetworkoflimited-accessroadsincludingfreeways,highways,andexpresswaysformingpartoftheNationalHighwaySystem.(Wikipedia)

JHCJoint Highway CommitteeAdministersseveraltypesoffederalfundsthatareallocatedtoUtaheachyearbyCongressforuseontransportationfacilitiesintheruralandsmallurbanareasthroughoutthestate.Inadditiontothesefunds, specificdollarsarealsosetasidefor bridgesonthelocalsysteminallareas ofthestate.(UDOTPMGuide)

Jurisdictional TransferTheprocessforthetransferofahighwayorroadwayfromonejurisdictiontoanother.Thetransferofjurisdictionisusuallyfromthestatetoacityorcountywhenthehighway’sfunctionormanagementobjectivesaremorealignedwithlocalfunctions.

LGLocal GovernmentAcityorcountygovernmentwhichoperatesindependentofUDOT.

Local MatchFundscontributedtoaprojectbyalocalentitythatarerequiredasapre-determinedpercentagematchforfederalfundsona givenproject.

Local RouteAlocalroadthatisnotmaintainedbyUDOT.

MAG MPOMountainland Association of Governments Metropolitan Planning OrganizationMAGMPOservesthethreecountyregionofSummit,Wasatch,andUtahCounties,Utah,populationof588,003(2008CensusEstimate).(mountainland.org)

66

Glossary

MAP-21Moving Ahead for Progress in the 21st Century Act 2012federalsurfacetransportationactthatauthorizeshighwayfundingforfiscalyears2013 to 2014.

Memorandum of Understanding (MOU)AformalletterdescribinganagreementdefiningstewardshipandresponsibilitiesbetweenFHWAandUDOT.

MP MilepostAsystemusedtodesignateexactpointsalongaroadwayalignment.AllInterstateroutesaremilepostedbeginningatthemostwesterlyorsoutherlypoint.Thebeginningpointismilepost‘0’.Ifthefirstinterchangeontherouteislocatedbetweenmilepost4.0and5.0,itisnumberedasInterchange#4.Thenextinterchange,iflocatedatmilepost8.7,wouldbenumberedasInterchange#8,etc.Withthissystemthemotoristcaneasilydeterminethelocationanddistancetoadesiredinterchange.(fhwa.dot.gov)

MPOMetropolitan Planning OrganizationAfederallymandatedandfederallyfundedtransportationpolicy-makingorganizationintheUnitedStatesthatismadeupofrepresentativesfromlocalgovernmentandgovernmentaltransportationauthorities. UtahhasfourMPOs:CMPO,DIXIE,MAG,WFRC.(Wikipedia.org)

Master PINAmethodofgroupingPINswithsimilarobjectivesintocategories.ThethreeusesofMasterPINsincludeRegion,Portfolio, andMegaProjects.AregionusesaMasterPINtotrackallprojectsintheregionthatarenotpartofaPortfoliooraMegaProject. APortfoliousesaMasterPINtotrackall theprojectsthatarefundedbythatPortfolio.MegaProjectswilloftenuseaMasterPINtocaptureallthevariousPINsthatcumulativelymakeuptheMegaProject.

MITARMonitor, Track, Investigate, Report

Aprojectmanagementprocessusedtoimprovetheefficiencyofmanagingthescope,schedulebudget,andqualityofaproject.

Monitor:TrackandcompareprojectprogresstothebaselinedProjectPlan.

Investigate:ExplorethecausesandpossibleresolutionstochangesinScope,Schedule,Budget,andTeam.

Take Action:Manageandrecordthechanges,issues,andrisksthatemergeastheprojectprogresses.

Report:Communicateactualperformance,progress,variances,andactionstakentoappropriatemembersoftheorganization.

MOU (See Memorandum of Understanding)

MUManagement UnitFinancialcodeusedtodescribeadistinctorganizationalmanagementunit.

