Vulcan Technologies
VDOT Enhanced Compliance Analysis
Generated: September 29, 2025

Compliance Analysis Overview

AI-powered document condensing that preserves all substantive requirements while removing redundancy

Total Documents

19

Original Word Count

301,232

Condensed Word Count

233,209

Average Reduction

22.6%

This enhanced analysis condenses guidance documents issued by Virginia Department of Transportation to eliminate redundancy while preserving all substantive requirements and legal obligations.

Land Use Permit Guidelines and FAQsDoc ID: FAQ-LUPR-1

Original: 2,929 words
Condensed: 1,562 words
Reduction: 46.7%

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LAND USE PERMIT

APPENDIX 1

Frequently Asked Questions

  1. Who needs a land use permit?

Anyone who plans to work or perform an activity on or crossing any right-of-way under the jurisdiction of VDOT must first obtain a land use permit. A land use permit is also required when modifications are planned for an existing entrance due to change in land use, traffic volume, or type of traffic.

  1. Who can be issued a land use permit?

Land use permits can be issued to the following applicants

a. The owner of a facility within the highway right-of-way. b. The property owner for entrance permits and road frontage improvements. c. A person, organization, or government, authorized to assume the responsibility and liability for an approved activity within the highway right-of-way.

Land use permits may be issued jointly to the owner of a facility, or adjacent property owner, and his contractor as agent.

  1. Why is a land use permit required?

A land use permit is a requirement of the General Rules and Regulations of the Commonwealth Transportation Board (24 VAC 30-20). It ensures that all work performed in the right-of-way of any highway in the state highway system meets VDOT standards and policies, complies with highway laws and regulations, preserves the integrity and functionality of the highway, and provides for the safety of the traveling public.

  1. What happens if I do not get a land use permit?

If you do not obtain a land use permit prior to working or performing an activity in the right-of-way, an agent of VDOT will suspend work within the right-of-way, and you will be expected to take the necessary remedial measures to comply with the General Rules and Regulations of the Commonwealth Transportation Board (24 VAC 30-20). Violation of these rules and regulations is a misdemeanor, and if convicted, shall result in punishment as provided in section 33.1-19 in the Code of Virginia. Violators are also civilly liable to the Commonwealth of Virginia for expenses and damages incurred by VDOT.

  1. How much does a land use permit cost?

A nonrefundable application fee is charged to offset the cost of reviewing and processing the permit application and inspecting the work. The base application fee for a single use permit is $100. Additive fees are then applied to the base application fee based on the scope of work.

The biennial fee for a district-wide permit for utilities and logging operations is $750 per district.

The biennial fee for a district-wide permit for surveying is $200 per district.

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  1. Why is a surety required?

A surety is required by VDOT to guarantee the satisfactory performance of the work. The amount of the surety shall be based on the estimated cost of the work to be performed in the right-of-way or an amount sufficient to restore the right-of-way in the event the permittee fails to satisfactorily complete the work permitted. The surety will be refunded upon completion of the work and inspection by VDOT.

  1. Where do you apply for a permit?

All applications for single use land use permits shall be submitted through the local VDOT district permit office responsible for the county in which the work is to be performed. All applications for district-wide land use permits shall be submitted through the central office permit manager.

Applications are available at district permit offices and on-line at: http://www.virginiadot.org/business/bu-landUsePermits.asp

  1. How are permit requests within limited access right-of-way processed?

Permit requests within limited access right-of-way shall be reviewed and approved by the appropriate district staff as outlined in Appendix 2 prior to submittal to the central office permit manager. The central office permit manager will then forward the request to the Chief Engineer for approval. Permit issuance by the district administrator’s designee may only occur after the Chief Engineer’s approval of the request.

Any permit application fees and sureties received at a district office with the permit application should be returned to the applicant prior to forwarding the request to the central office permit manager. The district administrator’s designee will determine the appropriate fee and surety for permit requests within limited access right-of-way and shall accept payment just prior to permit issuance.

  1. What are accommodation fees and how are they collected?

Accommodation fees are annual compensation paid by utility companies for the use of limited and non-limited access rights-of-way, with the following exceptions: a.) cable television operators subject to the Public Right-of-Way Use Fee, b.) certified providers of telecommunications service, c.) municipal or authority owned sewer and water facilities, and d.) renewable energy generation transmission facilities.

All others shall pay an annual accommodation fee of $50 per crossing of limited access right-of-way and $250 per mile for the longitudinal occupation of limited access right-of-way. All permits for the crossing and/or longitudinal occupation of limited access right-of-way by a utility are to be issued by the district administrator’s designee. The district administrator’s designee and the permit applicant shall execute the LUP-PA permit agreement for the occupation of limited access right-of-way prior to permit issuance. The initial accommodation fee shall be collected with the permit application fee and coded separately in LUPS.

The district administrator’s designee will provide the central office permit manager with the land use permit number assigned for the crossing and/or longitudinal occupation of limited access right-of-way in order to invoice the utility for the annual accommodation fee for subsequent years based on the day and month of permit issuance.

Annual accommodation fees are also to be collected in the amount of $24,000 for communication tower sites and $14,000 for co-location on existing tower sites located within limited access and non-limited access rights-of way. These fees are collected by the Right-of-Way Division Manager.

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  1. Can a builder apply for 5 private driveway entrances all adjacent to each other on the same permit application? If so, would the permit fee still be $100?

Yes, if the request is from the same applicant. There is no additive permit fee for private entrances, so the total fee for a multiple private entrance permit request would be $100. 11. Do we require separate permit be issued for a utility service line that exceeds 500 feet?

Yes, a single-use permit would be required in such cases and the work would not be covered by a district-wide permit.

  1. How do we know when and where a utility service line is installed under a district-wide permit?

We do not generally require district-wide permit holders to notify VDOT if the service connection can be made without stopping or impeding highway travel, or unless there is a need to implement traffic control that varies from the standard. If they are cutting the highway pavement, disturbing the shoulder or ditch line, or installing more than 500’ of line, a separate single use permit is required. If there are problems with a particular permit holder in your area, we can require that they notify either Central Office or the local office prior to beginning work per 24VAC30-151-40(S). The district administrator’s designee shall contact the central office permit manager if such notification is deemed necessary.

In addition, district-wide permits may be revoked for a minimum of 30 calendar days upon written finding that the permittee violated the terms of the permit regulations.

  1. Would the contractor be required to sign the LUP-SPG, LUP-WZTCC & LUP-ESCCC forms if they are posting the performance surety?

The owner of the facility or the agent/contractor must sign the forms. In the case where the contractor is signing the LUP-A, they may only sign as a joint signatory or if acting as the owner’s agent.

The applicant must sign the LUP-SPG. An individual who has successfully completed the VDOT Erosion & Sediment Control Contractor Certification training must sign the LUP-ESCCC. The applicant or their agent must sign the LUP-WZTCC signifying that they will have at least one (1) person that is certified in Basic Work Zone Traffic Control who will be responsible for the placement, maintenance and removal of work zone traffic control devices within the project limits, and that a person certified in Intermediate Work Zone Traffic Control will be on-site to provide supervision during work zone adjustments or changes to traffic control due to field conditions. It should be noted that for special events, if local or state police are providing traffic control this meets the work zone certification requirement. 14. Do the 2010 regulations require utility lines to be placed 3’ below the lowest point of the roadway?

The 2010 regulations only provides the minimum depth requirements for utilities (which vary depending upon the facility type), not how the depth is to be measured.

  1. Can an applicant for a roadside memorial pre-pay for the installation of the sign?

The applicant is responsible for the fabrication of the roadside memorial sign and all costs associated with installation and maintenance of the sign. If sign installation is accomplished in the district by a contractor that charges a fixed amount per specific sign type, that fee can be charged the permittee and an accounts receivable need not be set up. In all other cases, the actual cost must be recouped and the district must utilize the best collection method (generally an accounts receivable).

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  1. If requested, would the central office allow the applicant to install a roadside memorial sign themselves once they obtain a permit?

In cases where the memorial is going to be located along a highway that is not limited access, has sufficient parking nearby, safe foot access, is located sufficiently far from the road so as to allow a safe environment, and the applicant has the appropriate capability, then central office will not object to the district allowing installation by the applicant. When making a decision with regards to this, careful consideration must be made of applicant, potential observer, and traveler safety. 17. When a permit is extended, is a revision to the permit necessary or is the extension letter sufficient?

Permit extensions are considered a revision in LUPS. The district permit office should provide an extension letter to inform the permittee that there will be no further permit extensions and that the authorized activity must be completed by the permit expiration date.

  1. Is there a sample of a maintenance agreement for landscaping within limited access right-of-way?

The permittee and/or their agent shall be responsible for the perpetual maintenance of all landscaping installed within state maintained rights-of-way under the auspices of a land use permit. The LUP-LS form outlines these maintenance responsibilities and an executed copy of this document must be provided in conjunction with making application for a land use permit authorizing installation of landscaping within state maintained right-of-way. 19. Is local government approval required for permit requests for ornamental walls, posts signage, etc., or should the locality sign the permit as applicant or agent?

The local government should provide written or electronic communication documenting their concurrence with the request.

  1. How can VDOT verify that the owner listed on the permit application is the owner of the property?

The 2010 regulations do not require property owner and/or utility company owner verification by VDOT; however, permit applicants for private entrances may be verified with the locality and/or at the county clerk’s office, and, utility owner verification can be obtained from the State Corporation Commission

(SCC).

  1. Should the owner/applicant be required to always sign the LUP-SPG?

The owner/applicant should always provide a signed LUP-SPG when making application for a land use permit. By regulation, the applicant to whom the permit was issued is responsible for all damages caused by implementation of the activities authorized under permit and any costs in excess of those on the surety would be the responsibility of the permittee.

  1. Who determines what justifications are needed for requests to open-cut pavement associated with the installation of utilities? Are standards provided in another VDOT reference manual or is a sample available?

It is the responsibility of the applicant to provide justification to VDOT for allowing the open-cut of pavement associated with the installation of utilities. The district administrator's designee determines if the justification provided is sufficient to allow the open-cut of pavement. The LUP-OC form outlines the requirements associated the restoration of pavement impacted by open cut pavement trenching operations on state maintained highways.

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  1. What are the regulations regarding building moves and what is DMV’s role?

VDOT is authorized to issue permits to move buildings (and not modular homes) over 16 feet wide and “tramming permits” (oversized construction and mining equipment over a limited distance) to travel over primary and secondary highways in accordance with Section 24VAC30-151-460 & 610 of the Land Use Permit Regulations. This is in accordance with an agreement between VDOT and DMV. DMV issues permits for all other oversized loads to travel over primary and secondary highways. 24. What is the VDOT emergency operations center and how can they be contacted?

The VDOT emergency operations centers were initially located at the regional traffic operations centers and can be contacted at: 1-800-367-ROAD.

  1. Is the utilization of disturbed property adjacent to VDOT right-of-way in calculating disturbance for Virginia Storm Water Management Program purposes a new requirement?

No, the disturbance requirement comes from current VDOT standards & specifications. The Responsible Land Disturber (RDL) certification requirement became State law on July 1, 2001. It applies to any land disturbing activity that would require an Erosion Control Plan. The Department will require evidence of RLD certification with any permit application that involves utility and/or commercial right of way improvement. 26. How should requests for utility placement within the median area of highways be addressed?

The District Administrator has the authority to authorize the placement of utilities within the median area of a non-limited access highway. Requests should only be considered if the applicant demonstrates that there is no other practicable alternative and that said installation will not interfere with or impair the present use or future expansion of the highway. The applicant must provide justification with regards to the practicability of installation that may include items such as conflicting utilities, extensive tree removal, or the presence of rock.

  1. What is the difference between a district and a VDOT construction district?

Due to inequities found in the current district-wide permit fee structure, the term “district” is defined as no more than nine (9) contiguous counties or a single VDOT construction district.

  1. How is vendor information set-up for the refund of a cash surety?

All permit applicants providing a cash surety must provide a Social Security number (SSN) or Employee Identification number (EIN) and an executed copy of the U.S. Department of Treasury, Internal Revenue Service (IRS) Form W-9. Individuals may not want to provide their SSN. VDOT staff should attempt to obtain this information at the time the cash surety is accepted.

If VDOT staff has been unable to obtain a SSN, EIN or W-9 and the vendor has been contacted to obtain this information, a note should be placed in the comments section of the maintenance form indicating that due diligence has been performed in attempting to obtain a SSN, EIN and W-9 without success.

If VDOT staff has been unable to obtain a W-9 please provide the SSN/EIN number on the maintenance form and include a note in the comments section indicating that due diligence has been performed in attempting to obtain a W-9 without success.

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VDOT staff should contact the vendor if the SSN/EIN number provided does not match IRS records. This issue may be an indication of a transposition of numbers or simple error. If this issue cannot be resolved, VDOT staff should remove the SSN/EIN number from the maintenance form and note in the comments section that due diligence has been performed in attempting to obtain a SSN, EIN and W-9 and the information provided does not match IRS records. (District Fiscal will contact you if the is a match error).

VDOT staff should not accept other numbers such as a Drivers License number as this is not a valid form of identification required to process the refund of a cash surety.

VDOT staff should utilize the process above when updating an existing vendor.

  1. Can a land use permit be issued for the installation of private utilities within state maintained rights-of-way?

§ 2.2-1151.1 of the Code of Virginia addresses right-of way accommodations for certain non-public service companies and stipulates that no land use permit shall be issued by VDOT to any company other than a public service company as defined in § 56-76, a company owning or operating an interstate natural gas pipeline, or a franchised cable television systems operator owning or operating a utility line as defined in § 56-265.15, unless such entity has registered as an operator with the appropriate notification center as defined by § 56-265.15, and such entity has notified the commercial and residential developer, owner of commercial or multifamily real estate, or local government with a property interest in any parcel of land located adjacent to the property over which the land use is being requested, that application for the permit has been made. The LUP-A land use permit application includes an affidavit indicating compliance with the registration and notification requirements provided by this code subsection.

VDOT may issue land use permits to individuals providing utility service solely for their own agricultural or residential use provided the utilities are located on property owned by the individual and the utilities are marked in accordance with requirements established by VDOT. The LUP-PU document outlines the maintenance responsibilities for the installation of private utility facilities across state maintained highway right-of-way.

Guide to Highway System ChangesDoc ID: GUIDE-AAD

Original: 37,943 words
Condensed: 26,742 words
Reduction: 29.5%

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Office of Land Use

Guide to

Highway System Changes

March 2025

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March 2025

Office of Land Use

Guide to

Highway System Changes

March 2025

For further information, contact: VDOT Office of Land Use 1401 East Broad Street

Richmond, Virginia 23219 Copyright 2025, Commonwealth of Virginia

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March 2025

NOTES

Text highlighted in blue and underlined are hyperlinks that allow the reader to either move to a place in this document or link to an Internet website in which additional information on the topic can be found. When reading this document on a computer, the hyperlink can be accessed by placing the mouse pointer over the highlighted item, pressing, and holding down the “Ctrl” key, and left clicking with the mouse.

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March 2025

Table of Contents

Section Page Number

  1. Purpose of the “Guide to Highway System Changes” 6

  2. Definition of State Highway Systems and Road Types 7 a. Interstates and U.S. Highways 7 b. Primary 7 c. Secondary 7 d. Urban System 8 e. Frontage Roads 8 f. Counties That Maintain Roads 8 g. Towns – Under 3,500 Population That Maintain Roads 8 h. Privately Maintained Roads 9

  3. Types of Highway System Changes 10 a. Additions 10 b. Abandonments 10 c. Discontinuances 12 d. Transfers 14 e. Abandonment of Previously Discontinued Roads 14

  4. Interstates and U.S. Highways – Policies & Processes 15 a. AASHTO Approval Authority and Process 15 b. FHWA Approval Authority and Process 16 c. Commonwealth Transportation Board Approval 18 d. Virginia Interstates and U.S. Highways 19

  5. Primary Roads – Codes, Policies & Processes 21 a. Additions 22 b. Abandonments 26 c. Discontinuances 35 d. Transfers 37 e. Institutional Roads 41 f. State Parks 43 g. Locally Administered Projects 45 h. VDOT Projects 45

  6. Secondary Roads – Codes, Policies & Processes 46 a. Additions 47 b. Abandonments 48 c. VDOT Abandonment Certification Letter 56 d. Vacations 57 e. Discontinuances 58 f. Transfers 64 g. Rural Additions 68 h. Town Additions – Populations Under 3,500 78 i. Public School Access Roads 81 j. VDOT Projects 83 k. Locally Administered Projects 83 l. Recreational and Economic Access Road Projects 83

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[TABLE 4-1] | 15 FHWA Approval Authority and Process 16 | Commonwealth Transportation Board Approval 18 |

[/TABLE]

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Section Page Number

  1. Appendices 84 a. Guide to Highway System Legal Changes 85 b. History of the Secondary System of State Highways 90 c. Commonwealth Transportation Board Highway System Change Process and Approval Documents 91

d. Guidelines for Virtual Public Participation for Highway Changes 92 e. SSAR Refresher Section 94 f. R-O-W Types and Related Information 96 g. Local Street Construction Inspection Programs 97 h. Minimum Standards for Public School Roads 97 i. Special Measurements 98 j. Towns Governed by §33.2-339 and §33.2-340 for Additions 102 k. Locality Resolutions and Letter of Support 106 l. SSAR and SSR Sureties and Fees 107 m. Agreements 110 n. RIMS System and HSC Assemblies 113 o. Data Corrections 114 p. Length Corrections in RIMS 115 q. Highway System Change Sketch Standards and Examples 116 r. Submitting Highway System Change Assemblies 123

s. VDOT Abandonment & Discontinuance Confirmation Form 123 t. Appeal of Abandonments & Discontinuances After Approval 124 u. Highway Research Requests 125 v. Transfers of Roads Between the VDOT & Urban Systems 126 w. Glossary 128

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  1. Purpose of the “Guide to Highway System Changes”

All adjustments to Virginia’s highway systems that alter centerline miles require a Highway System Change (HSC) assembly. These changes are most commonly additions, abandonments, discontinuances, and transfers.

These changes are legally required because

  • It is the law – VDOT must add and remove segments of roadway in accordance with the requirements of the Code of Virginia
  • It is illegal in the majority of cases for VDOT to spend money on non-VDOT facilities
  • VDOT should not maintain roads which are legally not within the VDOT maintenance system
  • Federal government will not reimburse the state for roads not legally accepted into our systems damaged by natural disasters

  • Highway system databases are used for customer service, budgeting, pavement contracts, mapping, traffic and crash data – if roads are not legally in the highway system, these systems are compromised (i.e. awarding of paving contracts)

  • Annual reporting of changes to FHWA needs to be accurate and must correctly reflect the state’s mileage which increases VDOT maintenance funding
  • These systems rely on the VDOT Linear Referencing System (LRS) for Federal reporting, budgeting, paving, snow removal, planning, legal issues, and data collection
  • VDOT needs to be able to accurately reflect the roads that are in the highway systems

The purpose of the “Guide to Highway System Changes” is to provide guidance to VDOT staff statewide about how to complete legal highway system changes. While this guidance document cannot cover all possible varieties of highway changes, its goal is to address the vast majority of potential changes. This Guide replaces the previous “Guide to Additions, Abandonments and Discontinuances.”

The Guide is organized in the following manner

  • Definition of state highway systems and road types
  • Types of Highway System Changes
  • Interstates and U.S. Highways
  • Primary Roads
  • Secondary Roads

  • Appendices with additional information and examples If you have any questions about this Guide or highway system changes, do not hesitate to contact the Office of Land Use. Our goal is to complete all highway system changes in the correct legal manner and as efficiently as possible.

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[TABLE 6-1]

  • It is the law – VDOT must add and remove segments of roadway in accordance with the requirements of the Code of Virginia
  • It is illegal in the majority of cases for VDOT to spend money on non-VDOT facilities

[/TABLE]

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March 2025

  1. Definition of State Highway Systems and Road Types

In order to accurately understand highway system changes, it is important to have a

working knowledge of the different types of roads that compose these systems. VDOT Highway Systems include roads which have been legally accepted into the state’s systems of highways and which are maintained by VDOT.

The following is a list and description of the main types of roads in the Virginia highway systems:

a. Interstates and U.S. Highways

  • Roads classified by the federal government as Interstates and U.S.

Highways

  • Centerline changes to Interstates and U.S. Highways are required to complete an additional level of approval with the American Association of State Highway and Transportation Officials (AASHTO) and/or the Federal Highway Administration (FHWA) for highway system changes

that are not required for State Highways

b. Primary

  • Primary system roads are under the jurisdiction of and control of the Commonwealth Transportation Board (CTB) and the Commissioner of Highways
  • Roads within the state’s highway system that generally have route numbers under 600, including Frontage roads
  • These roads are not part of the state’s Secondary highway system
  • Limited Access Highways are usually Primary roads with adjoining properties having no easement or right of light, air, or access to the limited access highway

c. Secondary

  • Virginia’s Secondary system of highways was created in 1932 with the General Assembly’s “Byrd Act”
  • This Act transferred roads previously controlled and maintained by localities to Virginia authority with local consent
  • The Byrd Act placed designated roads under the jurisdiction of VDOT
  • Roads within the Secondary system have route numbers 600 and above

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[TABLE 7-1]

  • Roads classified by the federal government as Interstates and U.S.

Highways

  • Centerline changes to Interstates and U.S. Highways are required to complete an additional level of approval with the American Association of State Highway and Transportation Officials (AASHTO) and/or the Federal Highway Administration (FHWA) for highway system changes that are not required for State Highways

[/TABLE]

[TABLE 7-2] | with adjoining properties having no easement or right of light, air, or access to the | limited access highway |

[/TABLE]

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Definition of State Highway Systems and Road Types (continued)

d. Urban System – Roads maintained by cities and towns for which the localities receive VDOT maintenance funding

  • Independent cities located in the state
  • All incorporated towns that have a population of more than 3,500 according to the last United States census
  • Specific Virginia towns with populations below 3,500 which have elected to maintain the towns’ roads (see item “g” below)
  • Changes to the Urban System are completed through the Local Assistance Division’s Urban Policy

e. Frontage Roads

  • Roads initially constructed adjacent to limited access roads, including Interstates, to provide access to adjoining properties
  • Frontage roads are part of the state’s Primary system

  • When highway changes are made to Frontage roads, Primary system processes and state Code sections must be used

f. Counties that Maintain Roads – Arlington, Henrico and Certain Buchanan County Roads

  • In 1932, the state’s Byrd Road Act offered counties the ability to join the newly created Secondary system of state highways
  • During this time, some counties elected to continue local authority over these roads
  • The two Virginia counties which currently control non-Primary system roads are Arlington and Henrico

  • Buchanan County maintains certain designated Secondary roads

  • VDOT maintains most Primary roads within these two counties

g. Towns Under 3,500 Population that Maintain Roads – Ten towns with populations under 3,500 have elected to maintain local roads. Streets in these towns are considered a part of the Urban System. System changes in these towns are accomplished via the Local Assistance Division’s Urban Policy.

These towns include

  • Altavista – Campbell County, Lynchburg District
  • Chase City – Mecklenburg County, Richmond District
  • Dublin – Pulaski County, Salem District

  • Elkton – Rockingham County, Staunton District

  • Grottoes – Augusta and Rockingham Counties, Staunton District
  • Lebanon – Russell County, Bristol District
  • Narrows – Giles County, Salem District
  • Pearisburg – Giles County, Salem District
  • Saltville – Smyth and Washington Counties, Bristol District
  • Wise – Wise County, Bristol District

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Definition of State Highway Systems and Road Types (continued)

h. Privately Maintained Roads

  • Roads that either have restricted access to the general public, regulated by hours of use, or otherwise are limited, or are local public roads that are under county control and are not part of the secondary highway system
  • For private roads, access is commonly restricted by property ownership or membership
  • These roads are not maintained by VDOT and are not in the state’s highway system

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  1. Types of Highway System Changes

There are four main categories of highway system changes. These changes include:

  • Additions
  • Abandonments
  • Discontinuances
  • Transfers (from one state system to another or to local control)

a. Additions

Developments and projects which add centerline mileage to VDOT’s highway systems are considered “additions.” In most instances, a locality’s Board of Supervisors approves a resolution asking VDOT to accept the roads into the state system for maintenance.

The majority of new streets accepted by VDOT are a result of the subdivision of land, either residential, commercial, industrial, or mixed use developments. Locally administered projects and VDOT Projects are also sources of street additions.

The following are the bodies or individuals that approve general additions

  • Primary additions involving relocations and VDOT Projects (§33.2-310) – Office of Land Use
  • Primary additions involving New Primary roads and Bypasses (§33.2-314.A) – Commonwealth Transportation Board (CTB)

  • Secondary additions including “No Cost Rural Additions” (§33.2-705) – Office of Land Use

  • Other types of highway additions are addressed in the Primary and Secondary Roads sections of this Guide

b. Abandonments

The legal abandonment of a road removes it from VDOT’s inventory and VDOT will no longer maintain the road. The road is closed to public use and is no longer considered a public thoroughfare.

The abandonment of a prescriptive easement road eliminates the easement. As a result of the abandonment, the road ceases to be a public road and control of the land reverts to the fee simple property owner.

Abandonment of roads with right-of-way (ROW) dedicated to public use or deeded to VDOT has the effect of closing the road to public use and the related ROW can be sold or transferred (see VDOT Right-of-Way Division documents for additional details regarding the disbursement of surplus property).

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Types of Highway System Changes – Abandonments (continued)

When roads are abandoned, an important fact for VDOT staff to know is if a replacement road has been built which services generally the same users as the road that is being abandoned. This information is needed in most situations because the related state Code section used, the public notification requirement, and the approval authority are affected if a replacement road is constructed.

An abandonment without a replacement road takes place when the locality or VDOT finds no public use necessary for the road or the safety and welfare of the public would be best served by the abandonment. When a replacement road is being built, the abandonment and addition must be addressed in the same locality resolution.

The following are the VDOT related bodies or individuals who have the authority to approve road abandonments:

  • Primary abandonment without a replacement road constructed (§33.2-902) – CTB
  • Primary abandonment with the construction of a replacement road OR the abandonment does not include a replacement road, BUT the proposed abandonment is required for the completion of a construction or maintenance project (§33.2-906) – VDOT Chief of Policy

  • Secondary abandonment without a replacement road (§33.2-909) – Office of Land Use

  • Secondary abandonment with a constructed replacement road or the abandonment does not include a replacement road, but the proposed abandonment is required for the completion of a construction or maintenance project (§33.2-912) – VDOT Chief of Policy

An abandonment cannot result in the loss of vehicular access to any land use or parcel of land. VDOT District or Residency staff are required to submit the “VDOT Abandonment & Discontinuance Confirmation Form” when an abandonment and/or discontinuance is proposed. The purposes of this form are to ensure that the abandonment/discontinuance was properly advertised, a replacement road serves the same general users, and that the abandonment will not result in the loss of vehicular access for any land use or parcel of land.

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Types of Highway System Changes (continued)

c. Discontinuances

Discontinuance is an act reserved for the Commonwealth Transportation Board whereby VDOT is relieved of maintenance responsibility and jurisdictional authority for a roadway.

A discontinuance takes place when it is determined that the roadway no longer provides sufficient public benefit to warrant VDOT maintenance, but the related ROW needs to be

retained for a transportation purpose. A locality cannot discontinue a VDOT roadway.

With relation to the approval authority of discontinuances, the following are the bodies or individuals that approve discontinuances:

  • All Primary discontinuances (§33.2-901) – CTB
  • Secondary discontinuance without a replacement road (§33.2-908.B) – CTB
  • Secondary discontinuance with a constructed replacement road OR the discontinuance does not involve a replacement road, BUT the proposed discontinuance is required for the completion of a construction or maintenance project (§33.2-908.C) – VDOT Commissioner

There can be confusion regarding the difference between a VDOT “abandonment” and a “discontinuance.” While the terms may seem alike, legally there is a great deal of

difference between the two actions and they should never be used interchangeably.

Discontinuances are rare when compared to abandonments because the reasons for highway discontinuances do not occur frequently.

There are two main similarities between abandonments and discontinuances when the actions are completed. The similarities are:

  • The action removes the associated road from VDOT’s highway systems and the agency no longer maintains the road
  • The road no longer provides sufficient public service to warrant state maintenance

When a Secondary discontinuance is completed, the road remains a public facility and the road’s jurisdictional authority is returned to the locality. A discontinued Primary road remains under the jurisdiction of the Commonwealth Transportation Board and the

Commissioner of Highways. A discontinued road continues to be open to public use, but is no longer maintained by VDOT.

Because discontinuances are infrequent, when a locality or Residency proposes this action, Office of Land Use staff will ask the reason for the discontinuance and why an abandonment is not the correct action. This is documented via submission of the “VDOT Abandonment & Discontinuance Confirmation Form” to confirm that discontinuance is the proper highway system change action for the situation.

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March 2025

Types of Highway System Changes – Discontinuances (continued)

The following are examples of when a highway discontinuance is the correct change to the road:

  • Property owners no longer want their road maintained by VDOT, but need to reserve the ROW to provide legal access to parcels

  • County wants to use the road adjacent to its courthouse only for public safety vehicles

  • The road no longer provides a sufficient public convenience to warrant maintenance at public expense (serves less than three occupied dwellings), but the ROW is needed to provide legal access to other properties (i.e. it prevents land locking property)

If you have any questions about discontinuances, do not hesitate to contact the VDOT Office of Land Use.

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March 2025

Types of Highway System Changes (continued)

d. Transfers

A highway transfer takes place when a road or a segment of road is moved from one VDOT highway system to another or from the Primary system to the local system. The most common transfers occur when roads are changed between the Primary and

Secondary systems.

Highway transfers can take place for a number of reasons. This change may occur due to funding issues or a locality’s use of a road. The most common reason for a transfer is when a shift in the Primary alignment occurs and all or a portion of the old alignment still provides sufficient service to remain in the VDOT system as a Secondary route.

Transfers are a highway system change and must complete the legal change process to be accomplished. A road that is renumbered, but remains in the same highway system, is not considered a transfer but is a renumbering.

With relation to §33.2-314 transfers, VDOT Department Memoranda 14-1 provides criteria on when this Code section should be used for Secondary to Primary transfers. This is discussed in detail in the §33.2-314 section of this Guide.

With relation to approval authority, the following are the bodies or individuals that approve

system transfers

  • Transfer from Primary to Secondary system not related to new road construction or transfer from VDOT Primary to the local system (Urban, Arlington, or Henrico local systems) (§33.2-315.A) – CTB
  • Transfer from Primary to Secondary system related to new road construction (§33.2-315.B) – VDOT Commissioner
  • Transfer from Secondary to Primary system not related to new road construction

(§33.2-314.A) – CTB

  • Transfer from Secondary to Primary system related to new road construction (§33.2-314.B) – VDOT Commissioner

e. Abandonment of Previously Discontinued Roads

A road that was previously discontinued from the state Secondary system for maintenance can be abandoned using §33.2-914 through §33.2-926 by the locality, although these are not the only statutes that may be applicable for this purpose. These Code sections (§33.2-914 through §33.2-926) apply to county roads that are not part of either the Primary or Secondary highway systems (i.e. roads under the jurisdiction and control of the locality).

Localities should consult their local counsel for the appropriate Code section to use for previously discontinued roads and how to comply with those statutes. VDOT and the CTB typically have no involvement with this type of abandonment. Contact the Office of Land Use if you have questions about the applicability of these Code sections.

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March 2025

  1. Interstates and U.S. Highways – Policies & Processes

As with any centerline change to highways in Virginia, highway system changes to Interstates and U.S. Highways in the state are required to complete the legal highway system change process. Interstates and U.S. Highways require an additional level of approval for highway system changes that is not required for State Highways. When a project involves highway system changes to Interstates and U.S. Highways, approval of the changes is also required from AASHTO and/or FHWA.

The Office of Land Use maintains a tracking spreadsheet for all approved assemblies which include U.S. Highways and Interstates. This spreadsheet is distributed twice a year to the VDOT staff who submitted these assemblies to the Office of Land Use to remind these people to complete an AASHTO application.

AASHTO holds two meetings a year to approve changes to U.S. Highways. These take place in the spring and summer. The owners of assemblies which include U.S.

Highways and Interstates are encouraged to complete the related AASHTO application prior to the next deadline.

Ideally, VDOT Projects will submit AASHTO applications prior to the VDOT approval of the Project’s highway system changes. However, the submission of AASHTO applications after the approval of VDOT highway changes is allowed.

VDOT staff should contact the Office of Land Use as soon as possible when a pending Interstate or U.S. Highway change is planned. If the Interstate or U.S. Highway project involves more than one locality or state, each affected locality or state must concur with the proposed system changes and route numbering. The AASHTO and FHWA applications should include a statement of concurrence from all impacted localities or states. The Residency will draft the AASHTO application. The Office of Land Use will work with the Residency or District to finalize the required AASHTO and/or FHWA application.

Virginia Interstates and U.S. Highways are listed on pages 19 and 20.

a. AASHTO Approval Authority and Process – Interstate and U.S. Highway Changes AASHTO is the organization which has the authority to review the establishment, extension, relocation, elimination, and numbering of all roads within the Interstate and U.S. Highway systems. As part of the AASHTO policy, state highway agencies should receive AASHTO approval prior to erecting, removing, or revising any markers on Interstates and U.S. Highways.

AASHTO is also responsible for assigning special route designations on U.S. Highways, such as ‘business route’, ‘by-pass route’ and ‘alternate route.’ The organization’s authority exists independently of the FHWA’s authority to control or designate federal construction funding.

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[TABLE 15-1] As with any centerline change to highways in Virginia, highway system changes to Interstates and U.S. Highways in the state are required to complete the legal highway system change process. Interstates and U.S. Highways require an additional level of approval for highway system changes that is not required for State Highways. When a project involves highway system changes to Interstates and U.S. Highways, approval of the changes is also required from AASHTO and/or FHWA.

The Office of Land Use maintains a tracking spreadsheet for all approved assemblies which include U.S. Highways and Interstates. This spreadsheet is distributed twice a year to the VDOT staff who submitted these assemblies to the Office of Land Use to remind these people to complete an AASHTO application.

AASHTO holds two meetings a year to approve changes to U.S. Highways. These take place in the spring and summer. The owners of assemblies which include U.S.

Highways and Interstates are encouraged to complete the related AASHTO application prior to the next deadline.

Ideally, VDOT Projects will submit AASHTO applications prior to the VDOT approval of the Project’s highway system changes. However, the submission of AASHTO applications after the approval of VDOT highway changes is allowed.

VDOT staff should contact the Office of Land Use as soon as possible when a pending Interstate or U.S. Highway change is planned. If the Interstate or U.S. Highway project involves more than one locality or state, each affected locality or state must concur with the proposed system changes and route numbering. The AASHTO and FHWA applications should include a statement of concurrence from all impacted localities or states. The Residency will draft the AASHTO application. The Office of Land Use will work with the Residency or District to finalize the required AASHTO and/or FHWA application.

[/TABLE]

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March 2025

Interstates and U.S. Highways (continued)

AASHTO website link: AASHTO Association - Home

AASHTO’s CHS Application Website

Special Committee on U.S. Route Numbering - Resources

The Office of Land Use has templates for the required AASHTO applications and examples of approved AASHTO applications. These are routinely used by VDOT Land Use staff to draft AASHTO applications.

Following the completion of a draft AASHTO application, Residency or District staff send it to the Office of Land Use for review. This Office will make any necessary changes based on AASHTO guidance and send the application to the VDOT Commissioner for signature.

After the Commissioner has signed the application, the Office of Land Use will submit the application to AASHTO for its next biannual meeting. The Office of Land Use will inform the District and Residency when the AASHTO application is approved and will attach related documents to the Project’s ICR item in the RIMS system.

b. FHWA Approval Authority and Process – Interstate Changes

The legal processes and state Code sections for administering changes to the Interstate System are the same as those used for administering changes to the Primary System.

For the purposes of this section of the Guide, the emphasis is on the process for obtaining Interstate designation on a route and the numbering of Interstates.

At the request of a state or states, the FHWA may designate sections of the National Highway System (NHS) as Interstate Highways and may add highways to the Interstate System that are designated as NHS high priority corridors and future Interstate corridors.

There are two basic eligibility requirements for roads to be designated as Interstates:

  • The road must be constructed to Interstate standards
  • The road must be a logical addition to the Interstate system

There are two processes for a state to obtain Interstate designation on a route: the Administrative path and the Congressional path. In the Administrative path, a state requests the FHWA to designate a route as an Interstate pursuant to the FHWA’s authority granted in the United States Code. In the Congressional path, Congress designates a future Interstate corridor via statutory language.

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March 2025

Interstates and U.S. Highways (continued)

The major differences in these two paths are as follows

  1. In the Administrative path, the FHWA must make a determination that the route is

a logical addition to the Interstate system. In the Congressional path, no such determination is required.

  1. In the Administrative path, the state or states must make a commitment to construct the highway to Interstate standards within twenty-five years of the designation as an Interstate highway. In the Congressional path, no such time restriction commitment is required.
  2. In the Administrative path, the FHWA must designate future Interstate corridors.

In the Congressional path, future Interstate corridors are designated by law.

However, a more specific corridor location requires FHWA approval to ensure consistency with the statutory language.

  1. In the Administrative path, an approved final environmental review is required prior to FHWA designation as an Interstate. In the Congressional path, the Interstate designation typically precedes the environmental review.
  2. In the Administrative path, the route number must be approved by the FHWA (and

AASHTO). In the Congressional path, the route number may be assigned via statutory language.

Any VDOT Residency staff that may be administering highway system changes to the Interstate system should coordinate efforts closely with the Office of Land Use and Maintenance Division to ensure that the necessary FHWA processes and approvals are being followed and obtained prior to final submission of the changes for CTB approval.

FHWA is responsible for the regulating of Interstates and the U.S. Highway Systems.

This authority is included in the FHWA Federal Aid Policy Guide, Subchapter E-Planning: Section 470, “Federal-aid Highway Systems.”

The Federal Highway Administrator is given the approval authority for all federal-aid

highway system actions involving the designation of or revision to Interstates and U.S.

Highways, including the renumbering of these routes. The Federal Highway Administrator is also authorized to approve functional classification actions on federal-aid highway systems.

Pursuant to the FHWA Federal Aid Policy Guide, state highway agencies have the responsibility of proposing to and obtaining approval from the FHWA for all highway system changes that involve the designation or revision to Interstate and U.S. Highways.

This policy guide also makes it incumbent upon the state highway agency to submit any proposed changes to the Interstate system to the AASHTO Standing Committee on Highways.

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March 2025

Interstates and U.S. Highways (continued)

SUBCHAPTER E - PLANNING

PART 470 - HIGHWAY SYSTEMS Subpart A - Federal-Aid Highway Systems

eCFR :: 23 CFR Part 470 Subpart A -- Federal-aid Highway Systems

c. CTB Approval of Interstates and U.S. Highways The Commonwealth Transportation Board is authorized to administer changes to the Interstate and U.S. Highway systems under §33.2-300 of the Code of Virginia. Per the terms of this law, highway system changes to the Interstate and U.S. Highways are to be administered in the same manner as highway system changes to the Primary System.

VDOT Residency staff shall use the guidance contained herein for Primary System changes when administering highway system changes to the Interstate and U.S. Highway systems.

When completing highway changes involving U.S. Highways and Interstates, the CTB should approve a conditional resolution prior to submitting the respective applications to FHWA (Interstates only) and AASHTO.

VDOT Residency staff should provide the Office of Land Use with as much notice as reasonably possible if they will be submitting a highway system change to an Interstate or U.S. Highway.

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March 2025

d. Virginia Interstates and U.S. Highways

Virginia Interstates

I-64 I-295

I-66 I-381

I-77 I-395

I-81 I-464

I-85 I-495

I-95 I-564

I-195 I-581

I-264 I-664

U. S. Highways in Virginia

US-1 BUS US-1 (City of Fredericksburg) BUS US-19 (Town of Lebanon) US-11 BUS US-19 (Town of Tazewell)

ALT US-11 (City of Roanoke) TRK US-19 BUS US-11 (City of Staunton) US-21 BUS US-11 (City of Lexington) US-23 TRK US-11 BUS US-23 (Town of Gate City) ALT US-11 (City of Roanoke) BUS US-23 (Town of Pound) US-13 BUS US-23 (Town of Wise) BUS US-13 (Town of Accomac) BUS US-23 (City of Norton) BUS US-13 (Town of Exmore) US-29 BUS US-13 (Town of Eastville) BUS US-29 (City of Danville) BUS US-13 (Town of Cheriton) BUS US-29 (Town of Chatham) BUS US-13 (City of Suffolk) BUS US-29 (Town of Gretna) US-15 BUS US-29 (Town of Altavista) BUS US-15 (Town of Leesburg) BUS US-29 (City of Lynchburg) BUS US-15 (Town of Warrenton) BUS US-29 (Town of Amherst) BUS US-15 (Town of Remington) BUS US-29 (Nelson County) BUS US-15 (Town of Culpeper) BUS US-29 (City of Charlottesville)

BUS US-15 (Town of Farmville) BUS US-29 (Town of Madison) BUS US-15 (Town of Keysville) BUS US-29 (Town of Culpeper) BUS US-15 (Loudoun County) BUS US-29 (Town of Remington) US-17 BUS US-29 (Town of Warrenton) ALT US-17 (Spotsylvania County) US-33 BUS US-17 (Stafford County) BUS US-33 (Town of Elkton) BUS US-17 (City of Fredericksburg) BUS US-33 (Town of Stanardsville) BUS US-17 (Fauquier County) US-48 BUS US-17 (Middlesex County) US-50 BUS US-17 (Gloucester County) US-52 BUS US-17 (Town of Warrenton) US-58 BUS US-17 (City of Chesapeake) ALT US-58 BUS US-17 (Spotsylvania County) BUS US-58 (Town of Lawrenceville)

US-19S

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U. S. Highways in Virginia (continued)

BUS US-58 (Town of Boydton) US-421 BUS US-58 (City of Emporia) BUS US-421 (Town of Gate City) BUS US-58 (City of Franklin) US-460 BUS US-58 (City of Suffolk) ALT US-460 (City of Salem) BUS US-58 (Town of Courtland) BUS US-460 (Town of Tazewell)

BUS US-58 (City of Virginia Beach) BUS US-460 (Town of Blackstone) BUS US-58 (Town of Gate City) BUS US-460 (Town of Burkeville) BUS US-58 (City of Martinsville) BUS US-460 (City of Suffolk) BUS US-58 (Town of South Hill) BUS US-460 (Town of Pearisburg) BUS US-58 (Lee County) BUS US-460 (Town of Bedford) BUS US-58 (Town of Stuart) BUS US-460 (Town of Christiansburg) BUS US-58 (Town of Clarksville) BUS US-460 (Town of Blacksburg) BUS US-58 (City of Danville) BUS US-460 (Town of Richlands) BUS US-58 (Patrick County) BUS US-460 (Town of Pamplin City) BUS US-58 (Lee County) BUS US-460 (City of Lynchburg) BUS US-58 (City of Franklin) BUS US-460 (Town of Farmville) US-60 BUS US-460 (City of Petersburg) BUS US-60 (Town of Clifton Forge) BUS US-460 (Town of Appomattox) US-211 ALT US-460 (City of Norfolk) BUS US-211 (Town of Warrenton) BUS US-460 (Town of Grundy) BUS US-211 (Town of Washington) US-501

BUS US-211 (Town of Luray) ALT US-501 (City of Buena Vista) US-219 BUS US-501 (City of Lynchburg) US-220 US-522 BUS US-220 (Town of Clifton Forge) BUS US-522 (Town of Washington) BUS US-220 (City of Roanoke) BUS US-220 (Town of Rocky Mount) BUS US-220 (City of Martinsville) BUS US-220 (Town of Ridgeway)

US-221

US-250 BUS US-250 (City of Charlottesville) US-258 BUS US-258 (Town of Smithfield) BUS US-258 (City of Franklin) US-301 ALT US-301 (City of Petersburg)

BUS US-301 (Town of Bowling Green)

US-311

US-340 BUS US-340 (Town of Luray) US-360 BUS US-360 (Hanover County) BUS US-360 (Amelia County) BUS US-360 (Town of Burkeville) BUS US-360 (Town of Keysville) 20

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March 2025

  1. Primary Roads – Codes, Policies & Processes

The state’s Primary system consists of all roads and bridges under the jurisdiction and control of the Commonwealth Transportation Board (CTB) and the Commissioner of Highways. Primary roads are not part of the Secondary state highway system.

Roads within the state’s Primary system have route numbers less than 600, though there are several exceptions due to highway numbering conventions (e.g. I-664 and Rt. 895).

This type of road also includes Interstates, U.S. Highways, Frontage roads, State Park roads, and Institutional roads which serve such state institutions as public colleges, universities, and correctional facilities.

A number of Primary highway system changes are required to be approved by the CTB, the Commissioner, or the Chief of Policy. When VDOT staff is administering Primary highway changes, the VDOT Residency should inform the Office of Land Use about these

changes early in this process. After receiving the complete HSC assembly, the Office of Land Use will process the proposed VDOT approval letters or CTB agenda item, have the CTB documents reviewed by VDOT’s Governance Division, and submit the CTB meeting documents to the Commissioner’s Office for inclusion on the CTB’s earliest possible agenda. Highway changes requiring Commissioner or Chief of Policy approval will be sent to the Commissioner’s Staff by the Office of Land Use as soon as possible.

This section of the Guide is divided into the following categories

a. Additions b. Abandonments c. Discontinuances d. Transfers e. Institutional Roads f. State Parks g. Locally Administered Projects

h. VDOT Projects

Pertaining to Primary roads, Section 1-221 of the Code of Virginia defines “locality” as meaning a county, city, or town. Section 33.2-100 of the Code of Virginia defines “the Board” as meaning the Commonwealth Transportation Board. These terms have the same meaning as referenced in this section.

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March 2025

a. Primary Additions

Code Section §33.2-310 – Addition to Primary Route Additions to the state’s Primary system are most often accepted using §33.2-310. This Code section is used when Primary mileage is added to the system as part of a project that relocates or adjusts an existing Primary road. This most often occurs when a VDOT Project adds Primary centerline mileage. In most cases, a corresponding road

abandonment or discontinuance is associated with this type of addition.

Primary roads can be constructed by developers and localities, but this is rare. This usually happens when the road being constructed is part of a locality’s Transportation Improvement Plan and project funding is administered by an entity other than VDOT.

The Office of Land Use is authorized to approve §33.2-310 Primary additions. Therefore, these additions do not need to be approved by the CTB or VDOT executives.

Although not required by law, VDOT procedure requires that a resolution or letter of support be obtained from the locality for Primary system changes. This is done to provide assurance that the locality has been informed of and is involved with the Primary highway system change process.

A VDOT Project HSC assembly can either be accompanied by a locality resolution or a letter of support (if the Project meets the letter of support requirements listed below). The

letter of support is most often signed by the Board of Supervisors Chair, County Administrator/Manager, the Clerk of the Board of Supervisors, Director of the county Transportation Department, or the County Attorney. There is a template for this type of letter on the Office of Land Use DOTi page.

In order for a Primary highway change to use a locality letter of support rather than a resolution, the related change must be the result of a VDOT Project and the ROW must be owned by the state. There is no construction deadline for the use of a letter of support regarding a Primary highway change.

If a developer constructed Primary road is to be added to the state system, it is required to have an approved resolution from the locality. A letter of support cannot be used.

The letter of support requirement difference between a VDOT Project and a developer built project is that a locality has previously approved the VDOT Project additions in public settings via the locality’s Six-Year Improvement Program (SYIP). For a developer built

project, this type of prior local approval does not occur because developer built projects do not involve the appropriation of state funding, a public notification process, and are not included in the county’s SYIP.

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March 2025

Primary Additions (continued)

Example of §33.2-310 Primary Addition

In the example below, segments AB and BC (in red) are being added to the Primary

system using §33.2-310. These two added segments are replacing the corresponding segments AD and DC (in blue) that are being abandoned pursuant to §33.2-906.

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March 2025

Primary Additions (continued)

Code Section §33.2-314.A – Primary Addition Involving New Primary Roads and Bypasses

During a review of HSC Code sections, VDOT’s Governance Division determined that §33.2-314.A should be used in limited instances for the addition of some Primary roads.

Section 33.2-314.A is only to be used for additions when new Primary roads are added to the system that involve:

  • A completely new Primary road with a new route number
  • The creation of new Primary Bypass roads

Please contact the Office of Land Use for assistance to determine if §33.2-310 or §33.2-314.A should be used for a specific Primary addition.

The approval of a §33.2-314.A Primary addition has not been delegated to any VDOT management or staff. Therefore, §33.2-314.A additions must be approved by the CTB.

In order to proceed to the CTB to add a §33.2-314.A Primary route, the locality must approve a resolution or letter of support for VDOT to legally accept the road. The resolution for a §33.2-314.A addition should follow the same format as a §33.2-310 resolution.

Due to the CTB approval required for a §33.2-314.A Primary addition, please contact the Office of Land Use if you have a proposed addition using this Code section.

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March 2025

Primary Additions (continued)

Example of §33.2-314.A Primary Addition

The road segments in purple below, involving Routes 58 and FR-1081, are being added to the Primary system using §33.2-314.A. This Code section is used because Route 58 is defined as a Bypass and Route FR-1081 is a newly created Primary road. There are

also no corresponding abandonments or discontinuances.

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March 2025

b. Primary Abandonments

Code Section 33.2-902 – Abandonment of Primary Route Without Replacement Road

Section 33.2-902 is used when an existing VDOT Primary road is being abandoned and

there is no corresponding replacement road being constructed. This type of abandonment is initiated when VDOT or an interested landowner would like to abandon all or a portion of an existing Primary road. Typically this is done when a road no longer provides sufficient service to abutting properties to warrant public maintenance, or if abandonment is required as a prerequisite to the conveyance of surplus right of way.

Because the Primary system is under the authority of the CTB and Commissioner of Highways, it is the responsibility of VDOT to administer and advertise §33.2-902 Primary abandonments.

There may be instances when §33.2-906 can be used for a Primary abandonment without a replacement road. This is the case if the proposed abandonment is related to the completion of a construction or a maintenance project (see section on §33.2-906 for more details).

Notice of Intent to Abandon (NOIA) – Section 33.2-902 requires that the proposed Primary abandonment be advertised so that the public has prior knowledge of the intended

abandonment. VDOT will publish either a NOIA Willingness Advertisement or a NOIA Public Hearing Advertisement that complies with the public notification requirements of §33.2-902. Samples of these advertisements are included on the HSC/SSAR DOTi page.

NOIA Willingness Advertisement vs. NOIA Public Hearing Advertisement – VDOT may choose to publish either a willingness to hold a public hearing advertisement or a public hearing advertisement. The willingness advertisement indicates that VDOT will hold a public hearing if requested. The public hearing advertisement indicates VDOT will hold a public hearing, and it gives notice of the date, time, and place of the public hearing. The willingness advertisement is typically used in situations where objections to the abandonment are not expected, because it saves VDOT the time and expense of conducting a public hearing. The NOIA public notification requirements are the same for both types of advertisements.

  • NOTE: Some localities will always request a public hearing. Local VDOT staff

administering the abandonment should coordinate with the respective locality to determine if this is the case prior to any advertisement’s publication.

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March 2025

Primary Abandonments - §33.2-902 (continued)

§33.2-902 Public Notification Requirements: In order to comply with §33.2-902’s public notification requirements:

  1. VDOT MUST choose 1a or 1b below -a. Post a notice of the pending abandonment at least three days before the first day of a regular term of the circuit court at the front door of the courthouse of the county in which the section of the highway is located, or if the section of the highway is located in two or more counties, at the front door of the courthouse of each county (this posting option is usually not used), b. Publish a notice of the abandonment in two or more issues of the same newspaper published in the county in which the section of the highway or the crossing is located. Samples of this notice are included on the HSC/SSAR DOTi page.

  2. VDOT shall also send registered mail notice of the intent to abandon to the governing body of the county or counties in which the road is located. This letter should request either a letter of support or resolution related to Primary abandonment from the local governing body. Although not required by §33.2-902,

the letter/resolution of support is a VDOT procedural requirement to provide the CTB with assurance that the locality supports the pending abandonment. Samples of the registered letter and letter/resolution of support are included on the HSC/SSAR DOTi page.

  1. If the highway is located in a town, VDOT shall also send registered mail notice of intent to abandon to the governing body of the town. This letter should also request a letter/resolution of support from the town.

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March 2025

Primary Abandonments - §33.2-902 (continued)

Holding a §33.2-902 Abandonment Public Hearing

  • NOIA Willingness Advertisement: If one or more landowners in the county or town where the abandonment is located requests a public hearing be held within 30

days after the NOIA Willingness Advertisement is first posted, published, and mailed, VDOT shall hold a public hearing for consideration of the abandonment.

VDOT shall then publish a Public Hearing Advertisement that gives notice of the date, time, and place of the hearing.

  • NOIA Public Hearing Advertisement: If VDOT opts to forgo a NOIA Willingness Advertisement or if a public hearing is requested during the NOIA Willingness Advertisement, VDOT shall give notice of the date, time, and location of the public hearing. The public hearing must be held within the county (or one of the counties) where the proposed abandonment is located. The NOIA Public Hearing advertisement shall be published a minimum of 30 days in advance of the date of the public hearing and shall be published in accordance with the §33.2-902 Public Notification Requirements given herein. o NOTE: A transcript of any comments received at the public hearing is to be included in the HSC assembly sent to the Office of Land Use.

If no requests for a public hearing are received within 30 days after publication of the NOIA Willingness Advertisement, or if after a public hearing is held and VDOT is satisfied that no public necessity exists for the continuance of the section of highway, the Residency will forward the complete HSC assembly to the Office of Land Use where it will be prepared for the CTB agenda. The HSC assembly must also include the letter or resolution of support from the locality, the highway system change sketch, a copy of the abandonment advertisement, the name of the publication, and the dates advertised.

Additionally, the VDOT Abandonment & Discontinuance Confirmation Form must be submitted with the HSC assembly. The CTB will then approve a resolution either confirming or dismissing the abandonment.

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March 2025

Primary Abandonments - §33.2-902 (continued)

Deadline for CTB to Act on §33.2-902 Primary Abandonments – When Residency staff begins to process a §33.2-902 Primary abandonment, they need to be aware of the mandatory deadline for the CTB to take action on these abandonments. This Code section states:

“…the Board shall (i) within four months of the 30-day period during which notice was posted where no petition for a public hearing was filed or (ii) within four months after the public hearing enter an order on its minutes abandoning the section of highway as a public highway or the railroad crossing as a public railroad crossing, and with that order the section of highway shall cease to be a public highway, unless the local governing body takes control as provided in this article, or the railroad crossing shall cease to be a public railroad crossing. If the Board is not so satisfied, it shall enter an order dismissing the application within the applicable four months provided in this subsection.”

This Code language means that the CTB must act on the §33.2-902 Primary abandonment within four months of the expiration of the willingness to hold a public hearing as specified in the NOIA Willingness Advertisement OR within four months after the holding of the public hearing. If the CTB action has NOT been taken during this four month period, the entire §33.2-902 Primary abandonment process must be repeated

from the beginning.

Due to this four month deadline, it is extremely important for the Residency to inform the Office of Land Use that the §33.2-902 abandonment is in process. The Residency is encouraged to have the Office of Land Use review the NOIA, the advertisement, and the proposed abandonment prior to the advertisement of the proposed abandonment.

The Residency shall send the full assembly to the Office of Land Use as soon as possible following the end of the willingness period to hold the public hearing or the date of the public hearing (whichever is applicable) and receipt of the locality’s resolution or letter of support.

In order to place an item on an upcoming CTB agenda, the Office of Land Use must draft the CTB documents and meet the deadlines to have the VDOT Governance Division review the agenda item. CTB agenda items are also required to be received by the Commissioner’s office by its designated deadline. Please contact the Office of Land

Use for the related deadlines for upcoming CTB meetings.

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March 2025

§33.2-902 Abandonment of Primary Route Without Replacement Road

VDOT initiates abandonment on its own motion or receives written request to abandon from the locality or landowner

VDOT sends Notice of Intent to Abandon to the locality via registered mail. (This letter requests a resolution or letter of support for the abandonment from the locality). Residency enters abandonment into RIMS & assigns ICR tracking number.

VDOT publishes either a Willingness to Hold VDOT posts either a Willingness to Hold a Public a Public Hearing or Notice of Public Hearing Hearing or Notice of Public Hearing at the front advertisement for at least 30 days in two or door of the Courthouse for least 3 days before the VDOT chooses one more issues of the same newspaper. first day of regular term of the Circuit Court.

Copies of ad or affidavit of publication Copies of ad or affidavit of publication required part required part of HSC assembly. of HSC assembly.

Willingness Did VDOT publish/to Hold post a Willingness or Public Public Hearing Hearing notice?

Did VDOT VDOT Residency publishes Notice of Public Notice of receive a request for Hearing for at least 30 days in two or more Public Hearing a Public Hearing from Yes issues of the same newspaper & VDOT landowner or provides the Notice of Public Hearing to the locality? locality VDOT Residency staff conducts Public Hearing, local governing body approves Letter of Support or resolution, and VDOT prepares a transcript of any comments received Locality approves Letter of Support or No resolution supporting abandonment VDOT Residency staff prepares RIMS highway system change assembly and submits to Office of Land Use Office of Land Use staff prepares the item for the next CTB meeting CTB must act on the abandonment within a maximum of 4 months after expiration of Willingness to Hold Public Hearing or actual Public Hearing (whichever is applicable).

CTB approves or dismisses the abandonment.

If approved, Office of Land Use staff completes process in RIMS. *NOTE: The Resolution/Letter of Support from the locality and the RIMS assembly should be submitted to the Office of Land Use as soon as possible after the expiration of the willingness or the date of the public hearing, whichever is applicable, and the Resolution/Letter of Support has been approved by the locality due to the time limit for CTB action within §33.2-902.

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[TABLE 30-1] VDOT publishes either a Willingness to Hold a Public Hearing or Notice of Public Hearing advertisement for at least 30 days in two or more issues of the same newspaper.

Copies of ad or affidavit of publication required part of HSC assembly. | | VDOT posts either a Willingness to Hold a Public Hearing or Notice of Public Hearing at the front door of the Courthouse for least 3 days before the first day of regular term of the Circuit Court.

Copies of ad or affidavit of publication required part of HSC assembly.

[/TABLE]

[TABLE 30-2] VDOT chooses one

[/TABLE]

[TABLE 30-3] Willingness to Hold Public Hearing

[/TABLE]

[TABLE 30-4] Noti Public | ce of Hearing

[/TABLE]

[TABLE 30-5] Yes

[/TABLE]

[TABLE 30-6] No

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Example of §33.2-902 Primary Abandonment

In the sketch below, the 0.07 mile segment AB (shown in blue) of Old Route 61 is being abandoned using §33.2-902 because there was no replacement road being constructed.

The abandonment is also not related to any construction or maintenance project.

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Primary Abandonments (continued)

Code Section 33.2-906 – Abandonment of Primary Route With Replacement Road or in Conjunction with Construction or Maintenance Project

Section 33.2-906 is most often used when an existing VDOT Primary road is being abandoned and the segment of road that is being abandoned will be replaced with a new

road, which generally serves the same users as the road that is being abandoned.

This type of abandonment usually occurs when a VDOT Project relocates or shifts a Primary road alignment, resulting in the need to abandon the old road alignment.

Because a replacement road is added in conjunction with this type of abandonment, there is no public notification requirement for a §33.2-906 abandonment. Both the §33.2-906 abandonment and the related addition must be addressed in the same locality resolution or letter of support.

A §33.2-906 abandonment can also be used for a Primary abandonment when a replacement road is not being built IF the VDOT Chief Engineer recommends that this approach is appropriate in connection with the completion of a construction or maintenance project. An example of this situation is when a section of roadway is eliminated and will not be reconstructed. In such a situation, access to affected properties is provided via other existing routes.

If VDOT staff is unsure if the Chief Engineer will support the use of §33.2-906 for a Primary abandonment without a corresponding addition, the Office of Land Use should be contacted to communicate with the Chief Engineer’s office prior to the approval of a locality resolution or letter of support.

Section 33.2-906 Primary abandonments are initiated by VDOT, typically at the Residency or District level, but are officially approved by the VDOT Commissioner.

Approval of these Primary abandonments has been delegated to the VDOT Chief of Policy.

A VDOT Project can be accompanied by either a locality resolution or a letter of support.

In order for a VDOT Project to use a locality letter of support, the following shall apply:

  • The highway change must be the result of VDOT Projects
  • The related ROW must be owned by VDOT or the Commonwealth

If a non-VDOT built project includes a §33.2-906 Primary abandonment, it must be

supported by VDOT and is required to have an approved resolution of support from the locality. A letter of support cannot be used.

If a Primary abandonment has a road being constructed nearby and VDOT staff is unsure if this new road meets the “replacement road” requirement associated with §33.2-906, please contact the HSC section of the Office of Land Use to discuss the matter.

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Primary Abandonments - §33.2-906 (continued)

Example of §33.2-906 Primary Abandonment with Replacement Road

In the sketch below, segments AD and DC of Route 11 (in blue) are being abandoned using §33.2-906 and replaced by segments AB and BC (in red) of the new road being added to the system using §33.2-310.

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Primary Abandonments - §33.2-906 (continued)

Example of §33.2-906 Primary Abandonment without Replacement Road

In the sketch below, segment AB (in blue) is being abandoned using §33.2-906. There is no related replacement road, but this abandonment is associated with the completion

of this VDOT Project.

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C. Primary Discontinuances

Code Section 33.2-901 – Discontinuance of Primary Routes

The Secretary has stated his concern that discontinued Primary roads remain under the jurisdiction of the CTB and the Commissioner, but at the same time the roads are removed from the VDOT system and are no longer maintained by VDOT.

Until further notice, VDOT Land Use staff should not proceed with §33.2-901 Primary discontinuances unless there are significant compelling reasons for the discontinuance.

As an alternative to Primary discontinuances, the Office of Land Use recommends that these segments be transferred to the Secondary system using §33.2-315. After this transfer, the now Secondary road can either be discontinued using §33.2-908 or the road can remain in the Secondary system depending upon what the locality and VDOT decide. For further questions about this issue, please contact the Office of Land Use.

Primary discontinuances can be initiated by the agency when the Commissioner deems that the road is no longer necessary for the uses of the Primary highway system. This situation usually takes place when the design, construction, or maintenance of a highway is altered, and a section of the highway is no longer necessary for vehicular traffic, but the ROW must be retained for a transportation purpose.

VDOT should contact the locality through written communication to inform the local

officials about the proposed discontinuance.

All Primary discontinuances are approved pursuant to §33.2-901. This is the case regardless of whether there is a replacement road constructed or not.

The purpose and legal effect of highway discontinuances are discussed in Section 3 of this Guide.

Primary discontinuances must be approved by the CTB and are required to be accompanied by an approved resolution or letter of support from the locality.

Section 33.2-901 does not include a public notification requirement and does not implicitly require VDOT to advertise a pending discontinuance or notify adjacent property owners of this action. However, the agency should contact adjacent property owners and those owners who are directly affected by the proposed discontinuance. In this way, VDOT will be able to communicate how the proposed highway change will impact the maintenance

of the road.

In the event that VDOT decides to publicize the proposed Primary discontinuance, it is recommended that the public notification requirements for Secondary discontinuances contained in §33.2-908.B be followed for §33.2-901 Primary discontinuances. This process is outlined in Section 6.e of this Guide.

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[TABLE 35-1] The Secretary has stated his concern that discontinued Primary roads remain under the jurisdiction of the CTB and the Commissioner, but at the same time the roads are removed from the VDOT system and are no longer maintained by VDOT.

Until further notice, VDOT Land Use staff should not proceed with §33.2-901 Primary discontinuances unless there are significant compelling reasons for the discontinuance.

As an alternative to Primary discontinuances, the Office of Land Use recommends that these segments be transferred to the Secondary system using §33.2-315. After this transfer, the now Secondary road can either be discontinued using §33.2-908 or the road can remain in the Secondary system depending upon what the locality and VDOT decide. For further questions about this issue, please contact the Office of Land Use.

[/TABLE]

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Primary Discontinuances - §33.2-901 (continued)

Example of §33.2-901 Primary Discontinuance

In this sketch, segment BC (in yellow) has been discontinued using §33.2-901. This segment is no longer needed as a part of the Primary system because it does not provide sufficient public service to warrant maintenance. The segment has been replaced by

adding segment AB (in red) pursuant to §33.2-310. Segment AC (in blue) has been abandoned using §33.2-906.

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D. Primary Transfers

There are two main types of Primary transfers that involve transfers from the Primary to the Secondary system. The difference between these two changes is that one deals with road construction and the other is a transfer with no new road being built. The Code sections’ approval authority for these two types of transfers are also different.

Code Section 33.2-315.A – Transfer from Primary to Secondary System NOT Related to New Road Construction and Transfer between Primary System and the Local System

The CTB can transfer highways from the Primary highway system to the Secondary system. The CTB can complete this type of transfer if initiated by VDOT or requested by the local governing body.

A §33.2-315.A Transfer most often takes place when a locality or VDOT wants an existing Primary road transferred to the Secondary system. An example of when this may occur is a change in the nature or use of the subject road.

This type of transfer takes place when no new road construction is involved with the requested transfer.

There may also be instances when a VDOT Primary route is located in a city, an incorporated town, or Arlington or Henrico County and the locality requests that the road be transferred to the local urban system and be maintained by the locality. In this example, the resolution must be approved by the city or town council or the board of supervisors, whichever is appropriate.

Section 33.2-315.A transfers are required to be approved by the CTB and the locality must approve a resolution requesting the transfer. This locality can be a county, city, or incorporated town. For example, if a VDOT maintained Primary road is located in an incorporated town, the town’s governing body must approve a resolution requesting the transfer. Letters of support cannot be used for this type of transfer.

Section 33.2-315.A limits statewide transfers to 150 miles per fiscal year, but this threshold is rarely met.

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Primary Transfers - §33.2-315.A (continued)

Example of §33.2-315.A Transfer

The sketch below depicts the 0.10 mile AB segment (in orange) being transferred from

the Primary (was Route 58) to the Secondary system (to become Route 740) using §33.2-315.A. This transfer was not requested in conjunction with a new road construction project.

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Code Section 33.2-315.B – Transfer from Primary to Secondary System Related to New Road Construction

A §33.2-315.B transfer takes place when the VDOT Chief Engineer recommends that this action is appropriate in connection with the completion of an agency construction or

maintenance project.

Section 33.2-315.B transfers most frequently occur when VDOT constructs a new Primary road and as a result, all or a portion of the old road is transferred from the Primary to the Secondary system. These transfers are approved by the VDOT Commissioner. Prior to this approval, the transfer must first be recommended by VDOT’s Chief Engineer. This transfer approval process is administered by the Office of Land Use. As soon as the Office of Land Use receives the complete HSC assembly, the Office of Land Use staff reviews the request and produces the required approval documents for the Commissioner’s office.

If VDOT staff is unsure if the Chief Engineer will support the use of §33.2-315.B for a transfer, they should contact the Office of Land Use prior to the locality approval of the resolution. Office of Land Use staff will discuss this matter with the Chief Engineer and inform the District or Residency of the decision.

New road construction is required in conjunction with the use of §33.2-315.B. If VDOT staff has any questions about whether a Primary to Secondary transfer should use §33.2-315.A or §33.2-315.B, they should contact the HSC section of the Office of Land Use to discuss.

The locality must approve a resolution requesting the §33.2-315.B transfer. This locality can be a county, a city or incorporated town, depending on the location of the road to be transferred.

Because new road construction is involved with a §33.2-315.B transfer, both the road addition and the transfer must be addressed in the same locality resolution and HSC assembly.

Unlike the annual mileage limitation for §33.2-315A transfers, there is no such limitation for §33.2-315.B transfers.

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Primary Transfers - §33.2-315.B (continued)

Example of a §33.2-315.B Transfer

The sketch below shows segment EFG (in orange) which is being transferred from the Primary (was Route 80) to the Secondary system as Route 804 in conjunction with a VDOT construction project. This segment is connecting to new segment BE (in red)

which is being added to the Secondary system as Route 804.

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E. Institutional Roads

Code Section 33.2-313 – Institutional Road Additions

Section 33.2-313 allows the governing body of a Virginia institution to request the addition of its roads to VDOT’s highway system. These approved road additions become part of the state’s Primary system. Roads which are added to the Primary system pursuant to §33.2-313 will be maintained by VDOT, but policing power for these roads remains with the public institution.

In order for Institutional roads to be added to the state’s Primary system, the following requirements must be met (this information is contained within VDOT DPM 8-3 which was updated in 2021):

  • Roads must be located within the grounds of State institutions and meet minimum design requirements
  • Roadways shall have a width of at least 22 feet exclusive of ditches
  • Drainage facilities shall be adequate to comply with stormwater management requirements

The most common agencies which add roads using §33.2-313 are the Department of Education, the Boards of Visitors for Virginia Public Colleges and Universities, and the Department of Corrections. Section 33.2-313 Institutional road additions do not pay surety and fees to VDOT.

Note: State Park roads are added pursuant to a different Code section (§33.2-311) and public elementary, middle, and high school roads are added using §33.2-325. Private

colleges and universities cannot add roads pursuant to §33.2-313. These roads are typically added pursuant to §33.2-705 when they qualify for street acceptance.

Rather than a locality resolution, the addition of a §33.2-313 Institutional road requires a resolution or letter requesting the addition from the governing body of the institution. This resolution or letter requesting the addition is most commonly provided by the requesting institution. The Office of Land Use will also accept a resolution or a letter of request from the governing body of the state agency (see the Office of Land Use DOTi site for template).

Section 33.2-313 can only be used to add Institutional roads. In the event that an Institutional road is requested to be abandoned or discontinued, the related highway system change needs to be completed pursuant to the applicable Code section for a Primary road change (e.g. §33.2-902, §33.2-901) and a letter of request or resolution is required from the related state agency. VDOT may accept a letter of request from the governing body of the institution for this highway change.

Authority to accept §33.2-313 additions has been delegated by the VDOT Commissioner to the Office of Land Use Director and the agency’s Highway System Program Manager.

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Institutional Roads - §33.2-313 (continued)

Example of a §33.2-313 Institutional Road Addition

The sketch below shows the 0.50 mile AB segment (in red) addition of an Institutional road related to Pocahontas State Correctional Center.

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[TABLE 42-1] The sketch below shows the 0.50 mile AB segment (in red) addition of an Institutional road related to Pocahontas State Correctional Center.

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F. State Park Roads

Code Section 33.2-311 – State Park Road Additions Roads within Virginia state parks which connect to VDOT maintained roads can be added to the state’s highway system in two different ways.

Requests for new state additions connecting state highways outside of State Parks with recreation centers within those parks are made using §33.2-311. Roads to be added pursuant to §33.2-311 must provide direct access to the recreation center within the park.

Section 33.2-311 State Park road additions become part of the Primary system and do not pay surety and fees to VDOT.

Section 33.2-311 is also used when an existing State Park road adds centerline miles.

There are many existing State Park roads which were added to the VDOT system in the past that have Secondary route numbers. Additions to these existing State Park roads within State Parks are accomplished using §33.2-312. These additions become part of the Secondary System and do not pay surety and fees to VDOT.