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NBINational Bridge InventoryTheaggregationofstructureinventoryandappraisaldatacollectedtofulfilltherequirementsoftheNationalBridgeInspectionStandardsthateachstate preparesandmaintains.AninventoryofallbridgessubjecttotheNationalBridgeInspectionStandards.(fhwa.dot.gov)

NBISNational Bridge Inspection StandardsFederalregulationsestablishingrequirementsforinspectionprocedures,frequencyofinspections,qualificationsofpersonnel,inspectionreports,andpreparationandmaintenanceofastatebridgeinventory.(fhwa.dot.gov)

NBIS Inventory NumberEachstructureover20feetmeasuredalongthecenteroftheroadwayisgivenastructurenumberassignedbyUDOTStructurestotrackinspections,maintenance,andprojects(thisalsoincludesLGstructures).

NEPANational Environmental Protection ActNEPArequiresfederalagenciestointegrateenvironmentalvaluesintotheirdecision- makingprocessesbyconsideringtheenvironmentalimpactsoftheirproposedactionsandreasonablealternativesto thoseactions.(epa.gov)

NHSNational Highway SystemThissystemofhighwaysdesignatedandapprovedinaccordancewiththeprovisions of23U.S.C.103b.(fhwa.dot.gov)

NOANotice of AwardWrittenconfirmationofanawardofacontractbytheownertoasuccessfulbidder.

NonparticipatingActivitiesoritemsthataredeterminedtobeineligibleforfederalparticipationandmustbepaidwithnon-federalfunds.(mdt.mt.gov)

NTPNotice to ProceedLetterfromanownertoacontractorstatingthedatethecontractorcanbeginwork subjecttotheconditionsofthecontract. TheperformancetimeofthecontractstartsfromtheNTPdate.

OAObligation Authority

Thetotalamountoffundsthatmaybeobligatedinagivenfiscalyear.Thisiscomprisedoftheobligationlimitationamountplustheamountsforprogramsthatareexemptfromtheobligationlimitation.(fhwa.dot.gov)

ObligationAfederallycommitteddollaramountforaspecificprojectsub-phase.

Obligation LimitationAnannualCongressionalrestrictionorceilingontheamountoffederalassistancethatmaybeobligatedduringaspecificperiodoftime.Thisisastatutorybudgetarycontractthatdoesnotaffecttheapportionmentorallocationoffunds.Rather,itcontrolsthe rateatwhichthesefundsmaybeused. (fhwa.dot.gov)

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Glossary

On-Call ContractAcontractwithaconsultantforarchitectural/engineeringservicestoperformparticulartaskstosupplementUDOTstaffforpeakperiodsorforparticularexpertisecurrentlyunavailablewithintheDepartmentthatmaybebilledtovariousprojects.Therearevariouslimitationsonthiscontractingmethod,whichinclude:a)contractlimit,b)projectlimitwithinthecontract,c)feetypeisunitprice,d)selectionrulesstillapply,e)durationlimitofone-yearwiththeabilitytoextendforoneadditionalyear,f)noretainageisrequired.

Operating CostsProjectcoststhatarenotusedtofundthephysicalfeaturesofaroadway;suchasstudies,design,constructionoversight,etc.

Orange Book Project (see Pavement Preservation Program)Preservationprojectsthatincludepavementandbridgepreventivemaintenance. Fundingmayconsistofstateand/or federalfunds.

Out YearReferstoafiscalyearinthefuture.

OverflowProjectcostinexcessofprogrammedfundingonFederal-aidprojects.Additionalfundingsourcesmustbeidentifiedforoverflowexpenditures.

OverrunAnunexpectedcontractitemcostthatexceedsthecontractedquantityduetoanunder-estimationoftheitemquantity.

OSROperational Safety ReportAreportthatincludesareviewofaccidenthistory,existingfeatures,andarecommendationtocorrecttheseissues.OSRsareprovidedatthebeginningofprojectsduringtheconceptandscopingphasessothatsafetyplanningcanbeapartoftheentireprojectdevelopmentprocess.(udot.utah.gov)

PDBSProject Development Business SystemAUDOTsoftwareapplicationthatallowsUDOT,itsconsultants,andcontractorstodocumentandcontrolconstructionprojects.

PDCProject Design CriteriaEstablishedstateandnationalstandardsandproceduresthatguidetheestablishmentofroadwaylayouts,alignments,geometry, anddimensionsforspecifiedtypesofroadwaysincertaindefinedconditions. Theprincipaldesigncriteriaforroadwaysaretrafficvolume,designspeed,thephysicalcharacteristicsofvehicles,theclassificationofvehicles,andthepercentageofvariousvehicleclassificationtypesthatusetheroadway.(iowadot.gov)

PDTProject Delivery TeamTheteamoftechnicalspecialistsassignedtodelivertheprojectdesign,study,etc.

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PEPreliminary EngineeringWorknecessarytoadvanceaprojectfromconceptstagetoawardofcontract.Includesscooping,planningstudies,developingalternatives,environmentaldocumentation,projectdesign,andpreparationofallprojectplansandcontractdocuments.(IdahoDOT)

PFVPreliminary Final VoucherDocumentgeneratedbytheComptroller’sofficethatdefinesallexpendituresonaproject.Thisdiffersfromafinalvoucherin thatconsultantandutilitycontractsmay notbecompleteatthetimeitisissued. Thisdocumentprecedesthefinalvoucher.

PINProject Identification NumberIdentificationnumberassignedtoaproject in ePM.

PMProject ManagerTheindividualresponsiblefortheexecutionandcompletionofaprojectfromcradletograve,whichinvolvesmanagingthescope,schedule,budget,andqualityofaprojectwiththehelpofatechnicalteamcomprisedofUDOTemployeesand/orconsultantsfromvariousdisciplines.

PM TechProject Management TechnicianTheUDOTindividualresponsibleto providesupportservicesforthePMsin agivenregion.

PS&EPlans, Specifications, and Estimates

Plans,Specifications,andEstimates(PS&E)arethedetailedplansandaccompanyingspecificationsandconstructioncostestimatesthatserveasdocumentsforconstructioncontractlettingpurposes.Plansarethecontractdrawingsthatshowthelocation,character,anddimensionsoftheprescribedwork,includinglayouts,profiles,crosssection,othermiscellaneousdetails,andquantitysummaries.Specificationsarethecompilationofprovisionsandrequirementsfortheperformanceofprescribedwork.Theestimateisalistofallbiditemsandquantitiesestimatedbidprices,totalcostforeachbiditem,andthetotalestimatedcostfortheproposedproject.(txdot.gov)

Pass ThroughFederalfundsthatarepasseddirectlythroughUDOTtothereceivingentity.Thestateneverdepositsthefunds,onlydistributesthem.UDOTservesto‘pass-through’thefundsinordertoprovidefederalassistancetootherlocalagencies,MPO’s,JHC,federallands,etc.becausethereisn’tafederalorganizationalstructuretoprovideassistancedirectlytothefinalsub-recipient.

Pass-throughentities(UDOT)and sub-recipientsareequallyresponsiblefor themanagementoffederal-aidreceived.

Example:ThestatereceivesfundsfromFHWAanddistributesthemtothecity,county,privateparty,orotherentity.

Pavement Preservation ProgramConsistsofpreventivemaintenanceprojectsthatincludepavementmaintenance. Fundingmayconsistofstateand/or federalfunds.

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Glossary

Pay Request (or Payment Request)Aninvoicepreparedbyaconsultantorserviceproviderrequestingpaymentfrom theowner.

Pending ActionAnythingenteredintoFMISthatiswaitingforfederalapprovaland/orauthorization.

Planned FundsFundsthatarepartofthefederalapportionmentforafiscalyear.ThesefundsareprogrammedintheSTIPandePMtobeobligatedwithspecificcriteriasetbyFHWA.