The Commissioner's approval is needed for the above additions. If you have any questions regarding the use of these Code sections, please contact the Office of Land Use.

Much like Institutional roads, the request for State Park additions do not require a resolution from the locality. These additions need to be accompanied by a request for addition from the Virginia Department of Conservation and Recreation (DCR) which governs state parks. The Office of Land Use has a template for this letter (see the Office of Land Use DOTi site).

The VDOT Commissioner has the approval authority for §33.2-311 State Park additions.

When the Office of Land Use receives a complete HSC assembly for this type of addition, the Office of Land Use reviews the assembly and prepares the documents required for the Commissioner’s approval. The Office of Land Use will notify the VDOT Residency when the State Park road is added to the state’s Primary system. It is the Residency’s responsibility to inform the area State Park that the road has been added to VDOT’s system for maintenance.

Section 33.2-311 can only be used to add State Park roads. If a State Park road needs to be abandoned or discontinued, the related highway system change needs to use and reference the pertinent Code section for a Primary or Secondary road change depending on if the State Park roads have Primary or Secondary route numbers. The request to abandon or discontinue needs to come from the DCR. If you have any questions about which Code section to use for a State Park road, please contact the Office of Land Use.

In the event that the CTB or Commissioner discontinues a state park road, with the concurrence of the DCR, the discontinued road reverts to the control, supervision, and maintenance of the DCR pursuant to §10.1-200 “Duties related to parks and outdoor recreation; additional powers.” If VDOT staff has any questions about this process, please contact the Office of Land Use.

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[TABLE 43-1] There are many existing State Park roads which were added to the VDOT system in the past that have Secondary route numbers. Additions to these existing State Park roads within State Parks are accomplished using §33.2-312. These additions become part of the Secondary System and do not pay surety and fees to VDOT.

[/TABLE]

[TABLE 43-2] The Commissioner's approval is needed for the above additions. If you have any questions regarding the use of these Code sections, please contact the Office of Land Use.

[/TABLE]

[TABLE 43-3] In the event that the CTB or Commissioner discontinues a state park road, with the concurrence of the DCR, the discontinued road reverts to the control, supervision, and maintenance of the DCR pursuant to §10.1-200 “

[/TABLE]

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State Park Roads - §33.2-311 (continued)

Example of a §33.2-311 State Park Addition

The sketch below depicts segment CD (in red) in the Natural Tunnel State Park being added to the state’s Primary system using §33.2-311.

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G. Locally Administered Projects (LAP’s)

Localities may use county, town, or other funds to construct new roads or to make highway changes. These projects may also include state or federal funds to be completed. VDOT assists localities with the administration and construction of these projects through Local Administered Projects (LAP) staff at the District level. LAP’s are assigned VDOT project numbers and UPC’s. Examples of some LAP’s are Revenue

Sharing projects, Economic Access projects, Airport Access projects, Recreational Access projects, and Enhancement projects.

Depending on the type of addition (e.g. Primary vs. Secondary, institutional, or recreational access), the Code sections used for administering highway system changes resulting from LAP’s are the same as those used for any other type of system change. If you are unsure which Code section needs to be used for HSC’s resulting from locally administered projects, please contact your Residency, District Land Use staff, or the Office of Land Use.

H. VDOT Projects and Highway System Changes

Any project that changes the centerline mileage of a VDOT road must complete the HSC process. This is one of the last steps for a project that VDOT must complete in order to

give VDOT the legal authority to expend public funds for maintenance of a new (or improved) roadway and to maintain an accurate inventory record for maintenance budgeting purposes.

VDOT Projects and highway projects that receive any allocations approved by the CTB do not pay surety and fees.

The Office of Land Use and a statewide team of Land Use and Location and Design staff has recommended organizational procedural changes to ensure that all VDOT Projects complete required HSCs. These procedural changes take place at both the design and closeout phases of VDOT Projects, and upon final approval will be incorporated into this Guide.

These required HSCs will follow the guidance and processes outlined in this document.

If VDOT staff has any questions regarding HSCs for VDOT Projects, the Office of Land Use should be contacted.

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  1. Secondary Roads – Codes, Policies & Processes

Virginia’s Secondary System of Highways was created in 1932 with the General Assembly’s “Byrd Act.” This Act transferred these roads to the Virginia Department of Transportation’s authority with local consent. Prior to 1932, these roads were established and administered by localities. Roads within the Secondary system have route numbers of 600 and above.

When roads are added to VDOT’s Secondary system, a locality’s resolution asking for VDOT administration and maintenance of a street is the locality’s implied acceptance of a street as part of their system of local roads.

This section of the Guide is divided into the following categories

a. Additions b. Abandonments c. VDOT Abandonment Certification Letter

d. Vacations e. Discontinuances f. Transfers g. Rural Additions h. Town Additions – Populations under 3,500 i. Public School Access Roads j. VDOT Projects k. Locally Administered Projects l. Recreational and Economic Access Road Projects

Note: Section 1-221 of the Code of Virginia defines “locality” as meaning a county, city, or town. Section 33.2-100 of the Code of Virginia defines “the Board” as meaning the Commonwealth Transportation Board. These terms have the same meaning as referenced in this section of the Guide.

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a. Secondary Additions

Code Section §33.2-705 – Addition to Secondary Route

The majority of Secondary additions are added to VDOT’s system using §33.2-705. This Code section is used when roads added to the Secondary system are constructed by

developers, VDOT Projects, and Locally Administered Projects.

This Code section is also used for “No Cost” Rural Additions. A “No Cost” Rural Addition can generally be defined as a qualified Rural Addition road which does not need any improvements to meet VDOT requirements (see Section 6.g of this Guide for specific guidance on “No Cost” Rural Additions).

In 2009, the CTB approved the initial Secondary Street Acceptance Requirements (SSAR) regulation. The current version of the SSAR was approved in 2024. The Code section which authorized creation of the SSAR is §33.2-334.

Any §33.2-705 addition resulting from private development (i.e. any Secondary route constructed without the use of VDOT funding) will require a resolution for street acceptance. For VDOT construction projects, either a resolution or letter of support may be used.

The standards given below dictate when a locality letter of support may be used. The letter of support is most often signed by the locality’s Board of Supervisors Chair, County Administrator/Manager, the Clerk of the Board of Supervisors, or the County Attorney.

There is a template for this type of letter on the Office of Land Use Highway System Change DOTi page.

In order for a VDOT Project to use a locality letter of support rather than a resolution, the following shall apply:

  • The HSCs must be the result of a VDOT Project
  • Related ROW must be owned by VDOT or the Commonwealth
  • VDOT construction must have been completed after July 1, 2011
  • VDOT projects completed prior to July 1, 2011, require a resolution of support from the local governing body
  • Letters of support can NOT be used for SSAR, SSR, or Rural Additions.

A completed HSC assembly must be sent to the Office of Land Use for all Secondary

additions. The Office of Land Use is authorized to approve §33.2-705 Secondary additions.

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b. Secondary Abandonments

Code Section 33.2-909 – Abandonment of Secondary Route Without Replacement Road

A county governing body or an interested landowner, including VDOT, can initiate the §33.2-909 abandonment of a Secondary road or segment that is deemed to no longer be necessary for the uses of the highway system.

Section 33.2-909 is used when an existing VDOT Secondary road is being abandoned and there is no corresponding replacement road being constructed. This type of abandonment most commonly occurs when a Secondary road no longer meets Public Service Requirements to be in the state system.

There may be instances when §33.2-912 can be used for a Secondary abandonment when a replacement road is not built. This takes place when the Chief Engineer recommends that §33.2-912 is the appropriate abandonment action in connection with the completion of a construction or maintenance project.

Notice of Intent to Abandon (NOIA) – Because there is no replacement road associated with this type of abandonment, there are public notification and participation requirements

pursuant to §33.2-909 that the locality must follow. These public notification requirements are very similar to the standards that VDOT must adhere to when administering a §33.2-902 Primary abandonment. Samples of the locality’s Notice of Intent to Abandon resolution, NOIA Willingness Advertisement, NOIA Public Hearing Advertisement, and the final locality §33.2-909 abandonment resolution are included on the HSC/SSAR DOTi page.

NOIA Willingness Advertisement vs. NOIA Public Hearing Advertisement – The locality may choose to publish either a willingness to hold a public hearing advertisement or a public hearing advertisement. The willingness advertisement indicates that the locality will hold a public hearing if requested. The public hearing advertisement indicates the locality is going to hold a public hearing and gives notice of the date, time, and place of the public hearing.

The willingness advertisement is typically used in situations where objections to the abandonment are not expected, because it saves the locality the time and expense of

conducting a public hearing. The §33.2-909 NOIA public notification requirements are the same for both advertisements.

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Secondary Abandonments - §33.2-909 (continued)

Public Notification Requirements The locality must notify VDOT when it intends to abandon a Secondary road using §33.2-909. This step is described in item #1 below. To fulfill the public notification requirements mandated in §33.2-909, the locality MUST complete EITHER item #2.A or #2.B below.

The locality shall also publish the intent to abandon advertisement described in item #3 below.

  1. The locality shall give notice of its intention to abandon the road to the VDOT Commissioner (this action must be completed). This notice is most often sent to the Residency, District, or the Commissioner’s office. This is done through the NOIA Resolution or a letter to VDOT (either is acceptable). The locality will forward a copy of their approved resolution or letter to the VDOT Residency Administrator.

A copy of the resolution or letter is to be included in the RIMS HSC assembly sent to the Office of Land Use.

  1. Locality chooses either A or B: A. Post the Notice of Intent to Abandon at least three days before the first day of a regular term of the circuit court at the front door of the courthouse of the county in which the section of highway is to be abandoned. B. Post the Notice of Intent to Abandon in at least three places on and along

the highway to be abandoned for at least 30 days. This 30 day period generally takes place concurrently with the NOIA.

  1. Publish the Notice of Intent to Abandon in two or more issues of the same newspaper having general circulation in the county (this action must be completed).

Additional Notification Requirements for §33.2-909

  • If a proposed §33.2-909 abandonment is located in more than one locality, all affected localities must agree to the abandonment and all affected localities must adhere to the public notification requirements. A resolution is required from all localities in which the abandoned road is located.
  • Public Water Landings and §33.2-909 Secondary Abandonments – If the abandonment involves a public water landing, the locality shall also provide notice

of the abandonment to the Virginia Department of Wildlife Resources.

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Secondary Abandonments - §33.2-909 (continued)

Holding a §33.2-909 Abandonment Public Hearing

  • NOIA Willingness Advertisement: If one or more landowners in the county or town where the abandonment is located requests a public hearing be held within 30 days after the NOIA Willingness Advertisement is first posted, published, and

mailed, the locality shall hold a public hearing for consideration of the abandonment. The locality shall publish a NOIA Public Hearing Advertisement that gives notice of the date, time, and place of the hearing. If no request is made to hold a public hearing, the locality may proceed to the approval of the abandonment resolution.

  • NOIA Public Hearing Advertisement: If the locality opts to forgo a NOIA Willingness Advertisement or if a public hearing is requested during the NOIA Willingness Advertisement, the locality shall give notice of the date, time, and location of the public hearing. The public hearing must be held within the county (or counties) where the proposed abandonment is located. The NOIA Public Hearing advertisement shall be published a minimum of 30 days in advance of the date of the public hearing and shall be published in accordance with the §33.2-909 Public Notification Requirements given herein. o NOTE: A transcript of any comments received at the public hearing is to

be included in the HSC assembly sent to the Office of Land Use.

If the locality is satisfied that no public necessity exists for the continuance of the Secondary road, it can approve a resolution or adopt an ordinance abandoning the section of highway. The locality has four months after the end of the willingness advertisement or the date of the public hearing to approve the resolution or the ordinance.

If the locality does not approve the resolution or pass the ordinance within this 4-month period, the entire Secondary abandonment process must be repeated.

If the locality is not satisfied that the Secondary road should be abandoned, the locality shall dismiss the proposed abandonment within the four month period designated in §33.2-909. If such is the case, the locality shall provide VDOT a resolution indicating that, upon consideration of public opposition to the petition and any other mitigating factors, the locality does not support the abandonment and requests that the mileage remain in the VDOT inventory. A copy of the public hearing transcripts should also be provided if a public hearing is held.

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§33.2-909 Abandonment of Secondary Route Without Replacement Road

Locality receives written request to abandon Secondary road from VDOT or any citizen

Locality provides Notice of Intent to Abandon resolution or letter to VDOT Commissioner*

Locality posts the NOIA Locality posts the NOIA advertisement advertisement in at least 3 places at least 3 days before the first day of Locality chooses one on or along road to be regular term of the Circuit Court at the abandoned for at least 30 days front door of Courthouse Locality publishes NOIA Public Hearing Locality publishes NOIA advertisement for at least 30 days in advertisement for at least 30 days Locality chooses one two or more issues of the same in two or more issues of the same newspaper & the locality provides newspaper notice of the public hearing to VDOT* Did locality receive Yes a request for a Public Hearing?

No Within 4 months of the NOIA advertisement expiration or the date of Locality conducts Public Hearing & the public hearing (if one is requested), provides VDOT with a transcript of the locality approves resolution any comments received. requiring the abandonment & forwards a copy to the VDOT Residency VDOT Residency staff prepares RIMS highway system change assembly and submits to Office of Land Use Office of Land Use staff reviews 33.2-909 Secondary abandonment & completes the abandonment approval in RIMS.

Office of Land Use informs the Residency of this approval. *Note: If the abandonment involves a public landing, the locality shall also provide notice to the Virginia Department of Wildlife Resources.

51

[TABLE 51-1] Locality posts the NOIA advertisement in at least 3 places on or along road to be abandoned for at least 30 days | | Locality posts the NOIA advertisement at least 3 days before the first day of regular term of the Circuit Court at the front door of Courthouse

[/TABLE]

[TABLE 51-2] Locality chooses one

[/TABLE]

[TABLE 51-3] Locality chooses one

[/TABLE]

[TABLE 51-4] Y | es

[/TABLE]

[TABLE 51-5] N | o

[/TABLE]

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Secondary Abandonments - §33.2-909 (continued)

Example of §33.2-909 Secondary Abandonment

The sketch below shows the 0.10 mile AB segment (in blue) of Route 678 being abandoned pursuant to §33.2-909. Notice that a replacement road is not built in

conjunction with this abandonment.

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Code Section 33.2-912 – Abandonment of Secondary Route With Replacement Road or in Conjunction with Construction or Maintenance Project

Section 33.2-912 is used when an existing VDOT Secondary road is being proposed for abandonment and the segment of road that is being abandoned will be replaced with a new road. The road to be added typically serves the same users as the road that is being

abandoned. This type of abandonment most often occurs when a VDOT Project relocates or shifts a Secondary road alignment, resulting in the need to abandon the old road alignment. Because a replacement road is added in conjunction with this type of abandonment, there is no public notification requirement for a §33.2-912 abandonment.

The VDOT Commissioner can approve the above type of §33.2-912 abandonment.

When a §33.2-912 Secondary abandonment is associated with a replacement road, the abandonment of the old road and the addition of the new road (usually a §33.2-705 Secondary addition) must be included in the same locality resolution or letter of support and HSC assembly.

If VDOT staff is administering a Secondary abandonment and are unsure if the new road meets the “replacement road” requirement associated with §33.2-912, please contact the Office of Land Use.

This Code section can also be used when a replacement road is not built if the Chief

Engineer recommends that §33.2-912 is the appropriate abandonment action in connection with the completion of a construction or maintenance project.

The locality required documentation for a §33.2-912 abandonment can differ if the abandonment and new addition involve a VDOT Project as opposed to other types of development. A VDOT Project can either be accompanied by a locality resolution or a letter of support. In order for a VDOT Project to use a locality letter of support, the following shall apply:

  • The highway change must be the result of a VDOT Project.
  • The related ROW must be owned by VDOT or the Commonwealth
  • VDOT construction must have been completed after July 1, 2011 (this is part of the state Code).
  • VDOT projects completed prior to July 1, 2011, require a resolution of support from the local governing body.

Any §33.2-912 abandonment that is not related to a VDOT Project is required to have an

approved resolution from the locality.

Section 33.2-912 Secondary abandonments are approved by the VDOT Chief of Policy.

This abandonment and corresponding addition will be approved by the Office of Land Use in RIMS effective the day the Chief of Policy approves the abandonment.

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Secondary Abandonments - §33.2-912 (continued)

Example of §33.2-912 Secondary Abandonment with Replacement Road

Segments BC, CD, and DE of Route 645 (in blue) are being abandoned using §33.2-912.

These abandoned segments are being replaced by the corresponding segments indicated in red which are being added to the Secondary system pursuant to §33.2-705.

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Secondary Abandonments - §33.2-912 (continued)

Example of §33.2-912 Secondary Abandonment with Chief Engineer’s Recommendation

In the sketch below, segment MN (in blue) is being abandoned using §33.2-912. There is no replacement road being constructed that serves the users of this segment. This road segment needed to be abandoned to construct the realignment of the Route 17 ramp. This is an example of a §33.2-912 abandonment for which the Chief Engineer recommended this action related to the completion of the related VDOT construction project.

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c. VDOT Abandonment Certification Letter

Code Section 33.2-913 – VDOT Letter Certifying Completed Secondary Abandonment

Following the VDOT completion of a §33.2-909 or a §33.2-912 Secondary abandonment, the locality can request an official letter from VDOT certifying that the abandonment has been finalized. In addition to confirming that the abandonment has been approved, another reason for this letter is to confirm that any surplus right-of-way associated with the abandonment is no longer needed by VDOT for any transportation purpose.

In order to make this confirmation, the Office of Land Use will email the Residency that submitted the abandonment. The Residency will respond with an email stating that the abandoned road in question and its right-of-way are no longer needed by VDOT.

After the abandonment has been legally completed and the communication has been received from the Residency Administrator/Engineer, the Office of Land Use’s Highway System Program Manager sends the official §33.2-913 letter to the Chair of the local governing body. The Residency Administrator/Engineer and the VDOT Right-of-Way Division Administrator are copied on this correspondence. Attachments included with this letter are the approved abandonment cover sheet, the sketch of the road that was

abandoned, and the communication from the Residency Administrator/Engineer.

The locality request for the §33.2-913 letter is most often included within the abandonment resolution, but the Office of Land Use will complete this letter if a request is received from a locality staff person. This county communication is in writing and is most often included in an email.

If VDOT staff has any questions about the §33.2-913 abandonment certification, do not hesitate to contact the Office of Land Use.

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d. Secondary Vacations

Code Section 15.2-2272 – Vacation of Certain Secondary Roads

The highway vacation process defined in §15.2-2272 may only be used to abandon roads within the Secondary system if all of the following conditions are satisfied:

  • The land shown on the plat to be vacated has been the subject of a rezoning or special exception application approved following public hearings required by §15.2-2204 of the Code of Virginia, and
  • The VDOT Commissioner or his designee is notified by the locality in writing prior to the public hearing, and
  • The vacation is necessary in order to implement a proffered condition accepted by the locality’s governing body pursuant to §15.2-2297, §15.2-2298 or §15.2-2303 of the Code of Virginia or to implement a condition of special exception approval.

The vacation process is considered by VDOT to be an alternative method to abandonment and all other actions concerning facilities of the Secondary system continue

to apply. Due to the strict requirements associated with the vacation process, this Code section is rarely used to abandon roadways.

The proposed vacation of the road must be published once a week for two consecutive weeks in a newspaper having general circulation in the locality. This notice shall specify the time and place of the related public hearing.

Similar to §33.2-909, the locality is required to provide its intention to vacate the road to the VDOT Commissioner. This notice is most often in the form of a letter from the locality and is sent to the Residency, District, or the Commissioner’s office. A copy of this letter is to be included in the HSC assembly sent to the Office of Land Use.

When the §15.2-2272 vacation process is completed, the local document to approve of the action is a copy of the executed and recorded Deed of Vacation rather than a resolution or a letter of support. This deed must be signed by all the owners of lots shown on the plat and also signed on behalf of the local Board.

The effect of completing a road vacation using §15.2-2272 is

  • A road is no longer part of the Secondary system of highways
  • Pursuant to §33.2-925 of the Code of Virginia, these roads or facilities may be vacated under the provisions of §15.2-2272 as an alternative means of abandoning such roads to the procedures prescribed by §33.2-915 through §33.2-929. Such actions may be appealed under the provisions cited in §15.2-2272.

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e. Secondary Discontinuances

Secondary discontinuances are accomplished pursuant to either subsection B or C of

§33.2-908. Which subsection of §33.2-908 that must be used is primarily dependent upon whether or not a replacement road has been constructed that serves the same properties as the road being discontinued.

Upon recommendation by the Chief Engineer, the Commissioner may discontinue roads affected by construction or maintenance projects when it is deemed the appropriate action.

Localities cannot discontinue Secondary roads. Only the CTB has the authority to discontinue Secondary roads not related to construction projects.

Code Section 33.2-908.B – Discontinuance of Secondary Route Without Replacement Road

A §33.2-908.B Secondary discontinuance can be initiated upon a petition from the local governing body of a county or town. The CTB can also initiate this type of discontinue

when it deems that the road is no longer required for public convenience.

Section 33.2-908.B is used when an existing VDOT Secondary road is being discontinued and there is no corresponding replacement road being constructed. Section 33.2-908.B discontinuances are most commonly requested by a locality that wants to end VDOT maintenance of a road.

The CTB can also initiate a §33.2-908.B discontinuance when a road no longer provides sufficient public service to warrant VDOT maintenance, but the right of way needs to be retained for vehicular access to adjoining properties or other public conveniences such as storm water management facilities, utilities, and trails.

If the locality requests a discontinuance and the local VDOT Residency concurs with it, VDOT shall complete both of the following actions:

  1. Provide notice of the proposed discontinuance by registered mail to the locality and each landowner whose property adjoins or is accessed by the segment of road

to be discontinued. This letter should include instructions for requesting a public hearing. Section 33.2-908.B specifies that only the locality or an abutting landowner may request a public hearing. It is recommended that the deadline for requesting a public hearing should be no less than 30 days after the newspaper publication date of the Notice of Intent to Discontinue.

  1. Publish a Notice of Intent to Discontinue for at least 30 days prior to CTB action in one issue of a newspaper having general circulation within the locality. It is recommended that this notice be published at or about the same time as the registered letters to the locality and the affected landowners are posted. A copy of the advertisement or an affidavit of publication from the newspaper is a required part of the HSC assembly submitted to the Office of Land Use.

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Secondary Discontinuances - §33.2-908.B (continued)

If VDOT recommends a discontinuance on the CTB’s own motion, VDOT shall complete both of the following actions:

  1. Provide the locality and abutting landowners a Notice of Intent to Discontinue, at least 30 days in advance of CTB action, via registered mail. Although not specified

in §33.2-908, it is recommended that abutting landowners be provided the same 30 days of notice in this event. This letter should include instructions for requesting a public hearing. Section 33.2-908 specifies that only the locality or an abutting landowner may request a public hearing. It is recommended that the deadline for requesting a public hearing should be no less than 30 days after the newspaper publication date of the Notice of Intent to Discontinue.

  1. Publish a Notice of Intent to Discontinue for at least 30 days prior to CTB action by publishing the notice in one issue of a newspaper having general circulation within the locality. It is recommended that this notice be published at or about the same time as the registered letters to the locality and the landowners are posted. A copy of the advertisement or an affidavit of publication from the newspaper is a required part of the HSC assembly submitted to the Office of Land Use.

See the flowchart on the next page for the general steps VDOT staff must perform for processing a §33.2-908.B Discontinuance.

VDOT may rely on the locality’s tax records to obtain names and addresses of abutting landowners.

If the locality (county or town) or any abutting landowner requests a public hearing within 30 days of the Notice of Intent to Discontinue, VDOT shall hold a public hearing in the locality in which the road is located. However, VDOT may opt to forgo the Notice of Intent to Discontinue advertisement and conduct a discontinuance public hearing without a request from the locality or an abutting property owner.

Note: Section 33.2-908.B does not specify minimum public notification requirements if a public hearing is requested. However, it is recommended that the public notice be published in accordance with the same requirements as the Notice of Intent to Discontinue.

If no public hearing is requested or following a public hearing, the locality may approve a resolution supporting the discontinuance. Following the receipt of this resolution and the

public hearing transcript (if one is held), the VDOT Residency will complete a discontinuance HSC assembly and send it to the Office of Land Use, where it will be prepared for CTB approval. The CTB must give final approval for §33.2-908.B discontinuances.

Any appeals to roads discontinued pursuant to §33.2-908.B shall be sent to the Circuit Court of the affected locality, conforming to the procedure prescribed in §33.2-905.

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Section 33.2-908.B Discontinuance Public Notification Process

VDOT/CTB or locality initiates the proposed Secondary discontinuance and selects how to advertise the highway change Option 2) Hold a Public Select advertising option Option 1) Willingness to Hearing without request from Hold a Public Hearing locality or property owners – advertisement Public Hearing administered by VDOT VDOT Residency staff VDOT Residency staff prepares Notice of Intent to prepares Notice of Public Discontinue newspaper Hearing newspaper advertisement and sends advertisement and sends registered letters to the locality registered letters to the locality and abutting property owners and abutting property owners VDOT Residency staff contacts VDOT Residency staff contacts newspaper and arranges publication of newspaper and arranges publication of the “Willingness” advertisement. the “Public Hearing” advertisement.

Publication date is the beginning of the Publication date is the beginning of the 30 day public notice, 30 day public notice, AND Yes AND VDOT Residency staff sends VDOT Residency staff sends registered letters to locality and registered letters to locality and abutting property owners. Posted date abutting property owners. Posted date is the beginning of the 30 day locality/ is the beginning of the 30 day locality/landowner notice. landowner notice.

At Least 30 days At Least 30 days Did VDOT receive a request for a Public Hearing VDOT Residency staff conducts the from the locality or abutting Public Hearing and VDOT prepares a property owner? transcript of any comments received.

Locality approves resolution, VDOT Residency staff prepares RIMS highway No system change assembly and submits to Office of Land Use Office of Land Use staff prepares the item for the next CTB meeting CTB approves or dismisses the discontinuance. If approved, Office of Land Use staff completes process in RIMS.

*These two events should coincide so that the 30 day notice of each runs concurrently.

60

[TABLE 60-1] Select adver | tising option

[/TABLE]

[TABLE 60-2] Y | es

[/TABLE]

[TABLE 60-3] At Least | 30 days

[/TABLE]

[TABLE 60-4] At Least | 30 days

[/TABLE]

[TABLE 60-5] No

[/TABLE]

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Secondary Discontinuances - §33.2-908.B (continued)

Example of §33.2-908.B Secondary Discontinuance

Segment AB (in yellow) is being discontinued in the sketch below because it no longer provides sufficient public service to warrant state maintenance, but the right of way is needed to provide continued vehicular access to adjoining properties. Therefore, it is

being discontinued instead of abandoned.

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Code Section 33.2-908.C – Discontinuance of Secondary Route With Replacement Road or with Chief Engineer’s Recommendation

There are two situations when Subsection C of §33.2-908 can be used for a Secondary discontinuance. These include:

  • When there is a replacement road constructed which serves the same properties as the road to be discontinued, or
  • When there is no replacement road constructed, the proposed discontinuance is the result of a construction or maintenance project, AND the Chief Engineer gives their recommendation that §33.2-908.C is the appropriate Code section to use.

An example of the second situation is a Project that results in a road or section of road that no longer meets public service requirements, but the road’s ROW must be retained to provide vehicular access to one or more parcels that would otherwise be left land locked without access if the road were abandoned.

When a §33.2-908.C discontinuance is completed in conjunction with a replacement road, the locality resolution or letter of support must include the new addition and the discontinuance in the same locality document and HSC assembly.

Because §33.2-908.C discontinuances are processed in connection with an addition, or construction and maintenance projects, publication of a Notice of Intent to Discontinue is not required. Section 33.2-908.C discontinuances do not require public notification.

The required locality documentation for a §33.2-908.C discontinuance depends upon when the Project was completed. A VDOT Project can either be accompanied by a locality resolution or a letter of support. In order for a VDOT Project to use a locality letter of support, the following should apply:

  • The highway change must be the result of a VDOT Project
  • The affected ROW must be owned by VDOT or the Commonwealth
  • VDOT construction must have been completed after July 1, 2011 (this is part of the state Code)
  • VDOT projects completed prior to July 1, 2011, require a resolution from the local governing body

If a §33.2-908.C discontinuance results from construction of a privately funded project,

an approved resolution from the locality is required.

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Secondary Discontinuances - §33.2-908.C (continued)

Example of §33.2-908.C Secondary Discontinuance

In this sketch, the AB segment (in yellow) is being discontinued because it does not provide enough public service to warrant continued maintenance, but the right-of-way is still needed to prevent land locking property and to provide vehicular access to adjoining

properties. The discontinued segment has been replaced by segment AB (in red).

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f. Secondary Transfers

There are two types of Secondary transfers that involve a change from the Secondary to the Primary system. One type of transfer is for construction project related system changes while the other is for non-project related system changes.

Code Section 33.2-314.A – Transfer from Secondary to Primary System NOT

Related to New Road Construction (Non-Project Related)

The CTB approves §33.2-314.A transfers from the Secondary to the Primary system when it deems this to be the proper action. Upon approval, the road is then added to the Primary system and renumbered accordingly.

Section 33.2-314.A transfers take place when a locality wants an existing Secondary road transferred to the Primary system when it is not related to any type of construction or maintenance project. A locality resolution is required for a §33.2-314.A transfer.

The criteria for transferring Secondary roads to the Primary system are as follows (see VDOT Department Memorandum 14-1 for reference):

  1. The road must connect to an existing Primary or interstate highway.
  2. The road must meet the majority of the following criteria: a. Provides a reasonably direct connection between activity centers not already connected by an existing primary or interstate highway

b. Has a traffic volume of at least 10,000 vehicles per day c. Carries at least 200 tractor-trailers or buses per day d. Has a functional classification of arterial e. Designated as part of the National Highway System (NHS) f. Meets the minimum lane width & shoulder width design standards for a highway of its current functional classification and traffic volume.

The mileage which can be transferred pursuant to §33.2-314.A cannot exceed 50 miles statewide during any fiscal year.

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Secondary Transfers (continued)

Section 33.2-314.A Example Sketch

In this example, segments of Secondary Route 600 (AB, BC, & CD in orange) are being transferred to the Primary system as Route 599 due to a change in the nature and use of the road resulting from private development and amendment to the locality’s

Comprehensive Plan.

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Secondary Transfers (continued)

Code Section 33.2-314.B – Transfer from Secondary to Primary System Related to New Road Construction (Project Related)

Section 33.2-314.B transfers take place when the VDOT Chief Engineer recommends

that it is the appropriate action in connection with the completion of a construction or maintenance project.

Section 33.2-314.B transfers usually occur when VDOT or the locality constructs a new road, and as a result, all or a portion of the old road is transferred from the Secondary to the Primary system.

Upon recommendation by the Chief Engineer, the Commissioner may approve the transfer of these roads from the Secondary to the Primary system.

The locality must approve a resolution or a letter of support for the §33.2-314.B transfer.

This locality can be a county, a city, or incorporated town, depending on the location of the road to be transferred.

There is no annual mileage limitation for §33.2-314.B transfers.

For questions about whether a proposed transfer should use §33.2-314.A or §33.2-314.B, contact the Office of Land Use to discuss.

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Secondary Transfers (continued)

Example of §33.2-314.B Transfer

Segment BCD (in turquoise) is being transferred from the Secondary (was Rt. 707) to the Primary system (to become Rt. 55) in conjunction with this VDOT Project.

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g. Rural Additions

Rural Additions are public roads that qualify for state maintenance, but have not been

accepted by VDOT.

VDOT staff must first determine if candidate roads are eligible to be accepted as Rural Additions. The following are the general requirements for Rural Addition roads:

  1. The streets must have been shown on a plat that has been recorded or otherwise opened to public use and used by motor vehicles for at least 20 years and constantly open to public use
  2. At least 40 feet of right-of-way, or in the event of extenuating circumstances as defined in the CTB guidance, a minimum dedicated width of no less than 30 feet.
  3. Streets must have drainage easements and accommodations, which meet current storm water management requirements and policies.
  4. Right-of-way must be unrestricted and unencumbered by utility or other easements. The locality or the Commonwealth must have fee simple title to the right of way.

  5. Public Service Requirements for Rural Additions – Must serve at least three occupied dwelling units, excluding nonresidential units. Nonresidential units (e.g. business, industrial uses) can be present on a Rural Addition road, but the road must also include a minimum of three occupied dwelling units.

  6. Residency believes the road can safely accommodate anticipated traffic volume
  7. Roads must be physically connected to a road currently in the VDOT system or the Urban system.
  8. Special requirements if “speculative interest” exist. "Speculative interest" means that the original developer or a successor developer retains ownership in two or more lots abutting such street for development or speculative purposes. In instances where it is determined that speculative interest is involved, the governing body of the county shall require a pro rata participation by such original developer, developers, or successor developers as prescribed in §33.2-335.D as a condition for the county's recommendation for the addition.

In instances where it is determined that speculative interest exists, the basis

for the pro rata percentage required of such developer, developers, or successor developers shall be the proportion that the value of the abutting parcels owned or partly owned by the developer, developers, or successor developers bears to the total value of all abutting property as determined by the current valuation of the property for real estate purposes. If this process is not completed, the street(s) may not be accepted into the Secondary system as a Rural Addition.

68

[TABLE 68-1] In instances where it is determined that speculative interest exists, the basis for the pro rata percentage required of such developer, developers, or successor developers shall be the proportion that the value of the abutting parcels owned or partly owned by the developer, developers, or successor developers bears to the total value of all abutting property as determined by the current valuation of the property for real estate purposes.

[/TABLE]

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Rural Additions (continued)

  1. Section 55.1-308 of the Code of Virginia (see below) pertains to private roads which serve subdivisions of 50 or fewer lots for which the related right-of-way has NOT been dedicated for public use. Unlike regular Rural Additions where the right-of-way has been previously dedicated to public use, §55.1-308 provides a mechanism for localities to add older subdivision streets to the

VDOT system that meet all other Rural Addition requirements except for right-of-way dedication. In such cases, every lot owner must give written consent to have the right-of-way dedicated to public use, and this consent must be recorded with the locality’s Clerk of Court. This written consent must also be included with the Rural Addition HSC assembly that is sent to the Office of Land Use. Contact the Office of Land Use if you have any questions about this requirement.

§ 55.1-308. Private roads; public use; maintenance and improvements.

Notwithstanding any provision of a recorded deed or plat to the contrary, a private road serving a subdivision of 50 or fewer lots may be dedicated for public use and may be taken into the secondary state highway system, subject to the provisions and requirements set

forth in §§ 33.2-335 and 33.2-336, if the owner of the fee interest in such private road obtains the written consent of every lot owner in the subdivision whose lot is served by the private road and the holder of any restrictive covenant or easement rights over and concerning the private road prior to making such dedication and before requirements for acceptance of the road into the secondary state highway system are met. Such consent shall be recorded in the land records of the clerk's office of the circuit court of the county in which the private road is located.

The following are the general steps involved when a locality requests a Rural Addition:

  1. Homeowners who live on potential Rural Addition roads should contact the local VDOT Residency and the locality to determine if the road is eligible for the Rural Addition program and to determine if the project will be a Cost or No-Cost rural addition. The citizens should also discuss possible funding sources with the locality if road improvements are required.
  2. If the street is determined to be a “Qualifying” or Cost Rural Addition, Residency staff will inspect the road, prepare a list of improvements needed to meet VDOT minimum standards (if any), and prepare a cost estimate for said improvements. The cost estimate is used by the locality to identify funding sources and to determine pro rata participation amounts if speculative interest(s) exist. See the following section on Ineligible Project Costs for important restrictions/limitations on Rural Addition funding uses.