PolicyDefinesthebroadguidelinesbywhichUDOT’sadministrativegroupsdeveloptheiradministrativerules.(udot.utah.gov)

Portfolio ManagerAnindividualwhotypicallyresidesattheUDOTcentralofficeandischargedtooverseethefundstomeetthegoalsofadefinedtransportationprogram(suchasBridgePreservation,SpotSafetyImprovement,BarrierTreatment,etc.).

Post Audit (see Audit)UDOTInternalAuditDivisionperforms postauditsonutilitycontracts(over$25,000)andconsultantcontracts(over$250,000).Contractslessthanthethresholdamountmayalsobeselectedforpostauditiftherehavebeenpastauditproblemswithanentity,theentityisnotfamiliarwithfederalregulations,orotherwiseselectedforauditreview.

Pro RataProportional RatioThepercentageatwhichfederallyfundedprojectsarematchedbyeitherthestateorlocalfunds.

ProcedureStateshowpolicywillbeimplemented.

ProgramProgramsareapprovedontheSTIPasanallotmentofmoneythatisdesignatedforacertaintypeofwork.ProjectsarethenselectedbyaProgram/PortfolioManagerbasedoncriteriadesignatedforthatprogram.(UDOTPMGuide)

Program ManagerARegionindividualresponsibletoplananddevelopmethodsandprocedurestoimplementanddelivertheirregionalprogram.Theycoordinateprogramactivitiesandmanagepersonnelresponsibleforprojectmanagementfunctions.

Program FinanceTheUDOTdepartmentresponsiblefortheobligationandauthorizationoffunding.

Program Finance DirectorIndividualfromSystemsPlanningandProgramDivisionwhoisresponsibletoprogramfundsandworkwiththeregionstoplanandscheduleUDOT’sfundedprogramsfortheSTIP.

ProjectProjectsareapprovedindividuallyontheSTIP.Aprojecthasadefinedbeginningandendundertakentomeetuniquetransportationneeds.(UDOTPMGuide)

Project Accounting CodesCodessetupbyProgramFinanceandtheComptroller’sofficetotrackprojectfinances.

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Project Budget RecoveryUDOTprocesswherethePMadjuststheprojectcostestimatetomatchtheactualawardamountinePMscreen505. Thegoalistorecoverfundsinorder tomakethemavailabletore-obligate towardotherprioritizedprojects.

Project Delivery NetworksUDOTtemplatesoutliningthestages,activities,andtasksusedforproducingsuccessfulprojects.Eachnetworkfocuses onadistinctareaofprojectdelivery, andincludesdesign,concept, environmental,andprojectcloseout.

Project FileHardandelectroniccopiesofallrequireddocumentsandnecessarye-mailsforagivenprojectorprogramforprogramfinance.

Project ValueThetotalfundsavailableforaproject.

ProjectWiseABentleyapplicationthatUDOTusesforprojectfilemanagementandcollaboration.

Purple Book ProjectProjectsthataddressonlythepavementsurface,thatincludesresurfacingforasphaltpavementsorworkofsimilarscopeandfunctionforconcretepavements. Workitemsarelimitedtopavementresurfacingandotherworkthatisnecessitatedbythatresurfacing.(UDOTPurpleBookScopingandDevelopmentProcessGuidelines)

R-76State-Only Funded Project Funding Authorization FormFormgeneratedbyProgramFinanceandusedbyUDOTthatauthorizesthespendingofstatefundsonaproject.

R-77Termination of Authority FormDocumentgeneratedbyProgramFinanceafterreceiptofthefinalletter,oremailfromthePMfornon-constructionprojects, thatterminatesthespendingauthorityof aproject.

R-709Federal Funding Authorization FormUDOTformgeneratedbyProgramFinancethatauthorizesthespendingoffundsonaprogramorspecificsubphasesofaproject.

RASPSRapid Approval and State Payment SystemElectronicfinancialtransfersystemusedtomakefederalreimbursementtothestateswithintwodaysofreceiptoftheirreimbursementrequests.