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Rural Additions – General Steps (continued)

  1. If no improvements are necessary to meet Rural Addition design standards, the locality can request the addition as a “No Cost” Rural Addition pursuant to §33.2-705 (see page 79 for Rural Addition minimum requirements).
  2. If improvements are needed, the street must first be formally added to the Secondary system pursuant to §33.2-335, because Rural Addition funds

cannot be expended on roads that are not legally in the VDOT system.

  • The resolution from the locality requesting the addition must also identify the source and amount of funding secured to make the roadway improvements. If a source of adequate funds is not identified, the road cannot be added as a Rural Addition.
  1. Once the Office of Land Use approves the addition, the VDOT Residency will establish a project UPC to track actual construction costs, and the allocated funding will be deposited. At this point, construction of the needed improvements can begin. Rural Additions can be constructed by a third party contractor under a duly advertised and awarded construction contract, or they can be constructed by state forces/hired equipment.
  • State forces/hired equipment construction contracts have funding limitations for actual project costs as defined in §33.2-234.

“No Cost” Rural Additions If roads do NOT need any improvements to be accepted as Rural Additions, these roads can be accepted as “No Cost” Rural Additions pursuant to §33.2-705. Residency staff should use the §33.2-705 No Cost Rural Addition resolution template which includes language specifically for a “No Cost” Rural Addition. “No Cost” Rural Additions do not require localities to post surety and fees to VDOT.

Qualified or “Cost” Rural Additions Qualified or “Cost” Rural Additions are roads which require physical improvements to be accepted into the Secondary system. This process will follow the general steps listed above. A “Cost” qualified Rural Addition resolution must identify the source(s) and amount of funding the locality has allocated for the roadway improvements (see resolution template on the Office of Land Use DOTi site).

Qualified Rural Additions must be accepted into the Secondary system BEFORE the expenditure of any Rural Addition funds by VDOT to improve a road(s). This order of

events is necessary because VDOT cannot improve a Qualified Rural Addition until it is legally accepted into the state system. Section 33.2-335 “Cost” Rural Additions do not require localities to post surety and fees to VDOT.

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Rural Additions (continued)

CTB Rural Addition Guidance

In February 1988, the CTB approved its Rural Addition Policy. In December 2017, VDOT repealed this policy as a regulatory document and re-classified it as a guidance

document.

CTB RURAL ADDITION GUIDANCE Approved by the Commonwealth Transportation Board on February 18, 1988

  1. Rural additions to the Secondary System of State Highways will be considered when requested by resolution of the Boards of Supervisors of the several counties where the proposed roads provide sufficient public service to warrant the expenditure of highway funds for maintenance and improvement thereof; provided, however, that a minimum 40’ unrestricted right of way plus additional widths for cuts and fills where necessary, along with adequate drainage easements, are established and recorded in the deed books of the county at no cost to the Commonwealth; except that a lesser right of way width, but not less than 30’, may be considered where buildings or permanent structures (not including fences) were in place prior to December 31, 1961 (date of the Transportation Board’s policy on right of way for the Secondary System). Further, the resolution of the Board of Supervisors shall specifically guarantee the necessary right of way and easements for the proposed road addition. Where a county has a policy requiring greater widths of right of way, its policy becomes the policy of the Commonwealth Transportation Board in that county.
  2. Rural additions to the Secondary System will be limited during any one fiscal year to not more than 1¼% of each county’s Secondary mileage at the end of the preceding calendar year, provided that the total mileage added to the system can be improved to a minimum standard for rural roads as established by the Department of Transportation with a maximum expenditure of not more than a sum equal to 5% of the allocation of construction funds for use on the Secondary System in such county.

  3. Streets within subdivisions developed prior to July 1, 1949, may be considered as rural additions in accordance with Sections 1 and 2 aforementioned, provided that neither the original developer, developers, nor successor developers retain speculative interest in property abutting such streets. Ownership or partnership in two or more parcels, or equivalent frontage, abutting such streets shall constitute a speculative interest for the purposes of this policy. The Board of Supervisors requesting the addition of such subdivision streets meeting the requirements of Sections 1 and 2 shall submit with its resolution of request a certified copy of a plat of the area involved indicating street right of way, drainage easements, and place of recordation of the plat, including a detailed listing of the lot ownership at the time of submission.

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March 2025

Rural Additions – CTB Guidance (continued)

  1. The addition of streets in subdivisions developed subsequent to July 1, 1949, and prior to the adoption of a subdivision control ordinance in the county, the street requirements of which are equal to or greater than the requirements of the Department of Transportation for subdivision streets, or prior to November 15, 1959, (date of revised the Transportation Board’s general policy on subdivision additions), whichever occurred first, may be considered under Sections 1 and 2 aforementioned provided all of the following are complied with: a. The county has passed a subdivision control ordinance having street requirements meeting or exceeding the Department of Transportation’s Subdivision Street Requirements. b. Neither the original developer, developers, nor successor developers retain a speculative interest in property abutting such streets. Ownership or partnership in two or more parcels, or equivalent frontage, abutting such streets shall constitute a speculative interest for the purposes of this policy. c. One-half of the Department of Transportation’s estimated cost for developing the streets to minimum rural standards as established by the Department of Transportation is donated through the county. d. A certified copy of the plat indicating street right of way, drainage easements, and place of recordation and a detailed record of lot ownership, along with the required donation, shall be furnished with the submission of the resolution requesting the addition.

  2. Where a county policy requires that a rural addition meeting the requirements of Section 1 be graded, drained, and surfaced to minimum standards for rural additions as established by the Department of Transportation or where this work has been accomplished by the property owners living thereon prior to recommendation for acceptance into the Secondary System, consideration may be given to the waiving of the mileage requirements. However, no consideration may be given to the waiving of the monetary limitations as set forth in Section 2 above, except with the express permission of the Commonwealth Transportation Commissioner.

  3. The Commonwealth Transportation Commissioner, through the Deputy Commissioner and Chief Engineer, is directed to set up standards and administrative procedures to see that the provisions of this policy are adhered to and complied with.

  4. All portions of the general policy for acceptance of subdivision streets into the Secondary System of State Highways, as approved by this Board on October 29, 1959 and subsequent revisions, in conflict with this policy are rescinded only to the extent of such conflict; and

  5. The Boards of Supervisors of the several counties are urgently requested to instruct their appointed viewers or road engineer to give careful consideration to the public necessity for any requested addition, and to carefully weigh the need for the addition against other road needs in the county, so that the program of improving existing secondary roads not be hindered by expenditures of available funds upon roads of questionable public service.

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Rural Additions – CTB Guidance (continued)

Minimum Standards for New Rural Additions to Secondary System

Traffic Volume (five years hence) Roadway Width Width & Type of Surface

Not more than 10 22 feet 14 feet, hard surface VPD 10 VPD to 25 VPD 22 feet 16 feet, hard surface

25 VPD to 50 VPD 24 feet 16 feet, hard surface

50 VPD to 100 VPD 24 feet 16 feet, hard surface Roadway width, base, and surface in accordance with criteria set forth in the agency’s Geometric Design Standards/Rural Local Road Over 100 VPD System for the applicable terrain classification and anticipated traffic volume.

Grades and alignment for any Rural Addition shall not be less stringent than the minimums as set forth in the Geometric Design Standards/Rural Local Road System of the Road Design Manual for the applicable terrain classification and anticipated traffic volume.

Any bridge located on a Rural Addition shall be constructed to the applicable width and capacity as set forth in the Geometric Design Standards/Rural Road System of the Road Design Manual for the anticipated traffic volume.

It is recommended that the Guidelines for RRR Projects (VDOT’s “Resurfacing, Restoration and Rehabilitation” Guidelines) located in Appendix A-4 of the Road Design Manual be followed.

Deviations from the above shall be justified and approved by the Office of Land Use.

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[TABLE 73-1] Traffic Volume (five years hence) | Roadway Width | Width & Type of Surface Not more than 10 VPD | 22 feet | 14 feet, hard surface 10 VPD to 25 VPD | 22 feet | 16 feet, hard surface 25 VPD to 50 VPD | 24 feet | 16 feet, hard surface 50 VPD to 100 VPD | 24 feet | 16 feet, hard surface Over 100 VPD | Roadway width, base, and surface in accordance with criteria set forth in the agency’s Geometric Design Standards/Rural Local Road System for the applicable terrain classification and anticipated traffic volume. | Grades and alignment for any Rural Addition shall not be less stringent than the minimums as set forth in the Geometric Design Standards/Rural Local Road System of the Road Design Manual for the applicable terrain classification and anticipated traffic volume. | | Any bridge located on a Rural Addition shall be constructed to the applicable width and capacity as set forth in the Geometric Design Standards/Rural Road System of the Road Design Manual for the anticipated traffic volume. | |

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Rural Additions (continued)

Physical and Right-of-Way Requirements for Rural Additions Qualified Rural Additions can utilize the design standards in VDOT’s “Resurfacing, Restoration and Rehabilitation” (RRR) Guidelines within VDOT’s Road Design Manual, the AASHTO Guidelines for Geometric Design of Low-Volume Roads, and the 1988 CTB

Guidance on Rural Additions. These design standards may be used for Rural Addition improvements, except that pavement width, ROW width, and pavement type must meet the minimum standards established in the CTB’s Rural Additions Guidance.

Improvements may exceed VDOT standards, provided the costs in excess of the prescribed minimum is funded by sources other than those administered by VDOT.

A formal agreement with the county is required if a stormwater management facility receives runoff from the road or the road crosses a dam or an extrinsic structure. Any and all agreements must be in force before the road is accepted as part of the system.

Copies of any such agreements are to be included in the Highway System Change assembly sent to the Office of Land Use when the street is added to the system.

Ineligible Rural Addition Project Costs Rural Addition funds administered by VDOT are reserved for engineering costs and construction only. Costs for providing a clear, unencumbered ROW and any relocation of such items as utilities, mailboxes, fences, septic systems, and wells are ineligible costs

and cannot be funded with Rural Addition funds administered by VDOT. The county must obtain separate financing for such costs.

Rural Addition Funding Options for Road Improvements

  1. Rural Addition Funds
  • Counties are allowed to set aside five percent of the Secondary road construction funds they are allocated in order to improve qualifying roads that are not state maintained, within the funding and mileage limitations as given in the CTB Rural Addition Guidance. Rural Addition Funds do not require a locality match.
  1. Revenue Sharing Funds in accordance with §33.2-357.
  • Local match required (1:1 match for state funds)

  • Projects must be started within 1 year of allocation

  • Revenue sharing funds used for rural additions are restricted to subdivision streets.

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Rural Additions (continued)

  1. Local Funds
  • County’s general fund. There are no funding limitations for this funding source.
  • Special assessment of the landowners served. Localities can use this type of funding in conjunction with Rural Addition Funds, provided that the special assessment accounts for at least one-half of the project costs. o In order to use this funding, §33.2-335 stipulates that special assessments cannot be done unless 75% or more of the landowners of the abutting parcels agree to the assessment.
  • Revenue derived from the sale of bonds
  • The locality may permit one or more of the landowners abutting the street to pay one-half of the qualifying costs. Thereafter, the locality shall use funds collected via special assessment to reimburse said

landowner(s).

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General Rural Addition Review & Acceptance Process

Homeowners contact locality and VDOT Residency staff assists VDOT Residency to determine if locality with the “No Cost” roads are eligible for Rural Addition Rural Addition 33.2-705 program (see “Rural Addition process and prepares the General Requirements” for details) locality resolution Locality approves resolution If the road is Rural Addition eligible, and VDOT Residency sends VDOT staff will complete a site visit to RIMS assembly to the Office determine if any physical improvements No of Land Use are required for acceptance Office of Land Use reviews and accepts No Cost Rural Are physical Addition improvements required for street acceptance?

Yes

VDOT Residency prepares list of required improvements consistent with the Guidance in this Manual and the Subdivision Street Design Guide. This list also contains a cost estimate to complete the improvements.

VDOT Residency sends the list and Street(s) is ineligible to be cost estimate to the homeowners and accepted as a Rural locality officials Addition No

Has locality Are Speculative Yes assured pro rata Interests involved? participation? VDOT Residency sends RIMS assembly to the Office of Land Use No Yes Has the locality Improvements are not secured funding for made and road cannot Office of Land Use reviews necessary No be added as a Rural and accepts 33.2-335 “Cost” improvements? Addition Rural Addition – Residency is notified of acceptance Yes Accepted “Cost” Rural Addition Locality approves resolution for road can now be improved 33.2-335 “Cost” Rural Addition using the locality identified which identifies funding source. funding

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[TABLE 76-1] N | o

[/TABLE]

[TABLE 76-2] Y | es

[/TABLE]

[TABLE 76-3] | | Has locality assured pro rata participation? | Yes | Has the locality secured funding for necessary improvements? | |

[/TABLE]

[TABLE 76-4] Ye

[/TABLE]

[TABLE 76-5] N | o

[/TABLE]

[TABLE 76-6] No

[/TABLE]

[TABLE 76-7] Y | es

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Example of a Rural Addition

In this example, the 1.37 mile segment AB (in red) of Route 900 (Grouse Ridge Road), is being added to the Secondary system as a Rural Addition pursuant to §33.2-335.

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h. Town Additions – Populations Under 3,500

Incorporated towns with populations under 3,500 may add Secondary roads to the state system pursuant to §33.2-339 or §33.2-340. Towns selected which of these Code sections would be used for additions.

The list of Virginia towns which are governed by §33.2-339 and §33.2-340 are included in Appendix “H” of this Guide.

When requesting a Town addition pursuant to §33.2-339 or §33.2-340, the resolution is approved by the Town Council.

In the event a town desires to change the Code section under which it adds roads, it must make this request to the CTB.

Towns may also add streets pursuant to §33.2-705 in accordance with the SSR/SSAR.

Town additions pursuant to §33.2-705 are required to post surety and fees, and the resolution must be approved by the county Board of Supervisors. A letter or resolution of support from the Town is not required but is recommended.

The major differences in these statutes are as follows

  • §33.2-339 – The total length of additions in a town operating under this statute is limited to 0.25 centerline miles per fiscal year. Although §33.2-339 is silent on design requirements, it has been the long-standing policy of the CTB that

new Secondary additions meet the current VDOT minimum standards in place at the time of said additions. It is recommended that the RRR Guidelines in Appendix A-4 of the Road Design Manual be used in the development of town streets to be added pursuant to §33.2-339. In addition to this requirement, the Resident Administrator/Engineer has the authority to determine if the road(s) should be accepted pursuant to §33.2-339. Section 33.2-339 town additions do not require localities to post surety and fees.

  • §33.2-340 – There is no mileage limitation for additions that can be approved within a fiscal year pursuant to this Code section. However, §33.2-340 provides specific requirements for pavement widths, pavement type, and ROW widths that must be in place at the time of the addition. Because certain §33.2-340 Town additions must meet SSAR requirements (see the following table of Town addition minimum standards), surety and fees are applicable. If a town is the developer of roads to be added pursuant to §33.2-340 and a surety is required,

the town has the option to provide surety via resolution from the town’s governing body.

Sample resolutions for §33.2-339 and §33.2-340 town additions can be found on the Office of Land Use DOTi site.

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Town Additions (continued)

Minimum Standards for Town Additions (Population Under 3,500) §33.2-339 Additions (Maximum Mileage Allowed = 0.25 Mile per Fiscal Year)

  • Unrestricted ROW Width – 30 feet minimum
  • Pavement Width – 16 feet minimum
  • Pavement Type – Hard Surface

Minimum Standards for Town Additions (Population Under 3,500) §33.2-340 Additions (No Y early Mileage Limitations)

For Streets Established & Unrestricted Right Pavement Pavement Used by Motor Vehicles of Way Width Width Type Before July 1, 1950 30 feet minimum 12 feet minimum Hard Surface*

50 feet minimum 20 feet minimum Hard Surface After July 1, 1950 & established by the locality After January 1, 1996 for streets functionally classified as local streets Current Current Current that meet current VDOT SSAR/SSR SSAR/SSR SSAR/SSR standards for pavement Requirements Requirements Requirements width and right of way width In this context “Hard Surface” means surface treatment, plant mix asphalt, or concrete pavement.

Drainage easements for all town additions should be of sufficient size and dimension so as to be compliant with the applicable storm water management regulations and requirements in place at the time of the addition.

The Code sections and procedures for the abandonment and discontinuance of town streets are the same as for any other type of Secondary abandonment or discontinuance.

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[TABLE 79-1] | | | Unrestricted Right of Way Width | Pavement Width | Pavement Type | For Streets Established & | | | | | Used by Motor Vehicles | | | | Before July 1, 1950 | | | 30 feet minimum | 12 feet minimum | Hard Surface After July 1, 1950 & established by the locality | | | 50 feet minimum | 20 feet minimum | Hard Surface After January 1, 1996 for streets functionally classified as local streets that meet current VDOT standards for pavement width and right of way width | | | Current SSAR/SSR Requirements | Current SSAR/SSR Requirements | Current SSAR/SSR Requirements

[/TABLE]

[TABLE 79-2] Unrestricted Right of Way Width

[/TABLE]

[TABLE 79-3] Pavement Width

[/TABLE]

[TABLE 79-4] Pavement Type

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Town Additions (continued)

Example of a §33.2-339 Town Addition

The example below shows three segments, AB, AC, and DE (in red), being added to the Secondary system pursuant to §33.2-339.

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i. Public School Access Roads - §33.2-325

Roads accessing public schools that connect to VDOT or other publicly maintained streets may be accepted into the state’s Secondary system. The main function of these roads is to provide school buses and other vehicles access to school buildings. Public school access roads are given 9000 series route numbers. These school roads are a subset of public roads over which school authorities exercise limited police powers

regarding access and use of the road.

In order for a public school road to be accepted into the Secondary system, the local school system should coordinate with the local governing body to approve a §33.2-325 resolution and complete the acceptance process. Upon receipt of the approved resolution, the Residency completes a HSC assembly which is sent to the Office of Land Use for final approval (see Office of Land Use DOTi site for a resolution template).

Section 33.2-325 public school access roads do not require localities to post surety and fees.

Prior to street acceptance, school access road must be constructed to the applicable standards for the anticipated traffic. The standards for school access roads are included in Section 8 of Appendix B(1) in VDOT’s Road Design Manual and Appendix H of this Guide.

The accepted roadway must be clearly defined and distinctly not a portion of a parking

lot; however, the travel way through a parking lot may be added as a public school access road.

The School Board and the Board of Supervisors together must guarantee an unencumbered ROW or a perpetual easement. The resolution for a §33.2-325 public school road addition, located in a town less than 3,500 in population that does not maintain its roads, must be approved by the county, not the Town Council, because the schools are under the county’s jurisdiction.

The right-of-way for new school access roads shall be of a sufficient width to accommodate all roadway elements intended for VDOT maintenance, but in no case shall the right-of-way width be less than 40 feet, pursuant to the design requirements given in VDOT’s Road Design Manual.

In the event that a road serves land uses other than a school, the portion of the addition that lies beyond the school’s property will be considered as a normal Secondary system addition and not a school access road. When this occurs, the entire Secondary road needs to meet the design requirements of the governing regulation (SSAR or SSR) and the portion of the road serving the non-school use will be assigned a different route

number.

The Code sections and procedures for the abandonment and discontinuance of public school access roads are the same as for any other type of Secondary abandonment or discontinuance

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Public School Access Roads (continued)

Example of a §33.2-325 Public School Access Road Addition

In the sketch below, the 0.31 mile segment AB (in red) is being added to the Secondary

system as a §33.2-325 Public School Access Road for a public elementary school.

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j. VDOT Projects and Highway System Changes

As previously stated in the Primary system section of this Guide, all Projects that change the centerline mileage of a road must complete the HSC process. This process is required to give VDOT the legal authority to expend public funds for maintenance of a new (or improved) roadway and to maintain an accurate inventory record for maintenance budgeting purposes.

These required HSCs will follow the guidance and processes outlined in this document.

If VDOT staff has any questions regarding HSCs for VDOT Projects, the Office of Land Use should be contacted.

k. Locally Administered Projects (LAP’s)

Localities may use county or town funds to construct new roads or to make highway changes. These projects may also include state or federal funds to be completed. VDOT assists localities with the administration and construction of these projects through Local Administered Projects (LAP) staff at the District level. LAP’s are assigned VDOT project numbers and UPC’s. Examples of some LAP’s are Revenue Sharing projects, Economic Development Access projects, Recreational Access projects, and Enhancement projects.

Highway system changes that are constructed by LAPs which do not receive any CTB allocated funds require localities to post surety and fees to VDOT.

Depending on the type of highway system changes, the Code sections used for administering the changes resulting from LAP’s are the same as those used for any other type of highway system change. If you are unsure which Code section needs to be used for HSC’s resulting from locally administered projects, please contact your Residency, District Land Use staff, or the Office of Land Use.

l. Recreational Access Roads & Economic Development Access Road Projects Additions can be made to the Secondary system that are a result of Recreational Access and Economic Development Access projects. These programs are administered by VDOT’s Local Assistance Division and related staff at the Districts. Recreational and

economic access road additions do not require localities to post surety and fees to VDOT.

When these projects are in localities for which VDOT maintains streets, a highway system change assembly is required for all projects that change centerline miles (e.g. addition, abandonment). The locality resolution will contain language stating that all applicable VDOT standards have been met, and it will request that the related Secondary system

changes be approved by VDOT. The HSC assembly will also include the CTB resolution allocating the related access funds. The applicable Secondary system Code sections (e.g. §33.2-705, §33.2-912) are used for these changes.

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  1. Appendix Sections

There are various issues that may affect the highway system change process. The Appendices include instructional information on highway system change related topics to better assist VDOT staff in the administration of the highway system change process.

This section of the Guide includes the following appendices

a. Guide to Highway System Legal Changes b. History of the Secondary System of State Highways c. Commonwealth Transportation Board Highway System Change Process

and Approval Documents d. Guidelines for Virtual Public Participation for Highway Changes e. SSAR Refresher Section f. R-O-W Types and Related Information g. Local Street Construction Inspection Programs h. Minimum Standards for Public School Roads i. Special Measurements j. Towns Governed by §33.2-339 and §33.2-340 for Additions k. Locality Resolutions and Letter of Support l. SSAR and SSR Sureties and Fees m. Agreements n. RIMS System and HSC Assemblies o. Data Corrections p. Length Corrections in RIMS q. Highway System Change Sketch Standards and Examples r. Submitting Highway System Change Assemblies

s. VDOT Abandonment and Discontinuance Confirmation Form t. Appeal of Abandonments & Discontinuances After Approval u. Highway Research Requests v. Transfers of Roads Between the VDOT & Urban Systems w. Glossary

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a. Guide to Highway System Legal Changes

The following table contains the majority of the highway changes that are made and includes the Code section, a description of the change, the local action required, and the individual or group which has the authority to approve the action. The Primary and Secondary Road sections of the Guide contain detailed information about each of these

system changes.

Primary System Code Description Requirements §33.2-310 Additions to Primary 1. Description: Additions to Primary System Route – Involving when the relocation of a road is involved.

Primary Relocations This usually takes place in conjunction with an abandonment or discontinuance.

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: Commissioner approves construction via VDOT Programming and Office of Land Use accepts completed project in RIMS

§33.2- Additions to Primary 1. Description: Additions to Primary System 314.A Route – Involving New when a new road or a bypass is built Primaries & Bypasses 2. Local Action: Local Governing Body resolution or letter of support

  1. Approval Authority: Commonwealth Transportation Board (CTB) approval §33.2- Abandonment of 1. Description: Abandonment of a Primary 902 Primary Route - Route when a replacement road is NOT Without Replacement built. Public notification process required.

Road 2. Agency Action: Public hearing willingness to abandon is posted

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: Commonwealth Transportation Board (CTB) approval

Note: There is a maximum of four months allowed between public hearing/posting of willingness and when the abandonment is addressed by the CTB. If this period is longer than four months, the process must be restarted.

85

[TABLE 85-1] Primary System | | Code | Description | Requirements §33.2-310 | Additions to Primary Route – Involving Primary Relocations | 1. Description: Additions to Primary System when the relocation of a road is involved.

This usually takes place in conjunction with an abandonment or discontinuance.

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: Commissioner approves construction via VDOT Programming and Office of Land Use accepts completed project in RIMS §33.2-314.A | Additions to Primary Route – Involving New Primaries & Bypasses | 1. Description: Additions to Primary System when a new road or a bypass is built
  3. Local Action: Local Governing Body resolution or letter of support
  4. Approval Authority: Commonwealth Transportation Board (CTB) approval §33.2-902 | Abandonment of Primary Route -Without Replacement Road | 1. Description: Abandonment of a Primary Route when a replacement road is NOT built. Public notification process required.
  5. Agency Action: Public hearing willingness to abandon is posted
  6. Local Action: Local Governing Body resolution or letter of support
  7. Approval Authority: Commonwealth Transportation Board (CTB) approval Note: There is a maximum of four months allowed between public hearing/posting of willingness and when the abandonment is addressed by the CTB. If this period is longer than four months, the process must be restarted.

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§33.2- Abandonment of 1. Description: Abandonment to the Primary 906 Primary Route - With System involving the construction of a Replacement Road OR replacement road(s) which serves the same Related to a users as the abandoned road(s) OR an Construction or abandonment directly related to a Maintenance Project construction or maintenance project without

a replacement road (use of latter alternative must be approved by Chief Engineer)

  1. Local action: Local Governing Body resolution or letter of support
  2. Approval Authority: Chief of Policy has authority to approve via VDOT Commissioner delegation of authority §33.2- Discontinuance of 1. Description: Discontinuance of a Primary 901 Primary Route Route (do not pursue §33.2-901 Primary discontinuances after October 2024)
  3. Local Action: Local Governing Body resolution or letter of support
  4. Approval Authority: CTB approval §33.2- Transfer – From 1. Description: Takes place most often when 315.A Primary to Secondary a locality wants an existing road transferred

System or from from the Primary to the Secondary System Primary to Urban (no new related road construction takes System (Transfer not place). Also used when a road is related to new road transferred from the VDOT Primary to the construction) Urban system.

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: CTB approval Note: Total statewide non-construction §33.2-315.A transfers cannot exceed 150 miles per fiscal year §33.2- Transfer – From 1. Description: Transfer associated with the 315.B Primary to Secondary construction of a road(s) related to a Land System (Transfer Use, VDOT construction project, related to new road maintenance project, locally administered construction) project, etc.

  3. Local Action: Local Governing Body resolution or letter of support

  4. Approval Authority: VDOT Commissioner approval with Chief Engineer’s recommendation Note: There is no mileage limitation related to this type of construction associated transfer

86

[TABLE 86-1] §33.2-906 | Abandonment of Primary Route - With Replacement Road OR Related to a Construction or Maintenance Project | 1. Description: Abandonment to the Primary System involving the construction of a replacement road(s) which serves the same users as the abandoned road(s) OR an abandonment directly related to a construction or maintenance project without a replacement road (use of latter alternative must be approved by Chief Engineer)

  1. Local action: Local Governing Body resolution or letter of support
  2. Approval Authority: Chief of Policy has authority to approve via VDOT Commissioner delegation of authority §33.2-901 | Discontinuance of Primary Route | 1. Description: Discontinuance of a Primary Route (do not pursue §33.2-901 Primary discontinuances after October 2024)
  3. Local Action: Local Governing Body resolution or letter of support
  4. Approval Authority: CTB approval §33.2-315.A | Transfer – From Primary to Secondary System or from Primary to Urban System (Transfer not related to new road construction) | 1. Description: Takes place most often when a locality wants an existing road transferred from the Primary to the Secondary System (no new related road construction takes place). Also used when a road is transferred from the VDOT Primary to the Urban system.
  5. Local Action: Local Governing Body resolution or letter of support
  6. Approval Authority: CTB approval Note: Total statewide non-construction §33.2-315.A transfers cannot exceed 150 miles per fiscal year §33.2-315.B | Transfer – From Primary to Secondary System (Transfer related to new road construction) | 1. Description: Transfer associated with the construction of a road(s) related to a Land Use, VDOT construction project, maintenance project, locally administered project, etc.
  7. Local Action: Local Governing Body resolution or letter of support
  8. Approval Authority: VDOT Commissioner approval with Chief Engineer’s recommendation Note: There is no mileage limitation related to this type of construction associated transfer

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§33.2- Additions to State 1. Description: Additions to state park roads 311 Parks 2. Local Action: Department of Conservation and Recreation letter of request

  1. Approval Authority: VDOT Commissioner approval

§33.2- Addition of Institutional 1. Description: Additions to state institutional 313 Roads (e.g. State roads such as state colleges, universities, university, prison) prisons, and psychiatric facilities

  1. Local Action: Resolution or letter of request from the related Governing Board (e.g.

University Board, Department of Corrections)

  1. Approval Authority: Office of Land Use Director or Highway Systems Program Manager via delegation from the Commissioner VDOT must submit all U.S. Highway and Interstate route changes to AASHTO and FHWA (for Interstates only) for final approval.

Secondary System

Code Description Requirements §33.2- Additions to Secondary 1. Description: Most Additions to Secondary 705 Route System including “No Cost” Rural Additions

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: Office of Land Use via delegation from the Commissioner §33.2- Abandonment of 1. Description: Abandonment of a Secondary 909 Secondary Route – Route when a replacement road is NOT Without Replacement built. Public notification process required.

Road 2. Local Action: Local Governing Body resolution, including Code-required public notice of intent to abandon as well as notification of abandonment action to

VDOT

  1. Approval Authority/Official Response: Office of Land Use, via delegation from the Commissioner, accepts the abandonment Note: Locality notifies Department of Wildlife Resources if abandonment ends at water or affects a public boat landing

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[TABLE 87-1] §33.2-311 | Additions to State Parks | 1. Description: Additions to state park roads

  1. Local Action: Department of Conservation and Recreation letter of request
  2. Approval Authority: VDOT Commissioner approval §33.2-313 | Addition of Institutional Roads (e.g. State university, prison) | 1. Description: Additions to state institutional roads such as state colleges, universities, prisons, and psychiatric facilities
  3. Local Action: Resolution or letter of request from the related Governing Board (e.g.

University Board, Department of Corrections)

  1. Approval Authority: Office of Land Use Director or Highway Systems Program Manager via delegation from the Commissioner

[/TABLE]

[TABLE 87-2] Secondary System | | Code | Description | Requirements §33.2-705 | Additions to Secondary Route | 1. Description: Most Additions to Secondary System including “No Cost” Rural Additions

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: Office of Land Use via delegation from the Commissioner §33.2-909 | Abandonment of Secondary Route – Without Replacement Road | 1. Description: Abandonment of a Secondary Route when a replacement road is NOT built. Public notification process required.
  3. Local Action: Local Governing Body resolution, including Code-required public notice of intent to abandon as well as notification of abandonment action to

VDOT

  1. Approval Authority/Official Response: Office of Land Use, via delegation from the Commissioner, accepts the abandonment Note: Locality notifies Department of Wildlife Resources if abandonment ends at water or affects a public boat landing

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§33.2- Abandonment of 1. Description: Abandonment of a Secondary 912 Secondary Route – Route involving the construction of a With Replacement replacement road(s) which serves the Road OR Related to same users as the abandoned road(s) OR VDOT Construction or an abandonment directly related to a Maintenance Project construction or maintenance project without

a replacement road (use of latter alternative must be approved by Chief Engineer)

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: Chief of Policy has authority to approve via VDOT Commissioner delegation of authority §33.2- Discontinuance – 1. Description: Discontinuance of a 908.B Secondary Secondary road when no replacement Discontinuance with No road(s) is constructed. Public notification road replacement process required. constructed 2. Local Action: Local Governing Board resolution
  3. Approval Authority: CTB approval

§33.2- Discontinuance – 1. Description: Discontinuance to the 908.C Secondary Secondary system involving the Discontinuance with the construction of a replacement road(s) construction of a which serve the same users as the replacement road OR discontinued road(s) OR an abandonment related to a directly related to a construction or Construction or maintenance project without a replacement Maintenance Project road (use of latter alternative must be approved by Chief Engineer)

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: VDOT Commissioner §33.2- Transfer – From 1. Description: Transfer from the Secondary 314.A Secondary to Primary to the Primary system that is not related to System (Transfer not the construction of a new road(s) related to new road 2. Local Action: Local Governing Body

construction) resolution or letter of support

  1. Approval Authority: CTB approval Note: Total statewide §33.2-314.A transfers cannot exceed 50 miles per fiscal year §33.2- Transfer – From 1. Description: Transfer from the Secondary 314.B Secondary to Primary to Primary system related to the System (Transfer construction of a road(s) related to new road 2. Local Action: Local Governing Body construction) resolution or letter of support
  2. Approval Authority: VDOT Commissioner

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[TABLE 88-1] §33.2-912 | Abandonment of Secondary Route – With Replacement Road OR Related to VDOT Construction or Maintenance Project | 1. Description: Abandonment of a Secondary Route involving the construction of a replacement road(s) which serves the same users as the abandoned road(s) OR an abandonment directly related to a construction or maintenance project without a replacement road (use of latter alternative must be approved by Chief Engineer)

  1. Local Action: Local Governing Body resolution or letter of support
  2. Approval Authority: Chief of Policy has authority to approve via VDOT Commissioner delegation of authority §33.2-908.B | Discontinuance – Secondary Discontinuance with No road replacement constructed | 1. Description: Discontinuance of a Secondary road when no replacement road(s) is constructed. Public notification process required.
  3. Local Action: Local Governing Board resolution
  4. Approval Authority: CTB approval §33.2-908.C | Discontinuance – Secondary Discontinuance with the construction of a replacement road OR related to a Construction or Maintenance Project | 1. Description: Discontinuance to the Secondary system involving the construction of a replacement road(s) which serve the same users as the discontinued road(s) OR an abandonment directly related to a construction or maintenance project without a replacement road (use of latter alternative must be approved by Chief Engineer)
  5. Local Action: Local Governing Body resolution or letter of support
  6. Approval Authority: VDOT Commissioner §33.2-314.A | Transfer – From Secondary to Primary System (Transfer not related to new road construction) | 1. Description: Transfer from the Secondary to the Primary system that is not related to the construction of a new road(s)
  7. Local Action: Local Governing Body resolution or letter of support
  8. Approval Authority: CTB approval Note: Total statewide §33.2-314.A transfers cannot exceed 50 miles per fiscal year §33.2-314.B | Transfer – From Secondary to Primary System (Transfer related to new road construction) | 1. Description: Transfer from the Secondary to Primary system related to the construction of a road(s)
  9. Local Action: Local Governing Body resolution or letter of support
  10. Approval Authority: VDOT Commissioner

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§33.2- Addition of Public 1. Description: Access road addition from an 325 School Roads – existing publicly maintained road to public Elementary, Middle and school buildings High School 2. Local Action: Local Governing Body resolution

  1. Approval Authority: Office of Land Use via

delegation from the Commissioner §33.2- Rural Addition – 1. Description: A qualified Rural Addition 335 Requiring Funds for which requires funds to be improved to Improvements meet VDOT standards

  1. Local Action: Local Governing Body resolution listing funding amounts and sources
  2. Approval Authority: Office of Land Use via delegation from the Commissioner §33.2- Town Addition 1. Description: This type of Addition uses 339 (Population less than Secondary funds but does not need to 3,500) – Road does meet specific VDOT standards – any NOT need to meet design requirements are at the discretion of VDOT standards the RA/RE (see note below regarding mileage limitation)

  3. Local Action: Local Governing Body resolution

  4. Approval Authority: Office of Land Use via delegation from the Commissioner Notes: No more than ¼ mile per fiscal year per locality. A town operates either under 33.2-339 or 33.2-340 (it cannot use both). §33.2- Town Addition 1. Description: This type of Town Addition 340 (Population less than needs to meet the ROW and design 3,500) – Road must requirements of §33.2-340, but does not meet minimal standards have an annual mileage limit
  5. Local Action: Local Governing Body resolution
  6. Approval Authority: Office of Land Use via delegation from the Commissioner Note: A town operates either under 33.2-339

or 33.2-340 (it cannot use both).