REResident EngineerTheindividualresponsibleforthedaytodayconstructionmanagementofaproject.

RFPRequest for ProposalAninvitationtocontractorsorconsultantstosubmitaproposalonaspecificproject.

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RFQRequest for QualificationsAninvitationtoconsultantstosubmitastatementofqualificationsonaproject-specificscopeofworkandapproach, usuallyforacomplexproject.Itdoesnothaveadollarcap,andtheprocessusuallytakestwotofourmonths.TheRFQprocessisaqualifications-basedselectionfollowingthefederalBrooksActwhichrequiresthatengineeringfirmsareselectedbasedupontheircompetency,qualifications, andexperienceratherthanbyprice.

RLOIRequest for Letter of InterestPM’semailrequest(senttoatleastthreequalifiedfirmsfromtheLG/GEpool)askingwhethertheyareinterestedinsubmitting aPoolLetterofQualificationfora neededproject.

RODRecord of DecisionTheROD(signedbyFHWA)constitutes theofficialfederaldecisionandactionfor theprojectunderNEPA,meaningthatFHWAandUDOTcanproceedwithROWacquisitionandfinaldesignoftheproject.(UDOTEnvironmentalProcessManualofInstruction)

ROORight of OccupancyAnagreementwithapropertyownerthatgrantspermissionforUDOTtoallowunimpairedconstructiontobeginonahighwayprojectpriortothelandowner signingaROWcontract.ThePMneedstofollowuptoensuretheROWagentcompletesthefinalcontract,andthatallfinancialor othercommitmentsarecompletedwiththepropertyowner.

ROWRight of WayAdivisionwithinUDOTProjectDevelopmentwho’sprimaryresponsibilityistoacquirepropertyneededforhighwaypurposesandrelocatedisplacedbusinessesorpersons.Thedivisionisalsoresponsibleforthemanagementofpropertiesacquired, andtheoversightoflocalgovernmenthighwayprojectsusingstateandfederalfunds,utilities,accessmanagement,statewidepermits,rightofwayplans, maps,andrecords.(udot.utah.gov)

ROW, AcquisitionTheprocessofacquiringrealproperty (realestate)orsomeinteresttherein. (UDOTAcquiringPropertyBrochure)

ROW, CertificationARightofWaycertificationofapprovalbyUDOT’sROWDirectorconfirmingtheprojecthasclearedallrightofwayprojectimpactsbeforeproceedingtoadvertiseforconstruction.IftheprojectisallowedtoadvertisewithlimitationstheseshouldbedescribedintheprojectSpecialProvision00555,LimitationofOperations.

MaintenanceprojectswithoutcomplicationsdonotrequireROWcertificationbutdorequirethecertificationformfor‘NoRightofWayRequired.’

ROW, IncidentalsAnyexpensesincurredfromtheacquisitionofROW,i.e.appraisals,relocationcosts,closingcosts,lawyerfees,etc.

ROW ModuleRightofWayDivision’sePMmoduleusedtotrackaproject’sROWacquisitionprocess,budget,andprogress.

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ROW, Shotgun Estimate

DocumentcreatedbytheROWagentwhenpropertiesmustbeacquiredforthebuildingofroads.Thepropertypurchasedcouldbemultipleparcelsthatarefullyorpartiallyimpactedbyaroadconstructionproject.Theshotgunisabreakdownofthecostsoftheacquisition.AnR-709mustbesubmittedalongwiththisdocumentforrequestingfundsfromFHWA.

RPLOQRequest for Pool Letter of QualificationsAqualifications-basedconsultantselectionprocesswherethePMinvitesatleastthreeprequalifiedfirmsontheGE/LGPooltosubmitaPoolLetterofQualifications(PLOQ).

RUE EngineerRight of Way, Utilities, and EnvironmentalEngineerthatoverseesROW, Utilities,andEnvironmental.

Red Book ProjectSafetySpotImprovementprojects,thatmayincludenewsignalequipmentatwarrantedintersections,guardrailendtreatments,intersectionlightingroutemarkers,schoolzonesignupgrades,turnlanes,shouldertreatments,passinglanes,andotherspotsafetywork.