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[TABLE 89-1] §33.2-325 | Addition of Public School Roads – Elementary, Middle and High School | 1. Description: Access road addition from an existing publicly maintained road to public school buildings

  1. Local Action: Local Governing Body resolution
  2. Approval Authority: Office of Land Use via delegation from the Commissioner §33.2-335 | Rural Addition – Requiring Funds for Improvements | 1. Description: A qualified Rural Addition which requires funds to be improved to meet VDOT standards
  3. Local Action: Local Governing Body resolution listing funding amounts and sources
  4. Approval Authority: Office of Land Use via delegation from the Commissioner §33.2-339 | Town Addition (Population less than 3,500) – Road does NOT need to meet VDOT standards | 1. Description: This type of Addition uses Secondary funds but does not need to meet specific VDOT standards – any design requirements are at the discretion of the RA/RE (see note below regarding mileage limitation)
  5. Local Action: Local Governing Body resolution
  6. Approval Authority: Office of Land Use via delegation from the Commissioner Notes: No more than ¼ mile per fiscal year per locality. A town operates either under 33.2-339 or 33.2-340 (it cannot use both). §33.2-340 | Town Addition (Population less than 3,500) – Road must meet minimal standards | 1. Description: This type of Town Addition needs to meet the ROW and design requirements of §33.2-340, but does not have an annual mileage limit
  7. Local Action: Local Governing Body resolution
  8. Approval Authority: Office of Land Use via delegation from the Commissioner Note: A town operates either under 33.2-339 or 33.2-340 (it cannot use both).

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b. History of the Secondary System of State Highways

Prior to the Byrd Road Act of 1932, commonly referred to as the “Byrd Act,” the administrative responsibility for local public roads was under the jurisdiction of the local governing body of each county. Before this legislation, the “Secondary system of state

highways” did not exist.

Under the Byrd Act, the General Assembly transferred the authority to maintain and control these local roads from the counties to the state, creating the Secondary system.

The exceptions to this legislation were those counties that elected to continue the maintenance of their county roads. The Byrd Act created the Secondary system of state highways and placed it under the jurisdiction of the Virginia Department of Transportation

(VDOT).

Arlington, Henrico, Elizabeth City, and Warwick Counties originally elected to continue to maintain their own local roads. Only Arlington and Henrico Counties continue to control non-Primary roads. Elizabeth City was annexed by the City of Hampton, and Warwick County was annexed by the City of Newport News.

The Byrd Act continued certain powers of the local governing bodies, including the powers to create or establish new public roads and the authority to extinguish the rights of the public to use certain public roads. For this reason, each element of the Secondary

system of state highways begins as a road developed with the local governing body’s acceptance of a road as part of the county’s local network of public roads. This is a prerequisite for any new local road to be accepted by VDOT for maintenance.

Through partnership between state and local governments, the local governing bodies retain certain legislative authorities while others are delegated to VDOT. Chief among these is the underlying basis of VDOT’s authority:

“The control, supervision, management and jurisdiction over the secondary system of state highways shall be vested in the Department of Transportation and the maintenance and improvement, including construction and reconstruction, of such secondary system of state highways shall be by the Commonwealth under the supervision of the Commonwealth Transportation Commissioner.” -- §33.2-326 of the Code of Virginia

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c. Commonwealth Transportation Board Highway System Change Process and Approval Documents

The most common VDOT highway system changes which require Commonwealth Transportation Board (CTB) approval are:

  1. Section 33.2-314.A – Addition of a new Primary road or bypass
  2. Section 33.2-902 – Abandonment of a Primary road without a corresponding replacement road
  3. Section 33.2-901 – Discontinuance of a Primary route
  4. Section 33.2-315.A – Transfer of a Primary to a Secondary route which is not related to new road construction and Primary to Urban system transfer
  5. Section 33.2-908.B – Discontinuance of a Secondary road without a corresponding replacement road
  6. Section 33.2-314.A – Transfer of a Secondary to a Primary route which is not related to new road construction

When VDOT staff is working with a locality on one of the above highway changes, the Office of Land Use needs to be informed about this as soon as possible. There are three

main reasons for this

  1. There is a statutory time limit for the CTB to approve §33.2-902 abandonments. If this statutory time limit is not met, the entire highway system change process must be repeated from the beginning.
  2. All action items to be placed on CTB agendas must be reviewed and approved by VDOT’s Governance Division. The Office of Land Use staff must draft the CTB resolution approving the action and a related CTB decision brief and can only create these documents after the complete highway assembly has been received.
  3. Each month CTB items must meet deadlines to be placed on the Board’s next agenda. If this deadline is not met, the highway change must wait until the next CTB meeting.

Prior to the CTB meeting, the District or Residency is required to contact the district’s CTB member to discuss the action item(s). The purpose of this communication is to inform the member of the item, to provide the member the Residency’s recommendation, and to

answer any questions the member may have.

If you have any questions about a potential highway change that requires CTB approval, contact the Office of Land Use.

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d. Guidelines for Virtual Public Participation for Highway Changes

Certain highway system changes require public hearings to be offered or held. This is mandated by the Code of Virginia.

Beginning in 2020, VDOT Land Use staff was required to balance this public hearing requirement with state restrictions related to gatherings in response to the COVID-19

pandemic. As a result, Bristol District staff developed the approach below. This hybrid approach encourages virtual participation as the primary means for providing public comment, while providing alternatives for those citizens without the capability or resources for virtual participation. This document is also located on the Office of Land Use DOTi site for easier access.

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[TABLE 92-1] Certain highway system changes require public hearings to be offered or held. This is mandated by the Code of Virginia.

[/TABLE]

[TABLE 92-2] Beginning in 2020, VDOT Land Use staff was required to balance this public hearing requirement with state restrictions related to gatherings in response to the COVID-19 pandemic. As a result, Bristol District staff developed the approach below. This hybrid approach encourages virtual participation as the primary means for providing public comment, while providing alternatives for those citizens without the capability or resources for virtual participation. This document is also located on the Office of Land Use DOTi site for easier access.

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Highway Change Public Hearings with Virtual Meetings (continued)

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e. SSAR Refresher Section

Prior to 2009, VDOT administered the 2005 Subdivision Street Requirements (SSR). This regulation governed the addition of most Secondary streets not constructed by VDOT.

In 2007, the General Assembly enacted §33.2-334 which directed the CTB to develop acceptance requirements that would improve the connectivity of road and pedestrian

networks, minimize stormwater runoff and impervious surfaces, and update performance bonding and administrative cost recovery fees.

The first edition of this new regulation, titled the Secondary Street Acceptance Requirements (SSAR), was approved by the CTB in February 2009.

In 2011, following a period of poor economic activity, the 2011 General Assembly approved Chapter 870 which required the CTB to solicit public comments and revise the SSAR. As a result, the SSAR experienced a great deal of change and reduced a number of its previous requirements.

In 2022, the General Assembly enacted Chapter 425 to amend the SSAR so that it “shall include flexibility to limit the number of connections to adjacent property or highway networks as deemed appropriate.” This action directed VDOT to convene a stakeholder advisory group to make recommendations for regulatory amendments in response to the legislation. This group met during 2022 and 2023 to develop recommendations for

revisions. This group was composed of representatives from development industry, local government (including emergency services), environmental advocacy organizations, and VDOT staff.

The Chapter 425 revisions to the SSAR became effective on December 18, 2024. These changes include the following:

  1. Clarify language associated with connectivity constraints by using “including but not limited to” as opposed to “such as” when listing reasons for connectivity exceptions
  2. Add “underground utility trunk easement” as an explicit reason for approving a SSAR connectivity exception
  3. New reason to approve SSAR connectivity exception: Each network addition of multi-phased development does not need to individually meet SSAR connectivity requirements if the original approved overall development meets SSAR connectivity requirements & the additional phase of the development

allowing the network addition to meet connectivity is under construction

  1. Developer may ask the locality for its opinion regarding connectivity exception for Subsection #3.b; developer requests a written opinion from the locality to waive or modify the additional connections standard related to the allowable exceptions in 24VAC30-92-60 C.3.b for network additions with over 200 dwelling units or over 2,000 vehicles per day

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SSAR Refresher Section (continued)

SSAR Grandfathering

  1. 2011 SSAR supersedes the 2005 SSR and the 2009 SSAR
  2. Developments submitted prior to July 2009 may use the 2005 SSR
  3. Developments submitted between July 1, 2009 and January 31, 2012 may use

either version of the SSAR

  1. Plans submitted after January 2012 must use the 2011 SSAR
  2. Grandfathered 2009 SSAR developments usually choose to use the 2011 SSAR requirements
  3. Subdivision Street Design Guide: SSR developments use Appendix B while SSAR additions use Appendix B(1) of the VDOT Road Design Manual
  4. See the Grandfathering section of the SSAR for details about specific types of plans, plats, and sketches. If you have any Grandfathering questions, please contact the Office of Land Use.

Some Major Requirements of the SSAR

  1. Every network addition is required to have at least two vehicular access points – one must be a physical connection to a publicly maintained road and the second may be a SSAR defined stub out.
  2. If only one connection is made (i.e. dead end or cul-de-sac streets), the District Administrator or Designee must have granted a SSAR connectivity exception for

the addition to be accepted into the VDOT system for maintenance.

  1. Pedestrian accommodations are required for some developments and this is mainly based on median lot size.
  2. Third party inspection can only be used for SSAR additions

SSAR Waivers (VA Administrative Code sections noted)

  1. SSAR applicability may be waived by the Commissioner – Section VAC30-92-

20(C)

  1. District Administrator may waive the connection to an existing, state maintained stub out if the connection will be “unsafe” – Section VAC30-92-60(C.1)
  2. District Administrator’s Designee – Can waive/modify the “additional connections standard” if any of four situations makes the connection impracticable (not all VDOT Districts have these Designees) – Section VAC30-92-60(C.3)
  3. Connectivity requirements for a network addition can be waived/modified by District Administrator’s Designee – Section VAC30-92-60(C.5)
  4. Commissioner or his Designee (the Director of the Office of Land Use) can waive

surety and fees with extenuating circumstances beyond developer's control – Section VAC30-92-140

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f. Right-of-Way Types and Related Information

For VDOT’s purposes, there are three basic types of roads

  1. Private Roads: Roads not open to public use, not publicly maintained, and exist only to serve abutting properties. The right of way associated with these routes is under private ownership and not administered by the locality or VDOT (e.g. gated

subdivisions).

  1. Locality (or County) Roads: Roads dedicated to public use but are not part of the VDOT maintained systems. Examples are undeveloped subdivision streets, streets maintained by the locality or a private organization (i.e. homeowners’ association), and roads that do not meet VDOT’s public benefit requirements.

Right of Way associated with these streets is typically owned by the locality.

  1. VDOT Roads: Roads that have been officially accepted as part of either the Primary or Secondary System of State Highways. Right of Way for VDOT roads can be owned by VDOT, the locality, another state agency (e.g. Department of Wildlife Resources or DCR), a state funded institution (e.g. DOC sites or public colleges & universities), or federal agency.

The right of way associated with VDOT maintained roads can typically be placed into one of four categories:

  1. Prescriptive Easement: Right of way by prescription generally only applies to roads

accepted into the Secondary System as part of the 1932 Byrd Act. After the Byrd Act, localities were required to guarantee right of way for new additions by resolution. Ownership of prescriptive easement right of way is vested with the underlying fee simple owner(s) of record. VDOT only has an easement across property to maintain the road for public surface transportation use. The thirty feet width claimed by VDOT on prescriptive ROW is derived from statutory language contained in §33.2-105.

  1. Dedicated Right of Way: Right of way dedicated to public use pursuant to §15.2-2265 is owned by the locality. When a locality requests VDOT maintenance on streets with dedicated right of way, it does not transfer the right of way ownership to VDOT, but rather transfers the regulatory and maintenance authority for the road to VDOT.
  2. Deeded Right of Way: Fee simple right of way is owned by the locality or the Commonwealth by virtue of a deed recorded in the locality wherein the road lays.
  3. Permanent Roadway Easement: Sometimes known as a “Federal Land Transfer/Highway Easement Deed,” is an easement for the highway on Federal

land. The Federal Agency continues to own the land, but VDOT has the right to construct and maintain the highway.

NOTE: For roads with prescriptive easement right of way, abandonment of such routes automatically extinguishes the easement. There is no formal document required for VDOT to relinquish the easement and return full use of the property to the underlying fee simple owner. For roads with dedicated or fee simple right of way, abandonment of such routes requires a subsequent real estate transaction by either VDOT or the locality to transfer ownership or any other property rights

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g. Local Comprehensive Street Construction Inspection Program

There are currently two Virginia counties which have agreements with VDOT to administer locality Secondary street inspection programs: Fairfax and Prince William.

The requirements of these programs shall be followed for the inspection and testing of Secondary streets intended to be accepted as part of the state system.

Because the county governments complete the related inspections, the one year surety is waived and the street inspection fee is reduced for street additions constructed in Fairfax and Prince William Counties.

h. Minimum Standards for Public School Roads

The addition of public school roads using §33.2-325 is discussed in Section 6(i) of this guide. Design standards for these roads must follow the requirements included within VDOT’s Road Design Manual and Subdivision Street Design Guide.

The table below provides geometric design standards for school bus routes. For additional guidance on school bus route design refer to the VDOT Road Design Manual’s Subdivision Street Design Guide.

GEOMETRIC DESIGN STANDARDS FOR SCHOOL BUS ACCESS ROADS

ONE WAY SHOULDER & DITCH SECTION CURB & GUTTER SECTION

PAVEMENT WIDTH 15 FEET 15 FEET

SHOULDER WIDTH 2 FEET EACH SIDE (1) N/A

PARKING PROHIBITED PERMITTED (2)

MINIMUM TURNING RADIUS 45 FEET 45 FEET

TWO WAY SHOULDER & DITCH SECTION CURB & GUTTER SECTION

PAVEMENT WIDTH 24 FEET 24 FEET

SHOULDER WIDTH 6 FEET EACH SIDE (1) N/A

PARKING PROHIBITED PERMITTED (2)

MINIMUM TURNING RADIUS 45 FEET 45 FEET (1): If guardrail is required, increase shoulder width by 4 feet. (2): Parking lanes are 7 feet wide minimum and include the gutter pan width in curb & gutter sections.

NOTE: The gutter pan is not considered a portion of the travelway, but is a portion of any parking lanes

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[TABLE 97-1]

GEOMETRIC DESIGN STANDARDS FOR SCHOOL BUS ACCESS ROADS | |

ONE WAY | SHOULDER & DITCH SECTION | CURB & GUTTER SECTION

PAVEMENT WIDTH | 15 FEET | 15 FEET

SHOULDER WIDTH | 2 FEET EACH SIDE (1) | N/A

PARKING | PROHIBITED | PERMITTED (2)

MINIMUM TURNING RADIUS | 45 FEET | 45 FEET

TWO WAY | SHOULDER & DITCH SECTION | CURB & GUTTER SECTION

PAVEMENT WIDTH | 24 FEET | 24 FEET

SHOULDER WIDTH | 6 FEET EACH SIDE (1) | N/A

PARKING | PROHIBITED | PERMITTED (2)

MINIMUM TURNING RADIUS | 45 FEET | 45 FEET (1): If guardrail is required, increase shoulder width by 4 feet. | | (2): Parking lanes are 7 feet wide minimum and include the gutter pan width in curb & gutter sections. | | NOTE: The gutter pan is not considered a portion of the travelway, but is a portion of any parking lanes | |

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i. Special Measurements

Roundabouts

The design standards for the construction of roundabouts to be maintained by VDOT are contained within Appendix F of the Road Design Manual. How to correctly measure centerline mileage in a new roundabout to be added to the Secondary system is described below.

Centerline mileage for a roundabout should be measured to the geometric center of the roundabout as opposed to the circumference of the roundabout alignment.

Roundabout Measurement

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Special Measurements (continued)

Standard Cul-De-Sacs: The length should be measured along the centerline of the roadway from the nearest intersection to the geometric center of the cul-de-sac plus the cul-de-sac pavement radius. (i.e. L1 + L2)

Standard Cul-De-Sac Measurement

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Special Measurements (continued)

Offset (Bulb) Cul-De-Sacs: The length should be measured along the roadway centerline from the nearest intersection to the Point of Offset (L1), plus the offset distance from the roadway centerline to the geometric center of the cul-de-sac (L2), plus the cul-de-sac pavement radius (L3).

Offset (Bulb) Cul-De-Sac Measurement

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Special Measurements (continued)

Cul-De-Sacs With a Center Island: The length should be measured along the roadway centerline from the nearest intersection to a point where the roadway centerline intersects with the cul-de-sac centerline (L1) plus the centerline circumference of the cul-de-sac (L2).

CUL-DE-SAC WITH CENTER ISLAND MEASUREMENT

NOTE: In this example, traffic is bi-directional. However, traffic may be bi-directional or one-way for this type of cul-de-sac. This directional detail needs to be denoted when

entering the segment data into RIMS. When entering the route data into RIMS, separate PI’s are entered for the road leading to the cul-de-sac and for the cul-de-sac itself.

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j. Towns Governed by §33.2-339 and §33.2-340 for Additions

Incorporated towns with populations under 3,500 can add streets to the Secondary

system using §33.2-339 or §33.2-340. Towns selected which of these Code sections should be used for related additions.

The following are the current lists of towns operating pursuant to §33.2-339 and §33.2-340. In the event a town requests to change its Code section designation for Secondary additions, please contact the Office of Land Use. These requests require the approval of the CTB.

Towns Adding Roads using §33.2-339

  1. Accomack – Accomack County, Hampton Roads District
  2. Alberta – Brunswick County, Richmond District
  3. Amherst – Amherst County, Lynchburg District
  4. Appomattox – Appomattox County, Lynchburg District
  5. Belle Haven – Accomack and Northampton Counties, Hampton Roads District
  6. Bloxom – Accomack County, Hampton Roads District
  7. Boones Mill – Franklin County, Salem District

  8. Bowling Green – Caroline County, Fredericksburg District

  9. Boyce – Clarke County, Staunton District 10. Boydton – Mecklenburg County, Richmond District 11. Boykins – Southampton County, Hampton Roads District 12. Branchville – Southampton County, Hampton Roads District 13. Capron – Southampton County, Hampton Roads District 14. Charlotte – Charlotte County, Lynchburg District 15. Cheriton – Northampton County, Hampton Roads District 16. Claremont – Surry County, Hampton Roads District 17. Clarksville – Mecklenburg County, Hampton Roads District 18. Cleveland – Russell County, Bristol District 19. Clifton – Fairfax County, NOVA District 20. Clinchport – Scott County, Bristol District 21. Clintwood – Dickenson County, Bristol District 22. Clover – Halifax County, Lynchburg District 23. Coeburn – Wise County, Bristol District 24. Columbia – Fluvanna County, Culpeper District

  10. Courtland – Southampton County, Hampton Roads District 26. Dayton – Rockingham County, Staunton District 27. Dendron – Surry County, Hampton Roads District 28. Dillwyn – Buckingham County, Lynchburg District 29. Drakes Branch – Charlotte County, Lynchburg District 30. Dungannon – Scott County, Bristol District 31. Eastville – Northampton County, Hampton Roads District 32. Edinburg – Shenandoah County, Staunton District 33. Exmore – Northampton County, Hampton Roads District

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Towns Adding Roads using §33.2-339 (continued)

  1. Fincastle – Botetourt County, Salem District 35. Floyd – Floyd County, Salem District 36. Fries – Grayson County, Bristol District 37. Gate City – Scott County, Bristol District 38. Glade Spring – Washington County, Bristol District

  2. Glen Lyn – Giles County, Salem District 40. Gordonsville – Orange County, Culpeper District 41. Goshen – Rockbridge County, Staunton District 42. Gretna – Pittsylvania County, Lynchburg District 43. Grundy – Buchanan County, Bristol District 44. Halifax – Halifax County, Lynchburg District 45. Hallwood – Accomack County, Hampton Roads District 46. Hamilton – Loudoun County, NOVA District 47. Haymarket – Prince William County, NOVA District 48. Haysi – Dickenson County, Bristol District 49. Duffield – Scott County, Bristol District 50. Hillsboro – Loudoun County, NOVA District 51. Hillsville – Carroll County, Salem District 52. Honaker – Russell County, Bristol District 53. Independence – Grayson County, Bristol District 54. Iron Gate – Alleghany County, Staunton District

  3. Irvington – Lancaster County, Fredericksburg District 56. Ivor – Southampton County, Hampton Roads District 57. Jarratt – Greensville and Sussex Counties, Hampton Roads District 58. Jonesville – Lee County, Bristol District 59. Keller – Accomack County, Hampton Roads District 60. Kenbridge – Lunenburg County, Richmond District 61. Keysville – Charlotte County, Lynchburg District 62. Kilmarnock – Lancaster and Northampton Counties, Fredericksburg District 63. LaCrosse – Mecklenburg County, Richmond District 64. Lawrenceville – Brunswick County, Richmond District 65. Louisa – Louisa County, Culpeper District 66. Lovettsville – Loudoun County, NOVA District 67. Madison – Madison County, Culpeper District 68. McKenney – Dinwiddie County, Richmond District 69. Melfa – Accomack County, Hampton Roads District 70. Middleburg – Loudoun County, NOVA District

  4. Middletown – Frederick County, Staunton District 72. Mineral – Louisa County, Culpeper District 73. Monterey – Highland County, Staunton District 74. Montross – Westmoreland County, Fredericksburg District 75. Mount Crawford – Rockingham County, Staunton District 76. Mount Jackson – Shenandoah County, Staunton District 77. Nassawadox – Northampton County, Fredericksburg District 78. New Castle – Craig County, Salem District

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Towns Adding Roads using §33.2-339 (continued)

  1. New Market – Shenandoah County, Staunton District 80. Newsoms – Southampton County, Hampton Roads District 81. Nickelsville – Scott County, Bristol District 82. Occoquan – Prince William County, NOVA District 83. Onancock – Accomack County, Hampton Roads District

  2. Onley – Accomack County, Hampton Roads District 85. Painter – Accomack County, Hampton Roads District 86. Pamplin City – Appomattox and Prince Edward Counties, Lynchburg District 87. Parksley – Accomack County, Hampton Roads District 88. Pembroke – Giles County, Salem District 89. Pennington Gap – Lee County, Bristol District 90. Phenix – Charlotte County, Lynchburg District 91. Pocahontas – Tazewell County, Bristol District 92. Port Royal – Caroline County, Fredericksburg District 93. Pound – Wise County, Bristol District 94. Quantico – Prince William County, NOVA District 95. Remington – Fauquier County, Culpeper District 96. Rich Creek – Giles County, Salem District 97. Ridgeway – Henry County, Salem District 98. Round Hill – Loudoun County, NOVA District 99. Rural Retreat – Wythe County, Bristol District

  3. Saint Charles – Lee County, Bristol District 101. Saint Paul – Russell and Wise Counties, Bristol District 102. Saxis – Accomack County, Hampton Roads District 103. Scottsburg – Halifax County, Lynchburg District 104. Scottsville – Albemarle and Fluvanna Counties, Culpeper District 105. Shenandoah – Page County, Staunton District 106. Stanardsville – Greene County, Culpeper District 107. Stanley – Page County, Staunton District 108. Stephens City – Frederick County, Staunton District 109. Stoney Creek – Sussex County, Hampton Roads District 110. Stuart – Patrick County, Salem County 111. Surry – Surry County, Hampton Roads District 112. Tangier – Accomack County, Hampton Roads District 113. Tappahannock – Essex County, Fredericksburg District 114. The Plains – Fauquier County, Culpeper District 115. Timberville – Rockingham County, Staunton District

  4. Urbanna – Middlesex County, Fredericksburg District 117. Wachapreaque – Accomack County, Hampton Roads District 118. Wakefield – Sussex County, Hampton Roads District 119. Warsaw – Richmond County, Fredericksburg District 120. Washington – Rappahannock County, Culpeper District 121. Waverly – Sussex County, Hampton Roads District 122. Webber City – Scott County, Bristol District

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Towns Adding Roads using §33.2-339 (continued)

  1. West Point – King William County, Fredericksburg District 124. White Stone – Lancaster County, Fredericksburg District 125. Windsor – Isle of Wight County, Hampton Roads District

Towns Adding Roads using §33.2-340

  1. Appalachia – Wise County, Bristol District
  2. Cape Charles – Northampton County, Hampton Roads District
  3. Cedar Bluff – Tazewell County, Bristol District
  4. Chatham – Pittsylvania County, Lynchburg District
  5. Chilhowie – Smyth County, Bristol District
  6. Craigsville – Augusta County, Staunton District
  7. Crewe – Nottoway County, Richmond District
  8. Damascus – Washington County, Bristol District
  9. Glasgow – Rockbridge County, Staunton District 10. Hurt – Pittsylvania County, Lynchburg District 11. Victoria – Lunenburg County, Richmond District

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k. Locality Resolutions and Letters of Support

Highway system changes require a resolution or a letter of support from the local governing body or state institution in order to be completed. The Office of Land Use DOTi page that includes these document templates in Word format so they can be edited for a

specific highway change. If a specific resolution is needed and is not included on this site, please contact the Office of Land Use.

Highway system change assemblies may include more than one type of change. When this occurs, the changes should generally be addressed in the resolution or letter of support in the following order:

  • Abandonments
  • Discontinuances
  • Transfers
  • Renumbering

  • Additions

In 2018, the Office of Land Use received approval from the VDOT Chief of Policy to use a letter of support instead of a traditional resolution in certain situations. This letter of support is also included on the OLU DOTi page.

The guidelines for using the letter of support are

  • For VDOT Projects Only (including LAP’s with VDOT Project and UPC numbers which meet the requirements below)
  • Related ROW must be owned by VDOT or the Commonwealth
  • Not to be used for SSAR, SSR, or Rural Additions

  • VDOT Project Secondary street construction must have been completed on or after July 1, 2011 (this requirement does not apply to Primary changes).

If VDOT staff has any questions about the use of the letter of support, please contact the Office of Land Use.

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l. SSAR and SSR Sureties and Fees

A developer must guarantee the quality of construction and the performance of streets intended for VDOT acceptance. The developer must follow all of VDOT’s construction and inspection procedures in order for newly constructed streets to be accepted into the

Secondary system (the individual sections of this Guide describe the types of street addition requirements and whether or not surety and fees must be paid to VDOT).

Note: Because Fairfax and Prince William Counties administer comprehensive Street Construction Inspection Programs, additions in these localities do not require sureties.

SSAR Added Streets - The developer will provide the following for roads added that are governed by the SSAR:

  1. Surety to warranty proper construction of the street - $3,000 for each tenth of a lane mile and any portion thereafter
  2. Street Inspection Fee – To fund VDOT’s direct costs to inspect the new street for acceptance: a. Base rate of $250 per addition, regardless of street length b. Plus $125 per tenth of a centerline mile or portion thereafter
  3. Street Inspection Fees for Fairfax and Prince William Counties, Third Party

Inspected Projects, and developments using VDOT’s Comprehensive Street Construction Inspection Program option – Reduced by 75% of standard Street Inspection Fee

  1. Administrative Cost Recovery Fee – To recover the review and acceptance processing costs related to the development: a. Base rate of $500 per addition regardless of street length b. Plus $250 per tenth of a centerline mile or any portion thereafter

SSR Added Streets - The developer will provide the following for roads added governed by the SSR:

  1. Surety to warranty proper construction of the street - $2,000 for each tenth of a lane mile and any portion thereafter
  2. Maintenance Fee - $150 per lane per tenth mile or portion thereof
  3. Maintenance Fees for Fairfax and Prince William Counties – 50% of standard base fee

  4. Administrative Cost Recovery Fee – The “prevailing fee” within SSAR a. Base rate of $500 per addition regardless of street length b. Plus $250 per tenth of a centerline mile or any portion thereafter

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SSAR and SSR Sureties and Fees (continued)

Forms of Surety - Acceptable forms of surety include the following

  1. Performance Bond – Held by VDOT Residency until expiration
  2. Cash Deposit – Held and deposited by VDOT, but does not accrue interest
  3. Certified Cashier’s Check – Held by and deposited by VDOT, but does not

accrue interest

  1. Irrevocable Letter of Credit – Original held by VDOT’s Fiscal Division until expiration
  2. Third Party Escrow Account – Executed by VDOT until expiration. Under no circumstances shall VDOT, the Commonwealth, or any other state agency be named the escrow agent.
  3. Other surety mutually acceptable to VDOT and the developer

Locality Guarantee of Surety: Instead of a traditional surety, a locality can guarantee the performance of new roads through language in its acceptance resolution. This resolution text can be used in lieu of surety provided by a developer when they are incapable of providing surety or when the locality is the developer of SSR/SSAR street additions. The local governing body becomes financially responsible for the performance of the streets in such cases.

Please contact the Office of Land Use if you have questions about the use of this resolution.

Surety Expiration Dates & RIMS System: When VDOT staff enter an addition assembly in RIMS, they will enter the locality’s resolution date and RIMS will calculate a “Recommended Expiration Date”. This recommended expiration date is the locality’s resolution date, plus one year and one month.

This recommended expiration date is shown in the RIMS data field, but it must be entered and finalized by the Residency.

If there is a need to extend the surety expiration date, the Residency can amend this date at any time before the assembly is submitted to the Office of Land Use. After the assembly has been received by the Office of Land Use, this change to surety expiration date can only be completed by the Office of Land Use or the RIMU Section of the Maintenance Division (depending on which Division it is assigned to in RIMS). The HSC assembly can also be reassigned to the ICR author for revision to the surety date and

resubmittal.

If Residency or District staff needs to extend the surety expiration date based on the final street inspections, the Residency must contact the RIMU Section. The RIMU Section will reopen the HSC assembly and change the surety expiration date. It is the responsibility of the developer to contact the financial institution to officially extend the surety expiration date and to provide VDOT a copy of the revised surety document.

108

[TABLE 108-1] This recommended expiration date is shown in the RIMS data field, but it must be entered and finalized by the Residency.

If there is a need to extend the surety expiration date, the Residency can amend this date at any time before the assembly is submitted to the Office of Land Use. After the assembly has been received by the Office of Land Use, this change to surety expiration date can only be completed by the Office of Land Use or the RIMU Section of the Maintenance Division (depending on which Division it is assigned to in RIMS). The HSC assembly can also be reassigned to the ICR author for revision to the surety date and resubmittal.

If Residency or District staff needs to extend the surety expiration date based on the final street inspections, the Residency must contact the RIMU Section. The RIMU Section will reopen the HSC assembly and change the surety expiration date. It is the responsibility of the developer to contact the financial institution to officially extend the surety expiration date and to provide VDOT a copy of the revised surety document.

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VDOT Surety and Fee Requirements

Surety and fees are NOT required for

  1. VDOT Projects

  2. Any project that is funded all or partially by CTB approved allocations

  3. Town additions related to §33.2-339
  4. Institutional roads – §33.2-313
  5. State Park roads – §33.2-311
  6. No Cost Rural Additions – §33.2-705
  7. Cost Rural Additions – §33.2-335
  8. Public School roads – §33.2-325
  9. Economic Development Access project additions (Industrial Access & Airport Access Programs were merged with this program as a part of §33.2-1509) 10. Recreational access road additions – §33.2-1510

Surety and fees are required for

  1. Developer built projects – SSAR & SSR additions
  2. Town additions related to §33.2-340
  3. Locally administered projects which did not receive any CTB allocated funds

No surety is required for (Fees are required)

  1. Fairfax and Prince William County additions (these counties have their own inspection programs and developer projects do not need to pay sureties)
  2. Additions for which the local governing body guarantees the quality of the road(s) in the approved resolution (in lieu of conventional surety)

109

[TABLE 109-1] VDOT Surety and Fee Requirements | | Surety and fees are NOT required for: | | | 1. VDOT Projects | | 2. Any project that is funded all or partially by CTB approved allocations | | 3. Town additions related to §33.2-339 | | 4. Institutional roads – §33.2-313 | | 5. State Park roads – §33.2-311 | | 6. No Cost Rural Additions – §33.2-705 | | 7. Cost Rural Additions – §33.2-335 | | 8. Public School roads – §33.2-325 | | 9. Economic Development Access project additions (Industrial Access & Airport | | Access Programs were merged with this program as a part of §33.2-1509) | | 10. Recreational access road additions – §33.2-1510 | Surety and fees are required for: | | | | 1. Developer built projects – SSAR & SSR additions | | 2. Town additions related to §33.2-340 | | 3. Locally administered projects which did not receive any CTB allocated funds

[/TABLE]

[TABLE 109-2] No surety is required for (Fees are required): | | 1. Fairfax and Prince William County additions (these counties have their own | inspection programs and developer projects do not need to pay sureties) | 2. Additions for which the local governing body guarantees the quality | of the road(s) in the approved resolution (in lieu of conventional surety)

[/TABLE]

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m. Agreements

Some additions to the state’s system of highways require a legal agreement as part of acceptance. Common agreements with relation to street additions are related to subordination of rights, quitclaims, stormwater management, pedestrian accommodations outside of the ROW, dam crossings, and grade separation structures.

The Office of Land Use has a DOTi page that includes most of these agreement document templates in Word format so they can be edited for specific situation.

Most agreements require endorsement by the company and County prior to submission to the Residency. All signatures must be notarized. When an agreement is required for a street addition, the Residency or District should send three (3) originals of the agreement to the Office of Land Use for review, signature, and notarization. Any agreements must be in place before the development’s streets can be added to the state system.

Upon final signature of the agreement, an electronic version of the executed agreement is sent to VDOT Residency or District staff. The Office of Land Use retains one original agreement, and the remaining originals are returned to the Residency or District. One original agreement must then be recorded at the locality’s courthouse.

If a utility removes facilities from an easement that was in place prior to the right-of-way dedication, the utility may vacate their easement when no facilities remain in the easement. A copy of the vacation document should be submitted to VDOT for review prior to the recordation, and should include language that no facilities remain in the easement.

If you need a specific agreement which is not included on the above site, please contact the Office of Land Use.

SSAR and SSR Required Agreements The SSAR and SSR regulations contain specific language which require an agreement in certain situations for Secondary additions. The review and approval of such agreements are a legal requirement for street acceptance. Within the current SSAR, sections which specify the requirement of legally completed agreements include administrative procedures (street acceptance), phased development of streets, design, and agreement requirements.

Some examples of SSAR and SSR required agreements include documents for stormwater management, pedestrian accommodations, dams, grade separation structures, special pavement surfaces, and subordination of rights for existing easement holders.

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Agreements (continued)

The use of the term “agreement” in the SSAR and the SSR is meant to be used as the appropriate type of agreement in a given situation.

These agreements are frequently required because an easement which crosses a proposed VDOT road can be an encumbrance and prevents the locality from

guaranteeing an unencumbered and unrestricted right of way as is required by regulation.

Examples of these agreements can be found on the Office of Land Use DOTi site.

Subordination of Rights Versus Quitclaims Subordination of Rights (SOR) and quitclaims are alternative methods to provide an unencumbered and unrestricted right-of-way. While it is important for VDOT Land Use staff to determine if a SOR or quitclaim is the most appropriate or correct approach for a given situation, it is up to the utility to determine whether they use the SOR agreement or a quitclaim. If the existing easement is for utilities that only serve the property owners adjacent to the road proposed for acceptance, a quitclaim is a reasonable approach, as the abandonment of the road generally means that the customers served by the utility easement are also gone. For utilities that provide service beyond the immediate area, a SOR agreement is usually best, as abandonment or vacation of the road does not impact the need for the utility (and hence, the easement).

For easements that cross right of way to be accepted by VDOT, a public utility owner will

enter into either a SOR agreement with VDOT or quitclaim its prior rights within the right-of-way to the Commonwealth in exchange for a land use permit (LUP-IPP) for in-place utilities. The utility may continue to occupy such street in its existing condition and location. The public utility owner shall be responsible for the utility and resulting damages to persons and property that might result from the presence of the utility.

A quitclaim deed extinguishes all of the utility easement holder’s interest in the subject property and is used when there is no need to keep a subordinated easement in place. The easement is extinguished, and in exchange, VDOT provides a Land Use Permit for the utility to remain in place within the right-of-way. The Land Use Permit remains in effect until VDOT or the permittee needs to remove or relocate the utility. Although VDOT is not a named third party on a quitclaim deed, it is recommended that quitclaim deeds be submitted to VDOT for review prior to recordation to ensure the correct language has been used.

A SOR agreement subordinates a utility’s easement in a particular parcel of land to

VDOT’s (or the locality’s) rights in that land. This agreement is often used when there is a utility easement crossing a ROW that is to become part of the state’s Secondary system, but the ROW is owned by a locality rather than VDOT. As a condition of acceptance into the Secondary system, VDOT requires utilities to subordinate their easement rights to VDOT in order to provide a clear and unencumbered right of way. The SOR agreement requires endorsement by the local authority prior to being submitted to VDOT for processing.

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Agreements (continued)

A SOR agreement is generally used for all petrochemical product transmission or distribution lines or gas pipelines that cross the right-of-way for new streets. The utility company will need the pipeline easement to remain in place if the ROW is ever abandoned.

Whenever a SOR agreement is used, the utility must obtain a Land Use Permit for its existing in-place facilities and a separate Land Use Permit for future maintenance and installation of service connections. The utility easement being subordinated is not extinguished and remains in place, but subordinated to VDOT’s rights. The agreement provides that if the ROW is ever abandoned, the subordinated easement is restored to its original primary position. If the ROW is discontinued, the easement is still subordinate to the locality’s rights to operate and maintain the road.

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n. RIMS System and HSC Assemblies

The Roadway Inventory Management System (RIMS) is administered by VDOT’s Maintenance Division. This is the system that inventories official state mileages for all VDOT maintained routes. This is also the system which coordinates highway system changes with the agency’s RNS (Roadway Network System) mapping system. Every HSC assembly entered into RIMS is assigned an Inventory Change Record (ICR) number

for tracking purposes.

The Maintenance Division has created the “RIMS Field User Training Guide” which can be found at the RIMS site. Once at the RIMS page, go to “Support” and then “Training Document” to access this guide.

Highway system change assemblies submitted to the Office of Land Use should include the following components when applicable and preferably be contained in one PDF document:

  1. Form AM-4.0 – Cover sheet describing assembly location, type, resolution date, Code section(s), surety used, fees, SSAR/SSR, and ICR number
  2. Surety Type – Copy of Surety used or original Letter of Credit
  3. Surety Addendum
  4. Fees – Copy of all fee checks
  5. Form AM-4.1 – Code section(s) used and assembly checklist

  6. Form AM-4.2 – Description of each highway system change (one page per segment, including the segment’s Public Service Requirement). An individual segment is designated as a Proposed Inventory (PI) when entering an HSC assembly in RIMS.

  7. Local Governing Body Resolution – Including correct Code section(s)
  8. Form AM-4.3 – Listing of all Secondary local Board requested changes and signed by locality official
  9. Any related Agreements (i.e. Stormwater Detention) 10. VDOT Abandonment and Discontinuance Confirmation Form (only when abandonments and/or discontinuances are involved) 11. Sketch of Street Assembly – Connection to current VDOT road(s), all street segments to be added/abandon, route numbers, street segment lengths, and distance to adjacent, current VDOT roads

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o. Data Corrections

VDOT completes data corrections most often when there was a small error or there was missing information related to a highway change assembly. There is no locality or CTB action required to complete a data correction. Data corrections are completed with RIMS actions between Residencies, the Office of Land Use, and the VDOT Maintenance

Division. Examples of required data corrections include

  • Mileage related to an original highway change was found to be incorrect (check with Office of Land use to determine if a data correction can be used)
  • Route number was entered incorrectly in original assembly
  • Route re-numbering which does NOT require a system transfer
  • Significant non-centerline mileage changes to the roadway typical section (e.g. 2 to 4 lanes, widening, change in surface type, addition of auxiliary lanes, addition of curb & gutter, etc.)

VDOT has used two different working definitions for the term "Data Correction" in the past. This section and the following section will clarify these definitions moving forward.

This section includes the description above referring to minor administrative changes in centerline miles to VDOT maintained roads that do not require legal actions. Data corrections should be entered in RIMS to correct mileage on existing VDOT roads that usually only have one intersection to intersection segment (e.g. cul-de-sac or stub out streets).

The following section refers to mileage measurements on existing VDOT roads between the intersections of new additions and the nearest existing VDOT street intersections. These measurements between new VDOT street intersections and existing VDOT intersections are commonly referred to as "mileage splits" and are used to identify the physical location of newly constructed roads.

Data corrections involve the administrative correction or revision of an existing highway inventory, but do not involve the addition, deletion, or transfer of centerline mileage. Data corrections do not require formal action on the part of the CTB or the locality. A data

correction can never be used as a substitute for what should be an individual, legal highway system change (e.g. addition, abandonment).

If VDOT staff has questions if a data correction is the proper action to correct a previous highway system change, please contact the Office of Land Use.

114

[TABLE 114-1] VDOT has used two different working definitions for the term "Data Correction" in the past. This section and the following section will clarify these definitions moving forward.

[/TABLE]

[TABLE 114-2] This section includes the description above referring to minor administrative changes in centerline miles to VDOT maintained roads that do not require legal actions. Data corrections should be entered in RIMS to correct mileage on existing VDOT roads that usually only have one intersection to intersection segment (e.g. cul-de-sac or stub out streets).

[/TABLE]

[TABLE 114-3] The following section refers to mileage measurements on existing VDOT roads between the intersections of new additions and the nearest existing VDOT street intersections. These measurements between new VDOT street intersections and existing VDOT intersections are commonly referred to as "mileage splits" and are used to identify the physical location of newly constructed roads.

[/TABLE]

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p. Length Corrections in RIMS

“Length Correction” is now the official term that will be used for what Land Use staff has referred to in the past as a “mileage split.”

Length Corrections are necessary to ensure that the location of all new intersections of

VDOT roads are accurately incorporated into RIMS and the RNS mapping system. For this reason, it is important to include Length Correction measurements for all new intersections with existing VDOT roads.

Example of Length Correction Measurement

In the example below, the Length Correction measurement is used to correctly locate the intersection of new Route 1000 and existing Route 600 (Node A) along the Route 600 alignment. The intersection is located 0.35 miles from the intersection of Route 600 and Route 700 (Node C), and 0.33 miles from the intersection of Route 600 and Route 800 (Node D).

115

[TABLE 115-1] “Length Correction” is now the official term that will be used for what Land Use staff has referred to in the past as a “mileage split.”

[/TABLE]

[TABLE 115-2] Length Corrections are necessary to ensure that the location of all new intersections of VDOT roads are accurately incorporated into RIMS and the RNS mapping system. For this reason, it is important to include Length Correction measurements for all new intersections with existing VDOT roads.

[/TABLE]

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q. Highway System Change Sketch Standards and Examples

When the Maintenance Division completes its changes to the RIMS system, examples of HSC assemblies with instructional notes will be included in this section.

Highway System Sketch Standards

Sections or road(s) affected by the highway system change(s) must be clearly defined on the sketch. Color coding, while informative and encouraged, is not sufficient in itself.

Named segments, with end point designations is the required format. Attached drawings are acceptable provided they are sufficiently detailed to find termini locations in the field without the aid of a survey crew. The resolution attachment Form AM-4.3 (generated by RIMS when the highway system change assembly is entered) that is incorporated into the locality resolution provides the written legal description of the highway system changes, and the HSC sketch needs to coincide with the resolution attachment.

Changes to the system apply to the full limits of the right-of-way, based upon the centerline length of the roadway measured between readily distinguishable termini identifiable in the field. Examples of acceptable street segment descriptions are: Route 600, 0.50 mile east of Route 600, or cul-de-sac. VDOT’s Roadway Inventory Management System (RIMS) uses a link-node system to inventory streets, whereby nodes are the defined termini for a roadway segment, and a link is the segment of road between two nodes.

If color coding is being used for the sketch, the following standard color scheme should be used:

  • Blue – Abandonments/Vacations
  • Red – Additions
  • Yellow – Discontinuances
  • Orange – Transfers

  • Green – Data Corrections (including re-numbering) and Length Corrections

  • Black – Existing routes

Minimum Elements of a Highway System Change Sketch: The following is the minimum information that must be included on any highway system change sketch:

  • VDOT district, residency, & county
  • Route number(s)

  • VDOT project number/UPC or proposed action [e.g. Project 0600-083-101, C501 (UPC 12345), Beverly Hills Subdivision, or Route 600 Abandonment]

  • Nodes/segments clearly defined
  • Segment lengths listed
  • Distance from nearest intersection involving VDOT maintained routes

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HSC Sketch Standards and Examples (continued)

Highway System Change Sketch Examples VDOT Projects

Main Components

  • Include legend with VDOT Project identification, locality, color codes for highway changes, and date created
  • Table should include route numbers, each highway system change being requested, segment letters, node/segment identifications, and individual segment lengths
  • All roads which have proposed highway changes including segment letters and route numbers
  • All connecting VDOT maintained roads including segment letters and route numbers for length corrections/Data Corrections

  • VDOT structures and related identification numbers if applicable

  • North arrow

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HSC Sketch Standards and Examples (continued)

Highway System Change Sketch Examples Subdivision Sketches

The example below contains the required components of a subdivision addition sketch.

The software or the format used does not matter as long as the sketch contains the correct

information, is neat, and can be easily read.

Main Components

  • Name of development and locality

  • All new roads proposed to be added to VDOT system including route numbers, road names, and length of each segment

  • All connecting roads currently in the VDOT system and route numbers
  • SSAR defined stub out street locations identified
  • Length corrections (i.e. mileage splits) identified and related distances
  • North arrow

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HSC Sketch Standards and Examples (continued)

Example of Sketch Involving Multiple Localities

The sketch below shows a VDOT Project that involves two localities, a water crossing, multiple types of highway changes, the abandonment and addition of bridges, and length corrections corresponding to both localities.

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HSC Sketch Standards and Examples (continued)

Provisions Regarding Right-of-Way for Turnarounds

It is important for VDOT staff to recognize the nature of the right-of-way secured for

turnarounds on new additions. It is especially important in situations where turnarounds are temporary, and there is reasonable expectation for extension of the road(s). In such cases, preservation of the through or normal right of way width is necessary for extension of the road while at the same time releasing the surplus portions of the turnaround right of way for conveyance to the abutting landowner(s) once the road is extended.

Determining whether the right of way for turnarounds is established as fee right of way or a temporary easement is essential in this process.

Turnaround Example Sketch

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HSC Sketch Standards and Examples (continued)

Fee Right of Way for Turnarounds If the hatched area(s) as shown on the example sketch is dedicated to the locality as fee right of way, the right of way may be altered or vacated by the locality pursuant to §15.2-2006 once the street has been extended. The locality should consult with the VDOT Residency prior to initiating any such alteration or vacation to ensure that the area(s) are

no longer needed for maintenance of the roadway or related drainage structures.

Subsequent to the alteration or vacation of the hatched areas, the locality may convey them to the abutting landowner(s) pursuant to §15.2-2008. However, these code sections may not be the only applicable statutes that the locality may use for disposal of surplus right of way, and provisions of local subdivision ordinances may also affect the locality’s processes. Localities should consult with their local counsel in this regard.

If the hatched areas are fee right of way owned by the Commonwealth, they may be declared as surplus right of way when the street is extended and subsequently conveyed to the adjoining landowner(s) upon request in accordance with the VDOT Right of Way Division procedures for surplus right of way conveyance.

Temporary Easements for Turnarounds If the hatched areas as shown on the example sketch are dedicated as a temporary easement, the easement is automatically extinguished upon extension of the street, and no further action is required on the part of the locality or the CTB. In cases where it can

reasonably be expected that the street will be extended, it is recommended to have the hatched areas dedicated as a “temporary easement for turnaround purposes until the road is extended” to avoid the necessity of further action on the part of the locality or the CTB to release the hatched areas for conveyance to adjacent property owners.

Alternative Turnaround Types “Branch” and “T-Type” turnarounds may be considered for short streets less than 0.25 miles in length (including stub outs). Other proposals must be judged on their merits, such as “Y-Type” turnarounds or other non-standard configurations. However, when proposed, the ability of single unit truck design vehicles to reverse direction, without leaving the pavement area, on these alternative types of turnarounds should be proven. Mileage should be measured along centerline to the point where the road extension will begin or to the point of the centerline terminus, whichever is applicable.

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HSC Sketch Standards and Examples (continued)

Alternative Turnaround Examples

For additional guidance on turnaround types and the right of way requirements for turnarounds see Appendix B(1)-SSAR Design Guide of the VDOT Road Design Manual.

SSAR Stub Out Streets If the SSAR “multiple connections” standard is provided through construction of stub out street(s) to adjacent properties, the stub out(s) can be accepted prior to the extension of the route provided that the stub out(s) has been constructed to applicable standards and the appropriate signage has been installed indicating that the street is to be extended in the future. A temporary turnaround is to be provided for stub out streets longer than 150 feet that are proposed for acceptance. Additional ROW needed for the turnaround

outside of the through right of way width should be contained in a temporary easement.

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r. Submitting Highway System Change Assemblies

During 2020 the Office of Land Use established the HSC Portal on the DOTi site so that assemblies could be submitted electronically. The Portal allows Office of Land Use staff to receive assemblies immediately, drastically reducing approval times and the cost of mailing, and avoids assemblies being lost in transit.

There are only two original documents needed by the Office of Land Use. These include:

  • Letters of Credit
  • HSC agreements which require an original signature and need to be notarized

Please mail the above original documents to the VDOT Office of Land Use, ATTN: Highway Systems Program Manager, 1401 East Broad Street, Richmond, VA 23219. Copies of these two types of documents must be included when the complete HSC assembly is sent to the Office of Land Use.

s. VDOT Abandonment and Discontinuance Confirmation Form

Beginning in August 2023, the Office of Land Use required this completed form be submitted when a highway system change assembly includes an abandonment and/or a discontinuance. When VDOT completes a legal abandonment, this action cannot result in the loss of vehicular access to any current land use or parcel of land. This form is required in order to prevent this loss of access. This form also fulfills the following purposes:

  • Ensures that the abandonment does not result in loss of access
  • Verifies that abandonment is properly advertised, when applicable
  • Documents which type of construction-related abandonment is being requested, when applicable

  • For a discontinuance, documents why this is the proper action for the specific situation

This form can be accessed on the “HSC Assembly Submittal Portal.” This submittal portal has been updated to ask the required question “Does this project involve an Abandonment or Discontinuance?” If the response is “Yes,” an additional screen will appear which includes this form.

123

[TABLE 123-1] r. Submitting Highway System Change Assemblies | During 2020 the Office of Land Use established the HSC Portal on the DOTi site so that | assemblies could be submitted electronically. The Portal allows Office of Land Use staff | to receive assemblies immediately, drastically reducing approval times and the cost of | mailing, and avoids assemblies being lost in transit. | There are only two original documents needed by the Office of Land Use. These | include: | | • Letters of Credit | • HSC agreements which require an original signature and need to be notarized Please mail the above original documents to the VDOT Office of Land Use, | ATTN: Highway Systems Program Manager, 1401 East Broad Street, Richmond, VA | 23219. Copies of these two types of documents must be included when the complete | HSC assembly is sent to the Office of Land Use. |

[/TABLE]

[TABLE 123-2] s. VDOT Abandonment and Discontinuance Confirmation Form | Beginning in August 2023, the Office of Land Use required this completed form be | submitted when a highway system change assembly includes an abandonment and/or a | discontinuance. When VDOT completes a legal abandonment, this action cannot result | in the loss of vehicular access to any current land use or parcel of land. This form is | required in order to prevent this loss of access. This form also fulfills the following | purposes: | | • Ensures that the abandonment does not result in loss of access | • Verifies that abandonment is properly advertised, when applicable | • Documents which type of construction-related abandonment is being requested, | when applicable | • For a discontinuance, documents why this is the proper action for the specific | situation This form can be accessed on the “HSC Assembly Submittal Portal.” This submittal | portal has been updated to ask the required question “Does this project involve an | Abandonment or Discontinuance?” If the response is “Yes,” an additional screen will | appear which includes this form. |

[/TABLE]

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t. Appeals of Abandonments and Discontinuances After Approvals

Although rarely pursued, any landowner, locality, or the Commissioner of Transportation may appeal an order of abandonment or discontinuance to the Circuit Court of an affected locality.

The appeals process for Primary abandonments and discontinuances is stipulated in §33.2-905 of the Code of Virginia. The appeals process for Secondary abandonments is stipulated in §33.2-910 of the Code of Virginia.

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u. Highway Research Requests

The HSC/SSAR Section of the Office of Land Use receives a large number of research requests related to the state’s highway systems and related changes. The Office of Land Use conducts research related to changes to the centerline mileage of roads within VDOT’s Highway Systems.

Our goals for these requests are to obtain the exact information that is needed, complete the request as soon as possible, and return thorough information to the requestor.

Highway research requests should be submitted to the Office of Land Use using email.

In order to accomplish the above goals, it is more efficient if the requestor sends the Section the responses to the questions below. The Office of Land Use may have additional questions related to the request, but generally the research can begin with the information below:

Standard Highway Research Requests Questions

  1. Locality involved
  2. Road description – Route number, name, etc.
  3. What information do you want or question do you have pertaining to this road(s)?

  4. If the change involves a Land Development project, what was the subdivision or project name?

  5. If it involves a VDOT project, what was the relevant VDOT project number?
  6. If your issue does not involve the entire road/route, for what segment or portion of road do you want information (give very specific location, usually related to roads within the VDOT system)?
  7. When did possible highway change(s) take place (year & month is great if you know this)?

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[TABLE 125-1] Standard Highway Research Requests Questions

  1. Locality involved
  2. Road description – Route number, name, etc.
  3. What information do you want or question do you have pertaining to this road(s)?
  4. If the change involves a Land Development project, what was the subdivision or project name?
  5. If it involves a VDOT project, what was the relevant VDOT project number?
  6. If your issue does not involve the entire road/route, for what segment or portion of road do you want information (give very specific location, usually related to roads within the VDOT system)?
  7. When did possible highway change(s) take place (year & month is great if you know this)?

[/TABLE]

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v. Transfer of Roads Between the VDOT and Urban Systems

The two most common transfers between the VDOT system and the Urban system take place when:

  • A VDOT Primary road is transferred to the Urban system
  • A VDOT Secondary road transfer is related to an annexation or agreement with the Urban system municipality (this can involve the road being added or deleted from the VDOT system)

Transfers: Primary to Urban System When an Urban municipality requests that a VDOT Primary road be transferred to the Urban Maintenance Inventory, §33.2-315.A is used (see Section 5 of this Guide related to Primary highway system changes for more details about this type of transfer).

The local action for a §33.2-315.A transfer is a resolution from the Urban municipality.

The VDOT Residency shall provide notice of the pending transfer to the county. The VDOT notice of the pending transfer should request a letter or resolution of support from the county acknowledging transfer of the road to the municipality’s jurisdiction. This type of transfer must be approved by the CTB.

Upon receipt of the municipality’s resolution and the county’s letter or resolution of support, VDOT Residency staff will prepare a RIMS highway system change assembly for the transfer and submit it to the Office of Land Use. The Office of Land Use will then prepare the CTB agenda brief and submit the transfer to the CTB for approval.

Transfers: Urban System to Secondary System When a road in a town or city needs to be transferred to the VDOT Secondary system, the road must be deleted from the Urban system so that the municipality no longer receives Urban Maintenance Payments for the road. The municipality must submit a resolution and Form U-1 to the VDOT Residency identifying the road to be deleted from the municipality’s Urban Maintenance Inventory. The VDOT Residency will then review and submit the municipality’s resolution and Form U-1 to the Local Assistance Division for processing. See the Urban Construction and Maintenance Manual for specific guidance on additions and deletions to the Urban System.

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Transfer of Roads Between the VDOT & Urban Systems (continued)

Concurrently, the county Board of Supervisors will approve a resolution requesting the road be added to the Secondary System pursuant to §33.2-705 and submit it to the VDOT Residency. The Residency will then prepare and submit a RIMS highway system change

assembly for the Secondary system addition to the Office of Land Use, which includes copies of the municipality’s resolution and Form U-1 for the deletion as well as all of the required components for a Secondary system addition.

For this type of addition, the county usually requests a waiver of surety and/or fees. The county may also use a guarantee of surety within the resolution (see Office of Land Use site for this resolution template).

The Office of Land Use will contact the Local Assistance Division when this addition assembly is received in order to coordinate the proper highway changes for this transfer.

There are generally two situations when Secondary roads are removed from the VDOT system and added to an Urban municipality’s system. These take place when:

  • A town transitions from the VDOT system to the Urban system and assumes

maintenance of the roads within its jurisdiction.

  • A town or city annexes a portion of the adjacent county which includes roads maintained by VDOT

When these events occur, the Code section used depends on whether the locality is a town or a city. The following are the local government actions and Code sections involved with this type of VDOT Secondary to Urban system transfers:

  • Towns – Approval of a §33.2-700 resolution supporting the transfer of specified Secondary roads to the town’s local system
  • Cities – Approval of a resolution citing §33.2-320 to transfer the Secondary roads to the Urban System.

  • Counties – Letter of Support or resolution of support recognizing the transfer of the Secondary roads to the Urban system

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U. Glossary

The following terms and words, when used in this Guide, shall have the following meaning, unless the context clearly indicates otherwise.

  1. AASHTO: American Association of State Highway and Transportation Officials. A regulatory agency responsible for setting technical standards for all phases of highway system development. AASHTO represents all fifty states, Washington D.C. and Puerto Rico and serves as a liaison between the state departments of transportation and the federal government. AASHTO’s primary goal is to foster the development, operation, and maintenance of an integrated national transportation system. The

AASHTO Standing Committee on Highways is vested with the full authority to oversee the numbering and marking thereof of the Intestate and U.S. Highway systems.

  1. Addition: A street proposed for incorporation or the act of incorporating a street as part of the Primary or Secondary System of State Highways. Virginia Code sections for additions vary depending on the type of addition.

  2. Abandonment: The legal action reserved for a county's Board of Supervisors to

remove a Secondary road from the public domain, pursuant to §33.2-909 or §33.2-912; or the legal action reserved for the Commonwealth Transportation Board to remove a Primary road from the public domain, pursuant to §33.2-902 or §33.2-906.

  1. BOS: Board of Supervisors, the governing body of any county or the Suffolk City Council for actions in the former Nansemond County portion of the City of Suffolk.

  2. Commissioner: The VDOT Commissioner of Transportation, the chief executive

officer of the Virginia Department of Transportation.

  1. Commissioner’s Staff: As referenced in this Guide, this term refers to the Commissioner’s direct reports who are responsible for the review and approval of designated highway system changes.

  2. Cost Estimate: VDOT's estimated cost to improve a road to the prescribed minimum standards, exclusive of ineligible project costs.

  3. CTB: Commonwealth Transportation Board. The governing body of the Virginia Department of Transportation.

  4. Data Correction: A particular type of proposed inventory (PI) that recognizes certain changes to the roadway typical section, such as widening, addition of turn lanes, etc.

  5. Dam: A man made structure that is intended to impound water and is subject to differential hydraulic pressure.

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[TABLE 128-1] | setting technical standards for all phases of highway system development. AASHTO represents all fifty states, Washington D.C. and | Puerto Rico and serves as a liaison between the state departments of transportation | and the federal government. AASHTO’s primary goal is to foster the development, | operation, and maintenance of an integrated national transportation system. The | AASHTO Standing Committee on Highways is vested with the full authority to oversee | the numbering and marking thereof of the Intestate and U.S. Highway systems. |

[/TABLE]

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Glossary (continued)

  1. Department: Virginia Department of Transportation (VDOT)

  2. Detention Pond: In storm water management, a facility intended for collection and

controlled release of stormwater.

  1. Developer: The person or entity responsible for the design and construction of public streets. For Rural Additions, a developer is the original owner(s) or successor owner(s) of a street proposed for state maintenance that retain speculative interest in property abutting a proposed addition. (See Speculative Interest.)

  2. Discontinuance: The legal action reserved for the Commonwealth Transportation Board to terminate the Department’s maintenance responsibility of a road, pursuant to §33.2-901 or §33.2-908.

  3. Established: The date for which the right of way for a proposed addition was opened to public use as evidenced by deed, plat dedication, or other means; or the date the street was otherwise opened to public use by motor vehicles.

  4. Extrinsic Structure: Any structure deemed by the Department to be a nonessential element of a street's transportation function.

  5. FHWA: Federal Highway Administration. The U.S. Government agency responsible for the oversight and administration of the Interstate System, the U.S. Numbered Highways System, and the National Highway System.

  6. HSC: Highway System Change. Any change record for an individual segment of

roadway, excluding length corrections.

  1. ICR: Inventory Change Record. Tracking number assigned by RIMS to each highway system change assembly.

  2. LAP: Locally Administered Project

  3. Length Correction: A particular type of PI that is used to validate or correct split

mileage values between intersecting routes or nodes.

  1. LGB: Local Governing Body. The governing body of a county, city, or town.

  2. Locality: A county, city, or town.

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Glossary (continued)

  1. Maintenance: (i) ordinary maintenance; (ii) maintenance replacement; (iii) operations that include traffic signal synchronization, incident management, and other intelligent

transportation system functions; and (iv) any other categories of maintenance that may be designated by the Commissioner of Highways.

  1. Mileage Limitation: Statutory limits on the amount of mileage that a particular highway system change may apply to in any given fiscal or calendar year. Rural additions pursuant to §33.2-335 have a mileage limitation of 1.25 % of the total Secondary system mileage for a county at the beginning of the current fiscal year.

Transfers pursuant to §33.2-314.A have a statewide mileage limitation of 50 miles per fiscal year. Transfers pursuant to §33.2-315.A have a statewide mileage limitation of 150 miles per fiscal year. Additions pursuant to §33.2-339 have a mileage limitation of 0.25 miles in any year.

  1. Minimum Standards: For Rural Additions, the Minimum Standards for New Rural Additions established in the CTB Rural Addition Guidance and the Guide to Highway

System Changes. For new subdivision streets, the standards defined in the SSR or SSAR, whichever is applicable. For other Secondary roads, the standards defined in the VDOT Road Design Manual.

  1. Municipality: An incorporated city or town.

  2. NOIA: Notice of Intent to Abandon

  3. OLU: Office of Land Use, an office of the Virginia Department of Transportation.

  4. PI: Proposed inventory. RIMS terminology for a highway system change.

  5. Plat or Subdivision Plat: The schematic representation of land divided or to be divided indicating property lines, street right of ways, utility and drainage easements, and other pertinent information.

  6. Pro rata Participation: The portion of the estimated cost to improve a rural addition

that is borne by speculative interest, as prescribed in §33.2-335(D)

  1. Public Service Requirement: The requisite number of dwellings, businesses, or other public convenience needed to qualify a road for inclusion into the Primary or Secondary system of state highways.

  2. RA/RE, Resident Administrator/Engineer: An employee of the department assigned to supervise departmental operations within a specific geographical area of

the state consisting of one to four counties.

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Glossary (continued)

  1. Retention Pond: In storm water management, a facility intended to impound and

retain stormwater. It may also serve as a detention pond.

  1. Right-of-Way (ROW): The land, property, or interest therein acquired for or devoted to a street.

  2. RIMS, Roadway Inventory Management System: System used by VDOT to catalog its roadway inventory and process highway system changes.

  3. Road: See Street

  4. Rural Addition Fund: Those funds available for improving streets to prescribed minimum standards for acceptance as a part of the Secondary System of State Highways, pursuant to §33.2-335.

  5. Speculative Interest: Any interest of a developer(s) as defined in §33.2-335(D).

  6. SSAR, Secondary Street Acceptance Requirements: A regulation of the Commonwealth of Virginia for the design, development, and addition of Secondary streets.

  7. SSR, Subdivision Street Requirements: A regulation of the Commonwealth of Virginia for the design, development, and addition of subdivision streets.

  8. Street: The entire width between the boundary lines of every way or place open to

the use of the public for purposes of vehicular travel in the Commonwealth.

  1. Transfer: The moving of roads between the Primary, Secondary, and/or Urban systems of highways.

  2. UPC (Universal Project Code): Tracking number assigned to every project with VDOT oversight and/or funding. The UPC is used to track fiscal expenditures for all phases of a project, whereas an ICR is only assigned to track highway system

changes.

  1. Urban Maintenance Inventory (UMI): Streets within incorporated cities and towns that maintain their own streets for which the municipality receives Urban Maintenance payments from VDOT pursuant to §33.2-319 of the Code of Virginia.

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Glossary (continued)

  1. Vacation: A process reserved for the governing body of a county or municipality under which it may extinguish "any interest in streets, alleys, easements for public

rights of passage, easements for drainage, and easements for a public utility granted" to it "as a condition of the approval of a site plan." (See § § 15.1-480.1 through 15.1-485, Code of Virginia and the section in this guide "Adjustments in the Secondary System.") The Attorney General's Office has held that a vacation does not apply to roads maintained as a part of the Secondary system of state highways.

  1. VDOT: Virginia Department of Transportation

  2. VDWR: Virginia Department of Wildlife Resources (formerly the Virginia Department of Game and Inland Fisheries)

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Virginia Residential Cut-Through Traffic PolicyDoc ID: Policy

Original: 3,878 words
Condensed: 2,251 words
Reduction: 42.0%

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COMMONWEALTH TRANSPORTATION BOARD

POLICY AND PROCEDURES

CONTROL OF RESIDENTIAL CUT-THROUGH TRAFFIC

INTRODUCTION

Section 46.2-809.1 provides that the Commonwealth Transportation Board (CTB) may develop a residential cut-through traffic policy and procedure for the control of residential cut-through traffic on designated secondary highways.

This document sets forth the CTB policy and procedures for the control of residential cut-through traffic on such secondary highways.

POLICY ON RESIDENTIAL CUT-THROUGH TRAFFIC

The policy of the Commonwealth Transportation Board is that the Virginia Department of Transportation (VDOT) will recognize the problems associated with residential cut-through traffic on secondary highways and consider reasonable corrective measures that conform to national standards, use and practice for traffic engineering applications.

PROCEDURE

The procedure for identifying, studying and addressing issues of residential cut-through traffic on secondary highways and the respective roles of the locality and VDOT are laid out in this document.

An overview of the process and the responsible party for each respective task is below:

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THE CUT-THRU TRAFFIC PROCESS

  1. Local Community – Request for Cut-Through Traffic Measures

  2. Locality / VDOT – Conduct Study (determine eligibility etc.)

  3. VDOT – Concurrence with Study and Recommendations

  4. Locality – Determination of Public Support

  5. Locality / VDOT – Public Meeting

  6. BOS or Town Council Endorsement

  7. Locality / VDOT - Implementation

  8. VDOT / Locality - Review

Page 2 of 8

[TABLE 2-1]

  1. Locality – Deter Sup | mination of Public port

[/TABLE]

[TABLE 2-2]

  1. Locality / VDOT | – Public Meeting

[/TABLE]

[TABLE 2-3]

  1. BOS or Town Co | uncil Endorsement

[/TABLE]

[TABLE 2-4]

  1. Locality / VDOT | - Implementation

[/TABLE]

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DEFINITIONS

Residential Cut-Through Traffic is defined in Section 46.2-809.1 as vehicular traffic passing through a residential area without stopping or without an origin or destination within the area.

Such traffic utilizes a “local residential street” rather than streets whose primary function is to accommodate through traffic.

Local Residential Street is a street within a neighborhood with a functional classification of “local” that primarily provides direct access to residences and other abutting land uses intended for the neighborhood’s use (e.g. a playground or recreation center) or for mobility within the neighborhood. Such streets generally have a speed limit of 25 mph or less.

Note: Streets with a functional classification of “local” that historically served through traffic in an undeveloped or rural area and subsequently experienced significant residential development without provision of other higher functioning roads to accommodate that historical pattern of through traffic, are presumed to still be intended for through traffic and are not considered a “local residential street” for purposes of this policy.

Primary Use Area includes all streets whose residents must traverse the cut through street as the most direct vehicular travel route to their residence, regardless of county or town boundaries.

Note: The section of street identified for cut-through traffic measures and the associated primary use area may not be artificially terminated so as to exclude an adjacent locality or section of street whose residents must likewise traverse the cut through street as the most direct vehicular travel route to their residence.

PROCESS FOR CUT-THROUGH TRAFFIC

1. REQUEST FOR CUT-THROUGH TRAFFIC MEASURES – LOCAL COMMUNIITY

Requests for cut-through traffic measures originate from the Homeowners Association (HOA)

or Civic Association (CA) for the neighborhood and are submitted to the BOS or Town Council.

If there is no HOA or CA, the request may originate from a group comprised of at least 10 residences (or 10% of residences) along the street where cut-through traffic measures are requested. If the BOS or Town Council agrees to pursue cut-through traffic measures, they request the locality to conduct a study to determine the eligibility of the candidate street for cut-through traffic measures and identify appropriate traffic control measures to address the cut-through traffic issue.

  1. CONDUCT STUDY (determine eligibility, identify potential measures and impacts etc.) – LOCALITY / VDOT

The locality conducts a study to determine the eligibility of the street proposed for cut-through measures, the nature of the cut-through traffic issue, potential cut-through measures to address the issue and their potential impacts. VDOT confirms interim study findings and conclusions etc. and may assist with the study, depending on the capabilities of the locality, the local VDOT District funding priorities and availability of resources. The study will address

the following components.

i. Eligibility

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To be eligible for consideration of cut-through traffic measures the locality first verifies that the street proposed for cut-through traffic measures is a secondary road (route is numbered 600 or above) in the state system of highways and is a “local residential street” as defined above.

II. Additional Requirements

For streets meeting the above eligibility requirements, the locality then determines that the requirements listed below are met. In order to assess these requirements the locality first

identifies the “primary use area” pertaining to the street identified for cut-through measures, then determines if:

  • For at least one hour of the day on a typical travel day of concern (typically a weekday, excluding holidays but may be other days/times of day) in a single travel direction, the street must have a minimum “residential cut-through traffic” volume of 150 vehicles or more that comprises 40% or more of the total vehicular traffic in the same hour and travel direction (e.g. on a street for a particular travel day where there is a total hourly traffic volume of 1,375 vehicles in a single travel direction, 550 or more vehicles within the same hour and travel direction must be cut-through traffic).

  • There is a reasonable alternate route for traffic to avoid potential cut-through measures on the candidate street that does not create a similar or greater cut-through traffic issue on other “local residential streets.” Residential cut-through traffic controls may only be imposed where such an alternate route can be reasonably identified. In determining a reasonable alternate routing, consideration must be made to its suitability to carry the

additional traffic (operations and safety per Section iii), continuity/connectivity and the additional time and distance imposed on motorists.

III. Identify cut-through issue, proposed measures and their impacts

If it is determined that the additional requirements are also met, the locality then identifies and documents:

  • The nature and origin of the cut-through traffic issue (e.g. cut-through traffic is due to left-turning vehicles at a connecting street upstream during the a.m. peak traffic period).

Note: in some cases improvements to the surrounding street network, such as updating signal timings at associated intersections etc. may alleviate the cut-through traffic issue.

  • The recommended cut-through measures to address the issue (e.g. post signs restricting left turns during the a.m. peak traffic period).

  • Consideration of any significant impacts on operations and safety such as on the identified alternate route due to the extent of traffic diverted by the proposed cut-through measures which may create extended traffic queues and delay at intersections or decreased safety for pedestrian circulation and activity.