RescissionLegislationenactedbyCongressthatcancelstheavailabilityofbudgetauthoritypreviouslyenactedbeforetheauthoritywouldotherwiseexpire.(fhwa.dot.gov)

Systems Planning and Programming (SP&P)DivisionthatsupportsUDOT’soveralleffortsthroughfourmajorbusinessareas:1)monitortransportationsystemconditions,2)identifytransportationneeds,3)establishtransportationplans,4)determineprogram.(udot.utah.gov)

SRState RouteRoadsthatcomprisethestateroadsystem.

STIPStatewide Transportation Improvement ProgramUDOT’sStatewideTransportationImprovementProgram(STIP)isafive-yearplanofhighwayandtransitprojectsforthestateofUtah.TheSTIPisapprovedbytheFHWAandFederalTransitAdministration(FTA)andincludesallTIPprojectsas adoptedbytheMetropolitanPlanningOrganizations(MPO)andapprovedby theTransportationCommission.

STIP Coordinator (see Program Finance Director)UDOTemployeewhocoordinateswiththeregionstoplanandexecutetheSTIPprogram.

STPSurface Transportation ProgramFederalprogramthatprovidesflexiblefundingthatmaybeusedbystatesandlocalitiesforprojectsonanyFederal-aidhighway, includingtheNHS,bridgeprojectson anypublicroad,transitcapitalprojects, andintracityandintercitybusterminals andfacilities.

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Streamlined RFQRequest for QualificationsAninvitationtoconsultantstosubmitastatementofqualificationsonaspecific scopeofworkusuallyforasimpleproject. Asimpleprojectisdefinedasnotrequiringan‘ApproachtotheProject’asanevaluationcriteria.Thisisusuallyafastervariationof theRFQprocessandtakesapproximately 11/2months.(SeeRFQ)

SUESubsurface Utility EngineeringAbranchofengineeringpracticethatinvolvesmanagingcertainrisksassociatedwithutilitymappingatappropriatequalitylevels,utilitycoordination,utilityrelocationdesignandcoordination,utilityconditionassessment,communicationofutilitydatatoconcernedparties,utilityrelocationcostestimates,implementationofutilityaccommodationpolicies,andutilitydesign.(ASCE)

Scenic BywayRoadsdesignatedontheNationalScenicBywaysProgram(NSBP)thathave,outstandingscenic,historic,cultural,natural,recreational,andarchaeologicalqualities.(fhwa.dot.gov)

Soft Match (see Flexible Match)

State Forces/FurnishedStateemployedmanpowerorstate-ownedmaterialsthatmaybeusedonaproject.Musthavejustificationforuse,duetononcompetitiveselection.

State FundingFundingthatwillnotbereimbursedbyfederalfunds.Nofederalauthorizationisneeded.

Stewardship AgreementAnagreementtoformalizetherolesandresponsibilitiesoftheFHWA,UtahDivision,andUDOTinadministeringtheFederal-aidProgram.

Sub PhaseEachprojectissubdividedintoseveralphases.Asubphasedenotesoneofthesedivisions.Examplesinclude:01DforinhousePE,06Kforconstruction,03CforconstructionCE,etc.

Substantial CompletionThedatetheResidentEngineerdeterminesthefollowinghaveoccurredonaconstructionproject:

• Thepublichasfullunrestricteduseoffacilities

• Allsafetyfeaturesareinplace

• Onlyminorincidentalworkremainsforphysicalcompletion

• ThecontractorandREmutuallyagreethatremainingworkwillnotimpede thepublic

T-725Project Authorization MemoDocumentthatshowsthebreakdownofcostsoneachsubphaseofaprojectalongwiththefundingsources.ThisdocumentissubmittedtotheDeputyDirectorforsignaturepriortotheadvertisementoftheproject.