IV. Selection of Cut-Through Traffic Measures

VDOT’s Guidance for Measures to Control Cut-Through Traffic provides guidance for the selection and application of the appropriate cut-through traffic measures. Traffic control techniques used for cut-through traffic measures must conform to traffic engineering standards and practice and may include regulatory signs that prohibit certain traffic movements and the use of barriers that physically prevent certain vehicular traffic movements. § 46.2-830 provides that the Commissioner of Highways may mark state highways and provide a uniform system of

Page 4 of 8 --- Page 5 ---

traffic control devices for such highways under the jurisdiction of the Commonwealth and that all drivers of vehicles shall obey such lawfully erected traffic control devices.

v. Consultation with Local Officials

Potential impacts of the proposed cut-through measures on Fire & Rescue routes, bus routes and student commutes -walking or driving- of nearby schools shall be considered and the associated officials, including law enforcement who may be involved in enforcing the measures, consulted as appropriate. The study recommendations should consider and address concerns appropriately.

VI. Other Affected Locality’s

Where the “primary use area,” the candidate street for cut-through measures or the identified alternate route potentially extends into or impacts an adjacent locality, concurrence must be obtained from the affected locality for the portion of the identified streets within their boundaries and; for the operational or safety impacts on their streets imposed by the proposed

cut-through measures. If agreement between the localities cannot be reached on the various issues, the VDOT District Administrator will render a binding decision.

VII. Study Documentation

Upon completion of the study that addresses the previous requirements, the locality submits the study along with the following documentation for VDOT’s review and confirmation.

  • Mapping and other information identifying the candidate street for cut-through measures, the alternative routing and the “primary use area’ including street names, route numbers, functional classification of streets etc.
  • Documentation of the methodology used (e.g. trip generation methods) and the associated data (e.g. # of residences, trip rates, traffic count data etc.) used to determine that the candidate street meets the residential cut-through traffic volume.
  • Data and related analysis demonstrating the nature and origin of the cut-through traffic

  • Description of the proposed cut-through traffic measures (type, location, time of day etc.)

  • The assessment of any impacts of the proposed measures such as on the identified alternate route including related data and analysis etc.

3. CONCURRENCE WITH STUDY AND RECOMMENDATIONS – VDOT

VDOT reviews the study results and recommendations, notes any additional items or limitations etc. that need to be addressed and confirms the eligibility of the street for cut-through measures and approves the study results and recommendations for proposed cut-through traffic measures and their relative impacts.

Where VDOT identifies revisions to the study such as a change to the “primary use area,” the

nature of the identified cut-through traffic issue, the alternate route, the impacts of imposed measures etc. they will coordinate with the locality on appropriate adjustments.

Streets not meeting eligibility criteria

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For streets not eligible for cut-through traffic measures, mitigation provided under other VDOT residential programs can be considered, as the requirements for those programs varies.

Disagreement between Localities

Where there is a disagreement between the parties (the locality originating the proposal, an adjacent locality and/or VDOT) in regard to the study conclusions or recommendations, the VDOT District Administrator will render a binding decision.

4. DETERMINATION OF COMMUNITY SUPPORT - LOCALITY

Community Review

Upon VDOT’s confirmation of the study and recommendations, the locality presents the results of the study and the recommended cut-through traffic measures to the community within the “primary use area” for a review period of 30 days. The study recommendations may be presented via a public meeting and/or by a combination of other means normally used by the locality, HOA, CA etc. to properly inform the local community such as websites, bulletins or forums, e-mail and/or postal distribution or newspapers.

Conduct Survey, petition etc.

After the community has reviewed the proposal, the locality conducts a petition, survey, or other appropriate process to determine if the required level of community support for implementation of the proposed cut-through measures is met. At least 2/3 of the occupied

residences on the streets identified in the “primary use area” must support the proposed cut-through measures as indicated by their signature on a petition or by a ballot/vote etc. where each residence gets a single ballot/vote or signature.

5. PUBLIC MEETING – LOCALITY / VDOT

Upon confirmation that the proposed cut-through measures have the required community support, the locality holds a public meeting to provide for public input on the study recommendations.

Pre-Public Meeting Requirements

Thirty days prior to the public meeting, a notice of the public meeting is made to the community. Notice shall include the action to be taken, the date of the public meeting and

contact information for questions and to submit comments. Notice is made by (i) posting signs at the terminus of the route proposed for cut-through measures and (ii) a notice through media normally used by VDOT or the locality, HOA, CA etc. to inform the local community of events and activities such as websites, bulletins or forums, e-mail and/or postal distribution or newspapers. Additionally, the appropriate state and local elected officials representing the residents in the primary use area and any adjacent (affected) localities should be notified of the public meeting.

VDOT participation in public meeting

The local VDOT office will coordinate with the locality on their involvement in the public meeting.

6. BOS OR TOWN COUNCIL ENDORSEMENT

Page 6 of 8 --- Page 7 ---

Following the public meeting, and after appropriate consideration of the public comments received, the BOS or Town Council submits a resolution to VDOT indicating their endorsement for the implementation of cut-through measures and (i) a description of the measures to be implemented (ii) confirmation that the proposal has the appropriate public support and that at least 2/3 of the occupied residences in the “primary use area” support the proposal (iii) the funding to be used for implementation (iv) confirmation that local law enforcement will enforce any proposed regulatory measures, if appropriate.

The approved resolution is conveyed to VDOT along with (i) a synopsis and transcript of the public meeting and (ii) verification and supporting documentation (survey packet, survey methodology etc.) demonstrating that a valid petition, survey or other process was conducted to determine that the required threshold for community support (2/3 of the occupied residences in the “primary use area” concur with the proposed cut-through measures) was obtained.

Funding

The approved cut-through traffic measures may be funded with state secondary road funds with the concurrence of the board of supervisors. Due to limited secondary funding, local funds may also be needed, particularly for measures other than signs.

7. IMPLEMENTATION –LOCALITY / VDOT

VDOT reviews the BOS or Town Council resolution and confirms the measures to be implemented.

Implementation

Prior to the implementation of the identified measures

  • Notification to the BOS or Town Council is made of the pending action and the date of implementation.

  • Signs providing notification of the pending action will be placed on the affected street(s) for a 30-day period with contact information of appropriate person(s) to answer questions.

  • Implementation of the cut-through measures may include temporary construction to allow for the evaluation of their effectiveness.

The Locality then implements the proposed measures, in consultation with VDOT and where they have the appropriate VDOT permitting to complete such work on VDOT’s right-of-way.

VDOT will assist with or carry out the implementation, depending on the capabilities of the locality and the VDOT District funding priorities and resources.

8. REVIEW – VDOT / LOCALITY

After the cut-through measures have been in operation for at least 30 days, if an issue arises or as otherwise deemed necessary, a review of the installed measures may be made to determine their effectiveness and safety. If the review indicates the cut-through measures have resulted in an operational or safety issue, the modification or removal of the measures may be required. VDOT will coordinate with the locality on the appropriate actions to be taken.

Typically, any modifications or removal of measures will be conducted by the party that implemented the original measures, utilizing the same source of funding.

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VDOT will typically conduct a review of the installed measures however, where the locality installed the measures and if VDOT agrees, they may conduct the review in consultation with VDOT, informing VDOT of the results along with the appropriate documentation.

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VDOT GUIDANCE FOR MEASURES TO CONTROL CUT-THROUGH TRAFFIC

Traffic control techniques used for cut-through traffic measures must conform to standard traffic engineering practice for such applications in conformance with the most current adopted editions of the Manual of Uniform Traffic Control Devices (MUTCD) and the Virginia Supplement to the Manual of Uniform Traffic Control Devices, VDOT’s Road and Bridge Specifications and Standards and Road Design Manual.

Traffic control applications may include regulatory signs that prohibit certain traffic movements or barriers that physically prevent certain vehicular movements. Barrier applications must conform to any applicable VDOT design standards and specifications.

Below is guidance for various applications however, there may be other viable applications not included here.

Regulatory Signs

Various regulatory signs placed appropriately at an intersection in conformance with the MUTCD etc. (per above) can be used to prohibit certain traffic movements in order to control cut-through traffic. Examples of such signs that may be used are below.

R3-1 R3-2 R3-3 R3-27

To illustrate the use of these signs, where a cut-through traffic issue is due to left-turning traffic, a sign restricting left turns could be installed. Typically, such issues occur at specific times of the day therefore, a regulatory sign restricting left turns would also include a

supplementary plaque specifying the times it applies (as shown on above sign on the far right).

NOTE: Where these signs are used in conjunction with Virginia Code Section 15.2-2022.1, a supplementary plaque would be added indicating “Except by Permit" or “Except Buses or by Permit" where buses are also exempted to allow residents in the designated area to make turns where they would otherwise be restricted. The application of Section 15.2-2022.1 is limited to use by a county operating under the urban county executive form of government (presently this is only Fairfax County), after an ordinance providing for the issuance of permits to residents in a designated area which allows them to make turns into or out of the area where they are otherwise restricted.

Page 1 of 8

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Other Signs

Various signs are sometimes used where they are not specifically intended under standard traffic engineering practice. For example, All-Way stops (AWSC) are sometimes used at one or more intersections along a street in an attempt to reduce cut-through traffic or slow traffic.

However, such use where it is not warranted may introduce additional safety risks. For example, numerous studies show that unwarranted stop signs may increase safety risks to crossing pedestrians as well as vehicles who presume motorists will stop as required at a stop sign when in reality they may proceed without stopping, in an attempt to make up lost time for stops they perceive as unnecessary.

Therefore AWSC should only be used per standard traffic engineering practice in conformance with the MUTCD which refers to their use to address a specific safety issue at an intersection such as where approaching traffic encounters an intersecting street/location

with a high volume of crossing vehicles/pedestrians and/or cannot properly see such crossing vehicles/pedestrians, thus requiring a stop.

Barriers

Barriers can be constructed in various configurations to physically prevent certain vehicular traffic movements while still allowing access for pedestrians and bicycles as well as emergency vehicles in some instances by utilizing mountable curb or bollards etc.

There are various disadvantages with barriers such as they are in effect (i.e. restrict traffic) for all hours of the day, prohibit (apply to) all types of traffic (i.e. through-traffic as well as local traffic) and impede emergency and transit access as well as large trucks. However, barriers should be constructed to allow access by bicyclists and pedestrians and; provide access for emergency vehicles where applicable by utilizing mountable curb, bollards etc.

Examples of the potential application of barriers drawn from the Federal Highway

Administration (FHWA) “Traffic Calming e-primer” (see https://safety.fhwa.dot.gov/speedmgt/ePrimer_modules/module3pt3.cfm#mod321) are below and include; diagonal diverters, full closures, half closures, median barriers and forced turn islands.

Note: Refer to the above FHWA site for further details on the appropriate application and implementation of the various barriers which may have limitations in regard to their design, operational aspects, maintenance and location/placement. Additional constraints may apply as well in regard to speed limit, vehicle speeds, traffic volumes, emergency vehicles, large buses and trucks etc. Additionally, various barriers may require regulatory or warning signage to properly inform motorists of the approaching barrier, their maximum speed and prohibited or allowable actions (e.g. right turn only, dead end etc.) etc.

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DIAGONAL DIVERTER - A diagonal diverter is a physical barrier placed diagonally across a four-legged intersection that prevents straight-through vehicular traffic movements at an intersection, and thus creates two unconnected intersections. The design can be modified by utilizing mountable curb to allow through access by emergency vehicles. The design used by the Delaware Dept. of Transportation per below provides full pass-through access for bicycles and pedestrians.

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HALF CLOSURE - A half closure is a physical barrier placed at an intersection to prevent selected vehicle traffic movements to or from the intersection, blocking vehicle travel in one direction thus creating a one-way street for a short distance on an otherwise two-way street.

A half closure can block either entering or exiting traffic, depending on its placement. The design used by the Delaware Dept. of Transportation per below provides full access for bicycles and pedestrians.

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FULL CLOSURE – Involves a physical barrier that completely closes the street to through vehicle traffic, either at an intersection or midblock. Various types of barriers may be used to achieve full closure such as a landscaped island, wall, gate, side-by-side bollards, or any other obstruction that leaves an opening smaller than the width of a passenger car. At the entrance to the full closure block, a Dead End or Cul-de-sac sign is required. There are no pavement markings specific to this measure.

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MEDIAN BARRIER – This is a raised island placed along the centerline of a street through an intersection that prevents vehicles from traveling straight through the intersection. It can be designed to allow turns to and from the main street, while still preventing through traffic from the side street from crossing the main roadway. The design used by the Delaware Dept. of Transportation per below provides pass-through access for bicycles and pedestrians.

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[TABLE 14-1] MEDIAN BARRIER – This is a raised island placed along the centerline of a street through an intersection that prevents vehicles from traveling straight through the intersection. It can be designed to allow turns to and from the main street, while still preventing through traffic from the side street from crossing the main roadway.

[/TABLE]

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FORCED TURN ISLAND - Involves a raised traffic island, typically triangular in shape at the mouth of an intersection that blocks certain traffic movements approaching the intersection. It channels traffic to the right and blocks left and through movements and; prevents entering traffic from the leg opposite the island and left-turning traffic from the adjacent leg. The design used by the Delaware Dept. of Transportation per below provides access for bicycles and pedestrians.

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Traffic Calming Devices

Although the primary purpose of certain traffic calming devices is to reduce vehicle speeds certain devices (speed humps, speed tables and other similar vertical devices) can also reduce traffic volumes. However, the reduction of traffic is limited to 20% on average, and may reduce local traffic as well as cut-through traffic therefore, they are not recommended as a primary means to address cut-through traffic.

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Financial Benefits for Displaced PersonsDoc ID: VDOT

Original: 5,822 words
Condensed: 4,872 words
Reduction: 16.3%

Guidance Document for Determination of Certain Financial Benefits For Displaced Persons

Effective December 13, 2017 Issued by VDOT’s Right of Way and Utilities Division to accompany Chapter 6 24 VAC 30-41-10 et seq. (Rules and Regulations Governing Relocation Assistance)

CONTENTS

INTRODUCTION ................................................................................................. 1

1. REIMBURSEMENT FOR MOVING PERSONAL PROPERTY - RESIDENTIAL .......... 2

2. OWNER PURCHASE SUPPLEMENT .................................................................. 4

3. RENTAL REPLACEMENT HOUSING PAYMENT .................................................. 7

4. FIXED PAYMENT IN LIEU OF ACTUAL COST (IN-LIEU PAYMENT) ................... 10

5. BUSINESS REESTABLISHMENT EXPENSES .................................................... 14

6. ACTUAL DIRECT LOSS OF TANGIBLE PERSONAL PROPERTY ......................... 17

7. LAST RESORT HOUSING ............................................................................. 20

8. FORMS..…………………………………………………………………………24

iIntroduction This document provides guidance in the determination of various types of financial benefits for residential and non-residential displaced persons. It will help the experienced relocation agent to resolve questions that are encountered in administering the program on the project level. It also provides a reference to assist newly assigned relocation personnel to become familiar with basic financial benefit concepts.

The content of this document augments and expands on information presented in 24 VAC 30-41-10 et seq. To assist the reader, references to the regulation are prominently located before the discussion of each benefit.

There is only limited coverage in this attachment of eligibility criteria, and no coverage of advisory services or program administration. These topics are addressed in the text of 24 VAC 30-41-10 et seq.

This guidance focuses on basic benefits and typical relocation situations, not on unusual cases. One of the features of relocation is the incidence of cases where the facts “fall between the cracks” of existing policy. Unusual or unique case situations should be brought to the attention of management as soon as identified. Decisions may require special interpretation of policy, while recognizing the importance of consistent and equitable administration of the relocation program on a statewide basis. 1

1. REIMBURSEMENT FOR MOVING PERSONAL PROPERTY -

RESIDENTIAL Related Procedure: Part 5 – Moving Costs - Residential Moves The two move options, actual cost and the moving expense schedule, each have features that a displaced person should carefully consider before making a choice. The relocation agent should explain the options on the initial meeting at which relocation benefits are discussed. The agent should not expect a decision until the displaced person has been advised of the amount of the payment under the schedule, and has had an opportunity to secure an estimate for a commercial move.

The Moving Expense Schedule The schedule payments are based on a room count of the dwelling and other storage areas, such as basements and attics, containing personal property. The schedule is developed by VDOT. It is compiled with schedules of other states and published on a national basis by the Federal Highway Administration. It is updated as requested by the Federal Highway Administration. The relocation agent should be sure of using the latest schedule update when working on a project.

Features of Schedule Move

  1. Administratively simple for displaced person and VDOT. No support required for claim beyond the room count, and performance of the move.
  2. Allows maximum flexibility to displaced person. Move can be performed by family, or a commercial mover may be hired.
  3. No additional reimbursement if actual move cost exceeds schedule.
  4. No added reimbursement for storage of personal property, packing, unpacking or incidental costs such as appliance hook up. These items are all included in the schedule. 2 Features of Actual Move Expense Reimbursement
  5. All reasonable costs are paid, including those specified in last bullet above.
  6. Requires close coordination of agent with movers to secure estimates.
  7. Storage costs paid up to maximum of 12 months See 24 VAC 30-41-210 C(5).
  8. Move reimbursement limited to 50 miles (unless special approval).

Steps in the Process

  1. Options and features of each option are explained to the displaced person (see above).
  2. A count is taken of all rooms and storage areas containing personal property.
  3. Displaced person is advised of the room count, and the schedule amount.
  4. If the displaced person has not made a decision to accept the schedule move reimbursement, move bids or estimates are secured. See 24 VAC 30-41-210.
  5. Displaced person is asked for a final decision on move reimbursement method.
  6. Displaced person moves with own resources, or contracts with a commercial mover to perform the move.

Schedule – (for illustration purposes only) 1st Room 2nd Room Additional Rooms Occupant Owns Furniture $300 $500 +$100 Occupant does not own furniture $225 $260 + $35 Important Points

  1. The schedule is revised periodically. The current schedule should be used.
  2. A displaced person who does not own furnishings is reimbursed less. Look for the “Occupant does not own furniture column”. This column is included above.
  3. A “room” may include outside storage, garage or basement that contains personal property.

Example Move Expense Reimbursement An elderly couple has a lifetime of possessions including antiques, and mementos from travels.

There are 6 rooms in the house plus basement and garage. A commercial mover has submitted an estimate of $2,000. They ask your advice. 3 Agent should suggest an actual cost commercial move. Schedule will only yield $1,100 (8 rooms).

Higher commercial move estimate reflects needed packing, unpacking and insurance. Elderly may not desire to perform move themselves. However the decision is with displaced couple.

2. OWNER PURCHASE SUPPLEMENT

2. OWNER PURCHASE SUPPLEMENT

Related Procedures: 24 VAC 30-41-30 – “comparable replacement housing” defined 24 VAC 30-41-340 through 370 - Eligibility 4 24 VAC 30-41-430 through 480 – Payment DeterminationThe owner purchase supplement is the amount which, when added to the amount of the acquisition price of the displacement dwelling, equals the cost of a comparable dwelling.

It is very important, before determining or processing a claim for any relocation benefit, to verify that necessary eligibility criteria have been met. For consideration for the owner purchase supplement, the displaced family must have been in occupancy for 90 days before the first offer by VDOT to purchase the displacement property. To qualify to submit a claim, the owner occupant displaced person must purchase and occupy a dwelling, within one year, meeting decent, safe, and sanitary (DSS) standards. These requirements are specified in detail in 24 VAC 30-41-30 (“Definitions”).

Steps in the Process

  1. Determine Displaced persons eligibility for benefits is determined.
  2. Characteristics of the home and the family being displaced are identified by interview, and the premises are inspected. Use form RW–69A to record information.
  3. Essential requirements of comparable replacement housing for the displaced household are determined, in terms of number of bedrooms and baths, and type of dwelling, location characteristics, special needs, such as one floor plan to accommodate elderly or disabled etc. See the definition of “comparable replacement housing” in 24 VAC 30-41-30 (“Definitions”).
  4. A search is conducted for comparable replacement housing, using resources such as contacts with brokers, published listings and personal observations. At least three dwellings meeting comparable criteria should be located and inspected to select the most comparable dwelling. Use form RW-69B.
  5. A price differential is computed as in the following example on the following page, using form RW-62A.
  6. Displaced person is advised of maximum Purchase Supplement amount, and the address of the most comparable dwelling through form letter RW-65A(1).
  7. Displaced person locates and contracts for purchase of a replacement dwelling and arranges with assigned agent for a DSS inspection.
  8. Relocation agent performs DSS inspection. Any deficiencies must be corrected before a claim for Purchase Supplement is submitted. 5
  9. Displaced person closes on purchase of replacement dwelling and executes claim for payment on form RW-65A(1) or RW-65B(1).

EXAMPLE Owner Purchase Supplement

Cost of comparable .............................................................................. $105,000 LESS: Acquisition price VDOT pays for displacement dwelling ................ $95,000 Maximum Owner Purchase Supplement (price differential) ..................... $10,000

If displaced person purchases a replacement for $100,000, the actual Owner Purchase Supplement will be $5,000. The payment claim is based on the lower of the estimated cost of comparable housing as determined by VDOT, or the actual cost of the replacement actually purchased.

Discussion

Note that the VDOT determined purchase supplement is a maximum amount. The actual

claim will be based on amount the displaced person actually pays for a replacement

dwelling, if lower. This is known as the “spend to get” rule. It is important that displaced

persons understand this provision at the time they are searching for replacement housing.

The basic concept of the owner purchase supplement as presented above is quite simple.

However, actual cases are often complicated by the infinite variety of displaced person

circumstances and living arrangements that are encountered. In addition, the statutory

model for the owner purchase supplement is the whole take of a dwelling on a typical size

site. In reality, there is great variety in the types of acquisitions, forms of ownership, and

in the physical characteristics of properties acquired. Some of these special situations are

discussed in Part VIII of the regulation. Situations that are not addressed in the regulation

should be brought to the attention of the Regional Manager or the Right of Way Manager.

There should also be close coordination with the Central Office to resolve policy questions

quickly, in a fair and consistent manner.

The owner purchase supplement is one of several items in the total replacement housing

benefit package for which long term owners (over 90 days) are eligible. The other items

are reimbursement of incidental expenses incurred in purchase of replacement housing,

6and payment for increased interest costs. This benefit package is referred to collectively as the replacement housing payment. There is a program limit of $31,000 imposed by law on the total amount for the replacement housing payment. However, there is an overriding provision of law that requires comparable replacement housing be made available to displaced persons. The apparent conflict is resolved by considering claims over $31,000 under the special authority and controlling rules of Last Resort Housing.

Refer to Part XI of the regulation for a full explanation of Last Resort Housing.

Displaced persons must relocate to DSS housing to qualify for payment. The agent should encourage the displaced person to place a clause in any purchase contract that states: “This contract is subject to the house passing an inspection by the Virginia Department of Transportation for compliance with decent safe and sanitary standards”. If an inspection discloses DSS deficiencies, they must be corrected before a claim is accepted by VDOT.

The cost of correcting DSS deficiencies, if paid by the displaced person, may be included in the total cost of the dwelling.

Displaced persons eligible for an owner purchase supplement may choose to rent, rather than purchase replacement housing. They are eligible for consideration for a rent supplement payment as presented in 24 VAC 30-41-510 (“Owner-Occupant for 90 Days or More Who Rents”). 7

3. RENTAL REPLACEMENT HOUSING PAYMENT

Related Procedure: Part 9

The rental replacement housing payment (rental supplement) is simple in its basic

concept. It is the difference in rent before and after relocation (if any) for a period of 42

months. A maximum amount is determined by VDOT based on the rent for a comparable

available unit. The tenant is advised of this maximum amount and the specific dwelling on

which it was based. The tenant displaced person then rents a replacement unit and the

actual amount claimed is based on the lower of the rent on the VDOT identified

comparable unit, or the unit the displaced person actually rents and occupies.

EXAMPLE

Rental Assistance Payment (basic)

Determination of Maximum payment: Rent on available comparable rental unit, including utilities…….……. $600 LESS: Displaced person monthly rent including utilities…………….. $550 Monthly rent difference……………………………………………………………. $50

X 42 months Maximum Rent Supplement amount ..…………………………$2,100 If the replacement unit is less than the comparable rental unit: Rent of replacement unit actually occupied (including utilities) = $575 Actual Rent Supplement amount ($25 X 42 months) = $1,050

The rent supplement amount actually paid is subject to the same “spend to get” limitation

as applicable to owner purchase supplements. The tenant displaced person should be

advised of this provision.

The relocation program assures that housing will be available within a displaced person’s

financial means. For tenants whose gross household income is classified as “low income”

by HUD , housing within financial means is 30% of gross household income. Thus, for

8 tenants paying 30% or more of income in rent and utilities before relocation the rent

supplement determination will be based on monthly income, not rent paid.

EXAMPLE

Rent Supplement (low income)

Same facts as above example except 30% of displaced person gross monthly household income from all sources = $510 (income = $1,700) Determination of maximum payment: .... Rent on available comparable rental unit, including utilities …………………….. $600 Less: 30% of displaced person income …………………………………… $510 Monthly rent difference………………………………………………………… $90 X 42 months Maximum Rent Supplement Amount ......................................................... $3,780 The displaced person rented a $575 replacement unit as in above example. The actual amount claimed is thus $2,730 because of the “spend to get” provision ($575-$510 =$65 X42 months = $2,730)

The term “base monthly rent” is used to express the lower of 30% of income, or the

actual amount paid for housing before displacement.

Steps in the Process

The steps in the process to be performed by the relocation agent are essentially the same

as for the owner purchase supplement. However, two additional data items must be

determined for a tenant displaced person. Monthly gross income must be identified, to

determine if it is classified as “low income” to provide housing within their financial means.

In addition, utility costs (heat, water, sewer, and electric) must be determined if they are

not included in stated rent.

Income

The agent should explain the relevance of income and ask for verification, by way of pay

stubs, W-2 statements etc. If the displaced person declines to provide verification, the

rent supplement should be based on rent actually paid.

9Utilities Utilities are a necessary cost of housing and thus part of the determination of the rental benefit. Utility costs (heat, water, sewer, and electric) are to be added to the rent for the displacement determined comparable, and the replacement dwellings to the extent they are not included in the stated rent. Information may be secured or verified by billing statements or utility company records. If actual billings cannot be determined, the utility company may provide average costs for units of different types and sizes.

Special Rules If the tenant displaced person is paying little or no rent because of a family relationship with the owner, the market rent may be used to determine the rent supplement.

However, if the low rent favorable to the displaced person merely results from long tenancy the actual rent will be used.

The rent supplement is subject to a limit of $7,200. However, just as with the Owner replacement housing payment, a higher computed payment will be paid under authority of Last Resort Housing.

The full amount of a rent supplement may be used as a contribution to a down payment for a tenant displaced person who purchases replacement housing.

A tenant who receives a Section 8 subsidy may usually transfer that subsidy to a replacement dwelling. See 24 VAC 30-41-580 (“Section 8 Housing Assistance Program”). 10

  1. FIXED PAYMENT IN LIEU OF ACTUAL COST (In-Lieu Payment) Related Procedure: 24 VAC 30-41-320 Discussion The “In-Lieu of” Payment, as indicated by its name, is an exclusive alternative to all other payments for which a business (also farms and non-profits) may be eligible. It is a payment based only on income of the enterprise and has no relationship to the cost of relocation.

This payment has a maximum $75,000 and minimum $1,000.

The eligibility criteria for the In-Lieu payment are summarized below.

  1. Business is not part of an entity having more than 3 other locations engaged in the same activity.
  2. The business must contribute materially to the operator’s income.
  3. The business must have property on the site acquired, which would be eligible to be moved and a cost would be incurred in such move and the business vacates or relocates from the displacement site.
  4. Business cannot be relocated without a substantial loss of patronage.
  5. The business is not operated at a dwelling or site solely to rent such dwelling or site to others.

The above is a summary. Refer to 24 VAC 30-41-320 (“Fixed Payment In Lieu or Actual Costs”) for a complete discussion. The application of the above criteria sometimes presents difficulty, particularly items 2 and 4.

The term ”contribute materially” has a specific definition found at 24 VAC 30-41-30. Note that the 4 part definition is very specific and sets a low threshold of eligibility. Only minor economic activities would not qualify as contributing materially to income.

The “substantial loss of patronage” requirement is to be assumed to be satisfied unless there is a specific reason evident for loss of patronage not to occur. This is an 11 acknowledgment that involuntary displacement is bound to cause disruption of a business clientele and income.

In-Lieu payment eligibility is based solely on the above stated criteria. Eligibility is not dependent on any relationship of the amount of the In-Lieu payment to the amount of relocation expenses that would otherwise be eligible for reimbursement.

Benefit Determination The amount of the payment is the average annual income for the business for the 2 tax years preceding the year displaced, as in the following example:

EXAMPLE Fixed Payment In-Lieu Of Actual Cost Joe’s Barber Shop – displaced July 1998 Income: 1998 (1/2 year) ................. $7,000 1997 ................................... $17,000

1996 .................................. $22,000

Payment: $17,000 + $22,000 = $19,500

2 years Joe is eligible for the $19,500 “In-Lieu of” determination even if he does not relocate the business. If the business is relocated and actual move cost is greater than $19,500, the claim will not be changed. The displaced person has accepted this payment option “in lieu of” all other benefits.

Income The displaced person must provide documentary verification of income to be eligible for any In-Lieu claim over the $1,000 minimum level. The agent should ask for certified copies of State or federal tax returns or CPA certified financial reports. Other support may be acceptable on approval of the Regional Manager.

In determination of net income, include income before taxes. Also, include any salary paid to the owner, the owner’s spouse, and dependents. Many specific questions can arise in 12 determining income, and these should be resolved in consultation with the Central Office to assure consistency in administering the program.

Steps in the Process

  1. The business operator is interviewed to determine the critical relocation needs, including site, special permits, clientele, and the intentions of the operator to relocate, or discontinue operations. (Use RW-69A(1))
  2. The site should be toured with the business operator. Note specialized or complex equipment, inventory storage, offices.
  3. The full range of benefits is explained including move expenses, reestablishment cost reimbursement, search expense reimbursement, etc.
  4. The “In-Lieu of” payment benefit is explained. If there is interest, information is secured necessary for an eligibility determination (1-5 above)
  5. If eligible and displaced person is interested, income facts and necessary documentation to verify income is secured.
  6. The displaced business operator is advised of the preliminary determination of the “In-Lieu of” amount.
  7. Commitment is sought after business operator has had opportunity to consider benefit options.
  8. Claim documentation is assembled and moving cost approval letter is sent.

The Fixed Payment In-Lieu of Actual Cost will be particularly attractive to displaced businesses in the following circumstances:

  1. Operator is contemplating retirement, or otherwise has decided to discontinue operations.
  2. The “In-Lieu of” payment amount significantly exceeds cost of moving business.
  3. Operator desires administrative simplicity of not having to support actual move costs Operator faces loss of clientele, and cash payment will help sustain business after relocationFarms and Non-profits are Eligible A farm operation must be determined to be displaced if the acquisition is a partial take (See 24 VAC 30-41-320 (“Fixed Payment In Lieu of Actual Costs”)). A non-profit 13 organization income, for purposes of the In-Lieu benefit, is gross revenues (fees, donations etc.), less administrative expenses.
  4. BUSINESS REESTABLISHMENT EXPENSES Related Procedure: 24 VAC 30-41-310 This benefit is a limited ($25,000 maximum) reimbursement of actual costs incurred by a displaced business (also farm or non-profit) in any of 12 categories. The relocation agent should fully explain the benefit, with particular attention to those items that seem applicable to the specific displaced business. To aid the practical application of this important benefit the reestablishment categories are presented below with examples of cost items that are reimbursable.

Reestablishment Expenses

  1. Repairs or improvements required by law.

Is the business subject to health and safety regulations that require that the building be modified? For example: employee shower facilities; sprinkler system; handicap access.

  1. Modification to accommodate business operation.

Does the relocation property need renovations to satisfy business needs? For example: Installation of customer counters; office layout; reception area.

  1. Construction or installation of exterior signage.

New signage not relocated and paid as a moving cost can be reimbursed as a reestablishment expense.

  1. Redecoration or replacement of worn surfaces.

New carpet, paint or wallpaper may be a legitimate need for any business that serves a clientele on site, such as a real estate office, or retail store. 14

  1. Advertisement of replacement location.

Any business having a public customer base will have a need to advertise a new location, to some degree. Even a business serving a specialized small clientele will need to print and send notices, as a minimum.

  1. Increased Cost of operation for the first two years.

Rent, taxes, insurance, utilities or other operating costs may be reimbursed to the extent they individually exceed what had been paid before displacement.

  1. Other items considered essential.

Other legitimate costs proposed for reimbursement should be discussed with the Central Office Relocation Section before approval.

General Discussion It should be evident from the inclusive list and examples that it is not difficult for many displaced businesses to qualify for the maximum claim amount of $25,000. Note that there are no individual item limits, so the claim ceiling may be reached with one or two of the eligible expense categories. The Department has a responsibility to administer this benefit in a manner that is equitable, consistent and in compliance with authorizing legislation.

Therefore, all claims for the reestablishment need to be supported by receipted bills, and clearly referenced to one of the above categories.

Note there is overlap in several of the categories. Repairs and modifications may be performed under items 1,2 or 4.

Note that reinstallation of signage (3) may be paid as a moving expense. It is best to use this option as they are not subject to the $25,000 ceiling as moving expense items. 15 Following items are specifically not eligible for reimbursement: a) purchase of capital assets, b) purchase of raw material or inventory, c) interest on loans. See 24 VAC 30-41-310 C (“Reestablishment Expenses”) for a complete discussion of ineligible items.

The Business reestablishment expense benefit can be an essential help to displaced small businesses, most of which will incur many other unreimbursable direct and indirect costs.

The relocation agent should assist the business operator in identifying legitimate expenses that can be paid with this benefit. 16

6. SUBSTITUTION OF PROPERTY AND ACTUAL DIRECT LOSS OF

TANGIBLE PERSONAL PROPERTY

Related Procedure: 24 VAC 30-41-290

A displaced business (also farm or non-profit organization) owner may choose not to move

certain business personal property to the relocation site. Items may be obsolete, not

functional, or be very bulky. The cost to move such items may exceed their value. The

actual direct loss claim allows the business owner to dispose of such property, and be

reimbursed for any resulting costs or loss, up to the estimated cost to relocate the item.

This payment has two forms, corresponding to whether or not the item not moved is

replaced with an item serving the same function at the replacement business site.

Item is Replaced. (Substitute Equipment Payment)

Under this option the business replaces obsolete equipment with new items serving the

same function.

EXAMPLE

Direct Loss of Tangible Personal Property

Item Replaced (Substitute Equipment Payment)

Speedy Printing Co.

Item not moved – old printing press

Cost of Substitute Item ................................................. $30,000 PLUS: Installation Cost ........................................................ $1,000 Total Cost ............................................................ … $31,000

Proceeds from sale of old printing press .............................. $15,000 LESS: Cost of the sale ........................................................... $1,500 Proceeds of sale................................................ $13,500 Net Loss ($31,000 - $13,500) ………………………………………………………… $17,500

Estimated cost to move and reinstall the old printing press ………….……….$8,000 Speedy Printing Co. is paid $8,000. The payment cannot exceed the estimated cost to move the old printing press.

If the item replaced is traded-in rather than sold, the trade in value is used.

17Item is Not Replaced The Speedy Printing Co. has an obsolete collating machine. They have kept it primarily as a back up for a newer machine. They do not need it at the relocation site and want to sell it before they move. The payment would be as follows:

EXAMPLE Direct Loss of Tangible Personal Property Item Not Replaced Speedy Printing Co.