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TIFTransportation Improvement FundTheTIFwascreatedinthe2005SpecialSessionbyHouseBill1008andcontainsrevenuefromlegislativeappropriations, salestax,andvehicleregistrationfees. Thesefundsareusedformaintenance,construction,andreconstructionofstateandfederalhighwaysasassignedbytheTransportationCommission.(udot.utah.gov)

TIGSTransparency in Government SpendingAUDOTwebsitethatshowsthepublichowfundsarebeingspentonprojects.

TIPTransportation Improvement ProgramTheTransportationImprovementProgramisastaged,multi-year,intermodalprogramoftransportationprojectscoveringametropolitanplanningareathatisconsistentwiththemetropolitantransportationplan.(txdot.gov)

TOCTraffic Operations CenterUDOTcentrallocationforgatheringtrafficinformationusingadvancedtechnologiessuchascamerasandtrafficandweathersensors.Operatorsusethisinformationtomonitortraffic,detectaccidents/problems, andtakeactionsnecessarytoreturntrafficflowtonormal.(udot.utah.gov)

UDOTUtah Department of TransportationStateagencythatconstructsroads,bridges,highways,paths,etc.forthestate.

UDOT 08 PoliciesPoliciesandProceduresthatoutlineUDOT’sprojectdevelopmentprocessesfromconcepttodesignandconstruction.Theseincludebasicconcepts,functions,responsibilities,actionstobetaken,andthepositionthatisresponsibleforperformingtheaction.

uGateAUDOTsoftwareapplicationthatprovidesspatialandnon-spatialdatafromthroughoutUDOTinonelocation.

uPlanUDOT Planning NetworkAUDOTdevelopedweb-basedmappingandinformationtooldesignedtoassistlocalagenciesandUDOTduringthetransportationplanningprocess.

Unexpended FundsProgrammedfundsonaprojectthathavenotbeenexpended.

Utah Transportation CommissionAcommitteeofmembersappointedbythegovernortoserveaspartofanindependentadvisorycommitteewhichprioritizes projectsanddecideshowfundsarespent. (udot.utah.gov)

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Utility AgreementAnagreementthatestablisheshowautilitycompanywillbepartiallyorcompletelyreimbursedforutilityworkrequireddueto aUDOTproject.Trafficlights,electricity, gas,sewer,railroads,etc.areallconsideredtypesofutilitiesthatmayhaveanimpactonaproject.Autilityagreementiscreatedtodeterminewhattypeofutilityserviceswillimpactaroadconstructionproject.TheutilityagreementsareusuallybetweenUDOTandtheutilitycompanyandcostsaretypicallyreimbursedbyUDOTtotheutilitycompanyat50percentor100percent,althoughotherratioscanapply.

VMSVariable Message SignElectronicroadwaysignsthatprovidechangingbutspecificinformationtoroadwayusers.MessagesarecontrolledbytheTOCandmaybeusedforthepurposeofconstruction,incidentmanagement,travelerinformation,andmaintenanceactivities. (cotrip.org)

Various RoutesAprojectwithmultipleroutesthatarenotdefined/mapableinePM.

W10AFederal Funding Balance ReportFMISreportthatshowsexactfederalfundingamountsobligatedandremainingtobeexpendedbythestate.

W96AFederal Authorization FormFMISreportthatshowsallobligatedfundingonaproject.

WFRC MPOWasatch Front Regional CouncilTheWFRCisanassociationof60cities andfivecountiesorganizedforthepurpose ofpursuinggoalsofcommoninterest. TheWFRCareaofservicecomprisesDavis,Weber,Morgan,SaltLake,andTooeleCountiesandthecitiescontainedtherein.(wfrc.org)

WTOWork Task OrderArequestforspecificconsultantworkusingapreapprovedon-callcontract.(LoDaRy)

Yellow Book ProjectEmergencyUDOTbridgerepairprojects.

UD

O

T UNIVERSITY

Education in Motion

U

udot university project financial management

Documents

project accountingfall

postconstruction processes

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