Item not moved – collating machine

Market value in place for continued use ................................ $5,000 LESS: Net proceeds of sale from site (after selling expenses) ... $3,000 Net Loss ....................................................................................... $2,000

Estimated cost to move and reinstall the item ……………………… $3,000

Direct Loss claim: $2,000 Note that the direct loss claim is the lower of the cost to move, or the net loss on sale.

The direct loss of tangible personal property option allows the business to modernize equipment, or regain cash value for unneeded equipment. The cost to VDOT is no more, and may be less, than if the items were moved.

A program vulnerability in the direct loss benefit is that it is based on estimated, rather than actual cost to move. This can be highly speculative. A specialist should be engaged, and paid, to perform move estimate of equipment that is complex, bulky or otherwise expensive to move.

Another often speculative element is the estimated value for continued use at the existing location (see above example). This will usually be the same as salvage value for equipment that is obsolete and not functioning. However an item not relocated or replaced may have significant value for continued use if it is in use and in good condition. A specialist should be employed to perform the estimate. 18 Steps in the Process

The business operator is interviewed to determine the critical relocation needs, including site, special permits, clientele and to determine the intentions of the operator to relocate, or discontinue operations. (Use RW-69A(1))

The site is toured with the business operator and specialized or complex equipment that appears older or not operational is noted. The function of equipment should be obtained, if it is not obvious.

The full range of benefits is explained including move expenses, reestablishment cost reimbursement, search expense reimbursement etc.

The direct loss option is explained, if it is relevant to the move situation. The business owner is asked to identify specific items that might be sold from the site, or traded in on newer equipment in the process of moving.

All identifying information on direct loss items including make, model, function, age, and condition is obtained and photos are taken of these items.

Estimates are secured for the cost of relocating the specific identified items, including detach and reinstall costs.

The value of items are determined for continued use at the displacement site.

This may require specialist appraisal.

Manner of sale of property likely to yield the highest net proceeds is determined.

All documents and receipts reflecting cost of sale are obtained.

Data on purchase of substitute equipment is secured including function, cost, delivery, setup and installation charges. If item is traded in, trade in value is obtained. Copies of receipted invoices should be obtained. 10.

The direct loss amount is determined using information gathered in above steps, and applying formula in above examples. 11.

Displaced person is advised of amount, and help is offered to complete forms and documentation. 19

7. LAST RESORT HOUSING

Related Procedures: Part 11 – Last Resort Housing 24 VAC 30-41-30 Key Terms (“comparable replacement housing”)

Last Resort Housing (LRH) is the legal and administrative authority to provide comparable

housing when it is not otherwise available. Unavailability may arise because of the lack of

housing supply of the type needed, or because the cost exceeds the displaced person’s

financial means, even with the maximum replacement housing payment of $31,000

(owners), or $7,200 (tenants).

LRH can be very costly in terms of benefit amounts, project lead time, and staff resources.

It is particularly costly if project advertising dates have to be deferred while housing

solutions are planned and implemented. This can delay a needed transportation

improvement or cause higher construction cost. Two strategies can be employed to limit

the need for LRH, or expedite the provision of housing when it is needed. These are

Comparability Review, and Early Identification of Need.

Comparability Review

VDOT is obligated to enable every displaced peson to relocate to comparable replacement

housing. This term might be described as an “as good or better” standard with regard to

housing characteristics. However, care should be taken to ensure that the flexibility that is

provided in the definition of comparable replacement housing is utilized and that

unnecessary upgrading is avoided, particularly in potential LRH situations.

Before determining a benefit under LRH the relocation agent should review the

comparability requirements in reference to the specific displaced persons needs, and

available housing resources.

Special attention should be given to the concept of “functional equivalency”. This key term

in the definition allows for consideration of a range of housing that differs in some physical

20aspects from the displacement house. The important point is that the comparable replacement dwelling perform the same function, and provide the same utility. as the house acquired. It is not necessary that the comparable dwelling must meet a tape measure comparison to the property acquired. Reasonable tradeoffs may be made in specific features when the dwelling is “as good or better’ on an overall basis and satisfies basic needs as to bedrooms and living space. For instance, a garage work area may substitute for basement workshop. Generally, a comparable dwelling should have an equivalent number of rooms and living area. However, a smaller decent safe and sanitary dwelling (which by definition must be “adequate to accommodate” the displaced person), may be considered functionally superior to a larger dwelling in substandard condition. The emphasis is on functional, not physical, equivalency.

Several of the elements of comparable replacement housing deal with the specific needs of a displaced person or family, including financial means, access to employment and access to public and commercial facilities. The needs of potential LRH displaced persons should be identified and critically evaluated. For instance, a displaced person that has a car and presently commutes 15 miles to work, has a greater range of potential “comparable housing” than a neighbor next door who does not have a car and relies on public transit. A displaced family may need to remain in the same school district.

The essential point is that the LRH should be considered applicable only after a careful review is made of the specific requirements of comparability. 21 Early Identification The best approach is to identify the potential need for it early in the relocation process, and intensify efforts to identify and provide housing under normal program parameters.

Most Last Resort Housing cases involve unusual displaced person circumstances or needs such as large family, very low income, disabled or elderly displaced person. These conditions are identifiable at the initial displaced person contact. Initial interviews should be performed as early as possible to explore all conditions relevant to housing needs.

Potential LRH cases identified in the initial contact should be set aside from the overall caseload and marked for priority service. Early identification and action will enable the broadest possible range of housing alternatives to be considered. It will also provide the greatest opportunity for the housing market to produce an existing dwelling meeting the displaced person’s needs, and avoid the need to select upgraded housing, or to construct new housing.

The example on the following page contrasts the replacement housing alternatives considered for a specific LRH case situation, under high priority service vs. normal relocation service. 22

EXAMPLE

Last Resort Housing Options

Facts: Family of 7; 2 (f), 3(m) ages 7,9,11,13,16; youngest autistic-receiving spec. ed. Family income $15,000; 4br home in poor condition, only $10,000 equity. Need 4-5 br replacement; tight housing market. Project ad date – June 1999

Options – LRH Need recognized 9/97 Options – LRH Need recognized 6/98

Ø Explore market(21 months listings) Ø Explore market( 12 months listings) Ø Rehab HUD repossession Ø Purchase upscale 4br(expensive) Ø Good spec. ed. Available in adjacent school Ø Build new house (expensive) district. Find listings Ø Build new house (expensive) Ø Add br to existing 3br house.

Ø Purchase upscale 4br(expensive) Ø Community housing assistance Corp. offers low int. mortgages

  1. RELOCATION FORMS The following is a list of all relocation forms and their corresponding reference numbers for the RUMS Library:

RUMS

RUMS LOCATION

FORM # AND DESCRIPTION

R15 Alignment Relocation Assistance Report (No Relocation R16 Alignment Relocation Assistance Report (With Relocation R16A Alignment Relocation Assistance Report - Cost Summary R01 Relocation-General Tab RW59A Notice of Intent to Acquire Owner-occupied R02 Relocation-General Tab RW59B Notice of Intent to Acquire-Tenant Occupied R03 Relocation-General Tab RW59C Notice of Intent to Acquire-Owner w Tenant R04 Relocation-General Tab RW59-1 Relocation Assistance (Residential) R05 Relocation-General Tab RW59-2 Relocation Assistance (Personal Property) R06V2 Relocation-General Tab RW59-3 Relocation Assistance (Business) R21 Relocation-RHP Tab (RW62C) Occupancy Affidavit - Tenants R25V3 Relocation-RHP Tab RW66 Incidental Expenses R29 Relocation-General Tab RW69A Char & Needs of Displaced Individual or Family R30 Relocation-General Tab RW69A1 Char & Needs of Displaced Business,Farm,NPO R90 Relocation-General Tab Ninety Day Assurance Notice 24 R91 Relocation-General Tab Final Vacating Notice

RUMS

RUMS LOCATION

FORM # AND DESCRIPTION

R10 Relocation-Moving Tab Moving Cost Approval - Residential Fixed R11 Relocation-Moving Tab Moving Cost Approval - Commercial Move-Residential R11A Relocation-Moving Tab Moving Cost Approval-Commercial/Self Move-Business R12 Relocation-Moving Tab Moving Cost Approval - Business Fixed Pa R13 Relocation-Moving Tab Moving Cost Approval - Moving Cost Finding R17 Relocation-Moving Tab (RW60A) Moving Cost Application - Family-Individual-PP R18 Relocation-Moving Tab RW60B Moving Cost Application - Bus Farms NPO R26 Relocation-Moving Tab RW67A Moving Cost Payment Claim-Family,Individual, PP R27V2 Relocation-Moving Tab RW67B Moving Cost Payment Claim-Business,Farms,NPO R07 Relocation-RHP Tab RW65A Offer of RHP (180 days or more) R08 Relocation-RHP Tab RW65B Offer of RHP (Less than 180 days) R09 Relocation-RHP Tab RW65C Offer of RHP Owner-Occupant to Rent R14 Relocation-RHP Tab Occupancy Agreement (Purchase) R19 Relocation-RHP Tab (RW62A) Determination of Purchase RHP R20V2 Relocation-RHP Tab (RW62B) Determination of Rental RHP 25 R22 Relocation-RHP Tab RW65A1 Application for Purchase RHP OwnerOcc 90+ R23 Relocation-RHP Tab RW65B1 Application for Purchase RHP OwnerOcc 90+ R32 Relocation-RHP Tab

  • Application for Rental RHP

R31 Relocation-RHP Tab (RW69B)Available or Acquired Replacement Housing R28 Relocation-Contacts Tab (RW68A) Contact Record 26

Virginia Public-Private Transportation Act GuidelinesDoc ID: PPTA-1

Original: 26,061 words
Condensed: 21,266 words
Reduction: 18.4%

THE C O MMO NW EALTH O F V IR G IN IA

The Commonwealth of Virginia

PPTA Implementation 2017 Manual and Guidelines

For the

Public-Private Transportation Act of 1995

(As Amended)

October 2017CO MMO NW EALTH O F V IR G I N IA

Document Version control

Version Date Issued

  1. 0 October 2005

  2. 0 December 2008

  3. 0 December 2010

  4. 0 May 2012

  5. 0 November 2014

  6. 0 October 2017

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Table of Contents

EXECUTIVE SUMMARY .............................................................................................................................. 5

1. INTRODUCTION ................................................................................................................................... 6

1.1 PURPOSE OF THE MANUAL AND GUIDELINES ...................................................................................... 6

1.2 ORGANIZATION OF THE MANUAL AND GUIDELINES .............................................................................. 6

1.3 P3 PROGRAM OBJECTIVES ................................................................................................................ 7

1.4 ORGANIZATIONAL STRUCTURE .......................................................................................................... 7

1.5 GENERAL P3 PROCESS ..................................................................................................................... 8

1.6 PUBLIC PARTICIPATION ................................................................................................................... 11

1.7 FUNDING FOR P3 PROJECT DEVELOPMENT ...................................................................................... 11

2. PROJECT IDENTIFICATION & SCREENING .................................................................................... 12

2.1 PROJECT IDENTIFICATION AND SCREENING PROCESS ....................................................................... 12

2.2 SOLICITED PROJECTS ..................................................................................................................... 12

2.3 UNSOLICITED PROPOSALS ............................................................................................................... 14

2.4 REPORT TO CTB ............................................................................................................................ 16

2.5 KEY ACTION ITEMS .............................................................................................................................. 16

3. PROJECT DEVELOPMENT ............................................................................................................ 18

3.1 PROJECT DEVELOPMENT PROCESS ................................................................................................. 18

3.2 PUBLIC SECTOR ANALYSIS AND COMPETITION (CONTINUED) ............................................................. 19

3.3 RISK ASSESSMENT (CONTINUED) .................................................................................................... 20

3.4 FINDING OF PUBLIC INTEREST (FOPI) .............................................................................................. 20

3.5 REQUEST FOR INFORMATION ........................................................................................................... 21

3.6 REPORT TO PPTA STEERING COMMITTEE AND THE CTB .................................................................. 21

3.7 KEY ACTION ITEMS ......................................................................................................................... 22

4. PROJECT PROCUREMENT ........................................................................................................... 23

4.1 TWO-STAGE PPTA PROCUREMENT PROCESS ................................................................................. 23

4.2 REQUEST FOR QUALIFICATIONS ....................................................................................................... 24

4.3 REQUEST FOR PROPOSALS ............................................................................................................. 26

4.4 MATERIAL CHANGES ....................................................................................................................... 27

4.5 PUBLIC SECTOR ANALYSIS AND COMPETITION (FINAL) ...................................................................... 27

4.6 BASIS FOR AWARD & SELECTION OF PREFERRED PROPOSER ........................................................... 28

4.7 RISK ASSESSMENT (CONTINUED) .................................................................................................... 28

4.8 PPTA AUDIT REQUIREMENTS .......................................................................................................... 28

4.9 CERTIFICATION TO GOVERNOR AND GENERAL ASSEMBLY ................................................................. 29

4.10 REPORT TO CTB ............................................................................................................................ 29

4.11 CONTRACT FINALIZATION AND AWARD ............................................................................................. 29

4.12 REPORT TO PPTA STEERING COMMITTEE ....................................................................................... 30

4.13 PROCUREMENT FOR UNSOLICITED PROPOSALS ............................................................................... 30

4. 14 KEY ACTION ITEMS ..................................................................................................................... 30

5. PROJECT IMPLEMENTATION .......................................................................................................... 33

5.1 POST-COMMERCIAL CLOSE ............................................................................................................. 33

5.2 POST-FINANCIAL CLOSE ................................................................................................................. 33

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5.3 KEY ACTION ITEMS ......................................................................................................................... 33

APPENDICES ............................................................................................................................................. 35

APPENDIX A .............................................................................................................................................. 36

APPENDIX B .............................................................................................................................................. 38

APPENDIX C .............................................................................................................................................. 43

APPENDIX D .............................................................................................................................................. 46

APPENDIX E .............................................................................................................................................. 50

APPENDIX F .............................................................................................................................................. 52

APPENDIX G .............................................................................................................................................. 54

APPENDIX H .............................................................................................................................................. 57

APPENDIX I ................................................................................................................................................ 58

APPENDIX J ............................................................................................................................................... 65

APPENDIX K .............................................................................................................................................. 69

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E X E C U T I V E S U M M A R Y Under the Public-Private Transportation Act of 1995 (PPTA; Va. Code §§ 33.2-1800, et seq.), public and Private Entities may collaborate to develop and operate qualifying transportation facilities. This PPTA Implementation Manual and Guidelines for the Public-Private Transportation Act of 1995 (Manual and Guidelines) applies to the Virginia Department of Transportation (VDOT) and the Virginia Department of Rail and Public Transportation (DRPT). Other public entities that want to deliver projects under the PPTA must adopt their own guidelines (Va. Code § 33.2-1819).

This version of the Manual and Guidelines was developed in accordance with legislative changes to the PPTA as of July 1, 2017.

The VDOT P3 project delivery process, shown in Figure 1, streamlines and standardizes the process to deliver transportation projects under the PPTA. It shows the processes, decision points, transparency, public engagement, and competitive nature of PPTA procurements.

The Manual and Guidelines is organized into chapters that provide details on the P3 activities within the process, and addresses roles and responsibilities under Solicited Projects (i.e., projects initiated by the Commonwealth). It is anticipated that majority of projects developed under the Manual and Guidelines will be Solicited Projects. However, the Manual and Guidelines also provides procedures for evaluation and procurement of an Unsolicited Proposal (i.e., when a Private Entity introduces new or innovative solutions to Commonwealth transportation needs).

Chapter 1 is an introduction that explains the organizational structure of the Manual and Guidelines and the P3 program objectives. Chapter 1 also provides a description of the roles of the VDOT P3 Office, the Transportation Public Private Partnership Steering Committee (PPTA Steering Committee), the VDOT / DRPT Chief Executive Officers (CEO), and the Commonwealth Transportation Board

(CTB).

Chapter 2 contains information on the project screening and identification phase for potential P3 projects. At the conclusion of this phase, the VDOT P3 Office develops a Project Screening Report, which is an assessment of whether a potential P3 project is desirable, feasible, and is in the best interest of the public based on qualitative and quantitative criteria.

Chapter 3 describes the P3 project development phase, which prepares the project for P3 procurement. The project scope is refined during the project development phase.

Chapter 4 describes the P3 project procurement phase – which is generally a two-stage process that may be modified if necessitated by the unique characteristics of a P3 project.

Chapter 5 describes the project implementation phase, which commences after the execution of the Comprehensive Agreement until the completion of both (i) VDOT / DRPT and (ii) the selected Proposer’s contractual obligations.

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1 . I N T R O D U C T I O N The PPTA is a law that allows public entities to enter public-private partnership (P3) agreements with the private sector to develop and/or operate transportation facilities.

This Manual and Guidelines replaces earlier versions and constitutes the guidelines required by Va. Code § 33.2-1803. For previous versions of this Manual and Guidelines, refer to the VDOT P3 Office’s website – www.virginiadot.org/p3.

The Manual and Guidelines is updated periodically at the discretion of the Secretary of Transportation and VDOT / DRPT CEO to reflect changes in legislation, policies, procedures, and industry practice.

This chapter describes the purpose and organization of the Manual and Guidelines, summarizes the Commonwealth’s objectives for the P3 program, and presents the P3 Project delivery process. This chapter also describes the VDOT P3 Office’s organizational structure and reporting, public participation opportunities within the process, and addresses the funding mechanism for the VDOT P3 Office.

In the remainder of the Manual and Guidelines, the term PPTA will refer to the legislative act. When referring to projects in the Manual and Guidelines, the more general industry term of “P3” is used.

Capitalized terms (e.g., Project Screening Report) represent defined terms and can be found in Appendix

B. 1 . 1

P U R P O S E O F T H E M A N U A L A N D G U I D E L I N E S The processes outlined in the Manual and Guidelines are specifically designed for use by VDOT and DRPT, and may also be used by other agencies as a basis to adopt their own PPTA guidelines. Please note a number of the specific changes made in 2017, affect VDOT / DRPT alone.

The Manual and Guidelines should be used by members of the private sector interested in submitting Proposals for P3 projects to VDOT or DRPT.

Each P3 project is unique, and the processes set forth in this Manual and Guidelines may not apply in all circumstances. Therefore, VDOT / DRPT retains the flexibility to modify the processes set forth herein to address the specific needs of a particular P3 project. Any deviation from the processes set forth in this Manual and Guidelines shall not give recourse to any individual or entity for such deviation. The public, Proposers, and other stakeholders will be notified of modifications to procurement and implementation processes set forth in this Manual and Guidelines by means of a statement issued with the Request for Proposals (RFP) document, outlining and explaining the modifications.

In no way does the Manual and Guidelines modify or override requirements of the PPTA, and the PPTA governs in the event of any conflicts between the PPTA and the Manual and Guidelines. The processes and requirements included in the Manual and Guidelines will not apply retroactively to P3 projects for which either an Interim Agreement or Comprehensive Agreement has been entered into by VDOT / DRPT prior to July 1, 2017. 1 . 2 O R G A N I Z A T I O N O F T H E M A N U A L A N D G U I D E L I N E S This Manual and Guidelines is organized into chapters that specifically address the roles and responsibilities associated with the Process. These chapters include: 2. Project Identification and

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CO MMO NW EALTH O F V IR G I N IA Screening; 3. Project Development; 4. Project Procurement, and 5. Project Implementation. At the end of chapters 2-5 are summaries of key action items and the entities responsible for each item. Supporting technical documentation is provided in the Appendices. 1 . 3 P 3 P R O G R A M O B J E C T I V E S The Commonwealth’s transportation goals are: improving safety and security; reducing congestion; system maintenance and preservation; mobility, connectivity, and accessibility; environmental stewardship; economic vitality; and coordination of transportation, land use, and program delivery. To ensure that P3 projects are consistent with these goals the following objectives for the P3 program have been established.  Create investment opportunities that increase the quality of transportation services in the Commonwealth;  Administer a fair, transparent and competitive project development and procurement process that encourages innovation, private sector investment and creates long-term value for the Commonwealth;  Achieve capital and lifecycle cost efficiencies through appropriate risk transfer;  Establish reliable and uniform processes and procedures to encourage private sector investment;  Facilitate timely delivery of P3 projects, within established laws, regulations and this Manual and Guidelines;  Promote transparency and accountability, coupled with informed and timely decision making;  Foster efficient management of Commonwealth financial and organizational resources through a Public Sector Analysis and Competition;  Ensure that the projects pursued under the P3 program serve the best interests of the public. 1 . 4 O R G A N I Z A T I O N A L S T R U C T U R E The VDOT P3 Office reports directly to the VDOT Chief of Innovation, who in turn, reports to the Chief Deputy Commissioner. The VDOT P3 Office also supports DRPT in multi-modal projects undertaken through the P3 process.

  1. 4.1 PPTA Steering Committee The PPTA Steering Committee consists of the following representatives:  A Deputy Secretary of Transportation, serving as chairperson;  Two members of the CTB;  Staff Director of the House Committee on Appropriations, or designee;  Staff Director of the Senate Committee on Finance, or designee;  Chief Financial Officer (CFO) of VDOT / DRPT, as appropriate; and  Non-Agency public financial expert, as selected by the Secretary of Transportation.

The PPTA Steering Committee is briefed by VDOT / DRPT in meetings that are open to the public, unless otherwise determined by the PPTA Steering Committee (Va. Code §33.2-1803.1(B)(1)). The PPTA Steering Committee may consult with resident experts and external advisors on an as-needed basis.

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CO MMO NW EALTH O F V IR G I N IA The PPTA Steering Committee: (i) reviews the Public Sector Analysis and Competition, (ii) decides whether to concur that the Public Sector Option is fully and reasonably developed, financially sound and reflects the best interest of the public, and that the terms sheet contains all the necessary elements, (iii) votes whether a potential P3 project serves the public interest, and (iv) is briefed within 60 days of the execution of a Comprehensive Agreement.

A notice of PPTA Steering Committee meetings will be posted on the Commonwealth Calendar of Events and the VDOT P3 Office website prior to a meeting. Documentation for PPTA Steering Committee meetings will be posted to the VDOT P3 Office website at least 5 days prior to the meeting.

  1. 4.2 Commonwealth Transportation Board The CTB has the power to promote private investment in the Commonwealth’s transportation infrastructure, and to develop a statewide transportation plan. Generally, the CTB serves as the oversight board for VDOT / DRPT and makes recommendations concerning P3 projects.
  2. 4.3 CEOs Each agency’s CEO has the responsibility and legal authority to make decisions on the P3 project delivery model, and business and contractual terms related to the P3 projects. At VDOT, the CEO is the Commissioner of Highways; at DRPT, the CEO is the Director.
  3. 4.4 VDOT P3 Office Director The VDOT P3 Office Director is responsible for overseeing all phases of the P3 program (project identification and screening, project development, procurement, and implementation). This includes ensuring compliance with applicable policies, regulations and statutes, conducting public outreach, stake holder engagement, and acting as the liaison to the P3 industry.

The VDOT P3 Office Director reports all program and project activities to the Chief of Innovation and CEOs, and may also provide periodic briefings to the Secretary of Transportation and the PPTA Steering Committee. 1 . 5 G E N E R A L P 3 P R O C E S S The General P3 process (Figure 1) is intended to streamline and standardize the overall process to enhance the delivery of P3 transportation projects within the Commonwealth. It was developed to capture the processes and decision points inherent in a P3 project involving both Solicited Projects and Unsolicited Proposals, namely project identification and screening, project development, project procurement, and project implementation.

In Figure 1, there are certain elements that benefit from additional information:  The General P3 Process Flowchart (Figure 1) depicts at a high level, the steps and decision points.  This flowchart is the “general” process for screening, developing, and procuring P3 projects.

However, the PPTA allows flexibility to modify the process for unique projects.  “No” symbols on the flowchart can indicate a point in the process where the CEO, PPTA Steering Committee, and/or Secretary determine a P3 project will not advance further. Or, in other circumstances, “No” arrows take the process back to a previous phase (e.g. Project Development),

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CO MMO NW EALTH O F V IR G I N IA indicating that decision makers require additional studies and analyses before they are able to make their decision.  There are citations in the flowchart that allow readers to quickly find more detailed information on that element of the flowchart.

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Figure 1 General P3 Process Flowchart

PROJECT Supporting Documents: IDENTIFICATION  Screening Reports & SCREENING  Identification of (see Chapter 2) potential public funds  Public Sector Analysis & Competition

CEO decision to CTB Briefing proceed NO 2.4) (Sections 2.2, 2.3) (Section

Supporting Documents: PROJECT DEVELOPMENT NO NO  Public Sector Analysis & (see Chapter 3) Competition (cont’d)  Identification of maximum public contribution  Draft procurement Secretary PPTA Steering Committee concurs with FOPI documents (RFQ, RFP, FOPI by CEO w/ Public as Chairman of CTB concurs NO Major Business Terms) (Section 3.4) Sector Analysis (Section 3.4)  Risk Assessment  Finding of Public (Section 3.6) Interest (FOPI)  Request for Information

CTB Briefing on Public Sector Analysis (Section

  1. 6)

Supporting Documents: PROJECT NO PROCUREMENT  Public Sector Analysis & (see Chapter 4) Competition (final) Receive Conceptual  Procurement documents RFQ & qualify Financial Proposals CEO selects (RFQ, RFP, draft RFQ Proposers from qualified RFQ Preferred Delivery (Sections 4.2, Model and Proposers Comprehensive short lists 4.2.3) (Section 4.2.4) Agreement, Major RFQ Proposers Business Terms) (Section 4.2.6) PPTA Steering CTB Briefing on short listed  PPTA Statutory Audit RFP Committee votes that teams & delivery model  Certification to Governor public interest is (Section 4.3) decision served & General Assembly (Section 4.2.7) (Section 4.2.7)

Final Proposals Flowchart Key: (Section 4.3.2)

NO

Procurement CEO briefs CTB on CEO validation decision to execute Comprehensive of FOPI & CEO Selection of Statutory Agreement Written Certification Audit PPTA Steering Best Value Proposal (Section 4.10) to Governor & (Section Committee (Section 4.6) General Assembly 4.8) (Section 4.9) Commonwealth Transportation Board NO EXECUTION OF CEO of PPTA Steering Committee COMPREHENSIVE VDOT/DRPT briefing on details of final bids AGREEMENT (Section and evaluation of final bids 4.11) (Section 4.12)

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P U B L I C P A R T I C I P A T I O N Numerous opportunities exist for public engagement at different times during the identification and screening, development, procurement and implementation phases of transportation projects. VDOT and DRPT’s respective Public Involvement Manual and VDOT’s P3 Office Public Engagement Guidance outline the opportunities in the process for public participation. Some of these opportunities are discussed in Chapters 2 to 4 of this Manual and Guidelines.

For all projects requiring federal action, VDOT / DRPT targets completion of an environmental document in accordance with the National Environmental Policy Act (NEPA) prior to the issuance of the final RFP . At this point, the purpose and need for the project has been well-established, alternative design concepts and scopes have been analyzed, and operational features are identified. The concepts and analyses are submitted to the public and various other stakeholders for review and comment at citizen information meetings, community meetings and, on project-specific websites. Ultimately, a preferred alternative is selected and a determination such as a Categorical Exclusion (CE), Finding of No Significant Impact (FONSI), or Record of Decision (ROD) is issued by the appropriate lead federal agency which also has provisions for public comment. The VDOT P3 Office is present at these meetings to answer P3-related questions. 1 . 7 F U N D I N G F O R P 3 P R O J E C T D E V E L O P M E N T The VDOT P3 Office funds the work to advance candidate Solicited Projects and Unsolicited Proposals to the end of the project identification and screening phase. If the CEO elects to advance to the project development phase, a dedicated fund for the project should be identified to support the project development (i.e., preliminary engineering and studies) and project procurement phase activities.

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2 . P R O J E C T I D E N T I F I C A T I O N & S C R E E N I N G

Project Project Project Project Identification & Development Procurement Implementation Screening

This chapter describes the project identification and screening phase, and discusses the procedures and related activities for P3 projects initiated as a Solicited Project or as an Unsolicited Proposal.

2 . 1 P R O J E C T I D E N T I F I C A T I O N A N D S C R E E N I N G P R O C E S S

The VDOT P3 Office is responsible for the project identification and screening process. The project identification and screening phase is designed to assist VDOT / DRPT in determining the desirability, suitability, and feasibility of delivering projects as P3’s. The P3 project identification and screening methodology is also a means of systematically and consistently applying evaluation criteria to Solicited Projects and Unsolicited Proposals submitted as candidates for consideration. Projects that are identified for development must address the needs outlined in the Statewide Transportation Plan (http://www.vtrans.org), and local and regional programs on safety, reducing congestion, increasing capacity and enhancing economic efficiency.

P3 candidate projects are identified from two primary sources

 Solicited Projects

A Solicited Projects is when VDOT / DRPT develops a project concept and invites Private Entities to compete for the right to develop/operate the project.

 Unsolicited Proposals

An Unsolicited Proposal is when a Private Entity develops a project concept on its own and submits a proposal to VDOT / DRPT for consideration.

Both Solicited Projects and Unsolicited Proposals are assessed in two-parts. The first part is different depending on whether it is a Solicited Project (for which a Qualitative Project Screening is used) or an Unsolicited Proposal (for which a Policy Review is used). But the second part is the same for both. The specific identification and screening steps are outlined in more detail below.

2 . 2 S O L I C I T E D P R O J E C T S

The project identification and screening phase is a two-part assessment (Qualitative and Quantitative screenings) to determine whether a project is a potential candidate for P3 project delivery. The VDOT P3 Office relies on both qualitative, and quantitative criteria (see Appendix D). The criteria may be modified by the VDOT P3 Office, in consultation with the CEO to address each project’s unique aspects.

PPTA I MP LE ME NTAT IO N MANUA L AN D GU IDE L INES – OCT OBE R 2017 PAG E 12CO MMO NW EALTH O F V IR G I N IA At the conclusion of its assessment, the VDOT P3 Office will prepare a Project Screening Report. The Project Screening Report will provide a recommendation to the CEO on whether a project should advance to the project development phase. The CEO makes the final decision. Should the CEO disagree with the recommendation, the project may be re-submitted if new information demonstrates the criteria have now been adequately addressed. A copy of the Project Screening Report template is posted on the VDOT P3 Office website for public comment.

  1. 2.1 Qualitative Project Screening Qualitative Project Screening is a process that examines whether a project meets broader, policy considerations including the criteria in Appendix D. The criteria may also take into account such considerations as mode of transportation, Greenfield project versus Brownfield project characteristics, revenue versus non-revenue risk profile, or changes in the Commonwealth’s transportation goals or policies.
  2. 2.2 Quantitative Project Screening If the findings from the Qualitative Project Screening indicate that the project remains suitable for P3 project delivery, the VDOT P3 Office will continue to look at the technical and financial feasibility of the project under a Quantitative Screening process. Other considerations during the Quantitative Screening process are described in Appendix D.
  3. 2.2.1 Public Sector Analysis and Competition The VDOT P3 Office, in cooperation with the Secretary of Transportation and Secretary of Finance, is responsible for conducting a Public Sector Analysis and Competition to determine whether a project provides more benefits to its users and to the Commonwealth when delivered through the P3 delivery model than when delivered through a traditional procurement method. The Public Sector Analysis and Competition is comparable to a Value for Money Analysis that is required prior to deciding to advance the project as a P3 (49 USC 116 (e)(3)(A)), and provides a useful decision-making tool for the CEO when determining whether value is gained by continuing to develop a project using a P3 delivery model.

The Public Sector Analysis and Competition is an ongoing process that is initiated during the Quantitative Project Screening, and continues to the project development and project procurement phases until the Comprehensive Agreement is executed. At a minimum, the Public Sector Analysis contains the following information:

  1. How the risk of user-fee financing is mitigated. This information is based on assumptions on competing facilities, projected compensation for high usage of the facility by high-occupancy vehicles (HOV), or other considerations.
  2. Whether VDOT / DRPT intends to maintain/operate the facility itself, or if the Public Sector Option is based on the transfer of these responsibilities to the private sector.
  3. The amount, if any, of public contributions in excess of revenue-producing capital project debt authorized under Article X Section 9 (c) of the Constitution of Virginia would still be required to cover project costs. This analysis assumes such revenue-producing capital project debt would be authorized.
  4. Whether funds to support non-user fee generating components of the project will contribute to increased person throughput, reduction in congestion, improved safety and other expected benefits under Va. Code §33.2-1803.1(B)(1).

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CO MMO NW EALTH O F V IR G I N IA During Quantitative Project Screening, a Public Sector Option will be defined based on available public funding and financing options. The Public Sector Option will be used to set a maximum amount of public contribution to the proposed project.

The VDOT P3 Office will be issuing guidelines providing further details on the conduct of a Public Sector Analysis and Competition.

  1. 2.2.2 Risk Assessment As part of the Quantitative Project Screening, the VDOT P3 Office will hold an initial risk workshop to identify and assess risks relating to the development, procurement, implementation and operation of the project. A Risk Register is created, which is a tool to capture risk information, consequences, responses and potential risk allocations (see VDOT P3 Office Risk Management Guidelines). Risks identified during this phase will be updated and refined as the project moves through subsequent phases of the process.
  2. 2.3 Notification to Affected Localities and public entities As part of the Qualitative Project Screening, the VDOT P3 Office coordinates with identified Affected Localities and public entities to determine the extent of stakeholder support for the Solicited Project. This is a continuation of the coordination with these stakeholders (including Planning District Committees (PDCs) and Municipal Planning Organization (MPOs)) commenced during the development of long-range state, regional, and local plans. Coordination between VDOT and DRPT is crucial in projects with identified transit components. See the P3 Public Engagement Guidelines for further information. 2 . 3

U N S O L I C I T E D P R O P O S A L S The PPTA allows VDOT / DRPT to receive and evaluate Unsolicited Proposals from the private sector to develop/operate P3 projects. Unsolicited Proposals allow innovation and new technologies to be potentially introduced into transportation facilities. Persons interested in applying to VDOT / DRPT with an Unsolicited Proposal should coordinate with the VDOT P3 Office prior to their submission. Further information on the procedure for the submission of Unsolicited Proposals may be found in Appendix E.

The private sector may submit Unsolicited Proposals to the CEO (Va. Code § 33.2-1803(A)), with a copy sent to the attention of the VDOT P3 Office Director at the following address: Commissioner of Highways/Director of Rail and Public Transit ATTENTION: Director of VDOT P3 Office Virginia Department of Transportation 1401 E. Broad Street, Suite 1306 Richmond, VA 23219 (804) 786-0455 The VDOT P3 Office shall be responsible for the evaluation of an Unsolicited Proposal. Evaluation of Unsolicited Proposals also follows a two-part assessment which involves looking into Policy Review criteria and Quantitative Screening criteria. The VDOT P3 Office’s findings will also be documented in a Project Screening Report. Based on the Project Screening Report, the VDOT P3 Office Director will submit a recommendation to the CEO on whether a project should advance to the project development phase. The

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CO MMO NW EALTH O F V IR G I N IA CEO makes the final decision. If the CEO does not approve the advancement of the Unsolicited Proposal to the project development phase, or if the Unsolicited Proposal pertains to a project for which the VDOT P3 Office plans to issue a Request for Qualificatoins (RFQ), the VDOT P3 Office will return the Unsolicited Proposal to the Proposer that submitted it.

  1. 3.1 Policy Review Within 90 calendar days of receiving an Unsolicited Proposal from a Proposer to VDOT / DRPT, the VDOT P3 Office will initiate a Policy Review. The Policy Review is a brief evaluation of the Unsolicited Proposal’s concept and benefits to determine that it is in accordance with the Code of Virginia and this Manual and Guidelines, and is consistent with the Commonwealth’s transportation policy goals. Table 1 provides some criteria used for the VDOT P3 Office’s Policy Review.

Table 1 provides guidance for the Policy Review criteria intended to assess whether a project is a potential candidate P3 project.

Policy Review Criteria  Does the Proposal conform to the Commonwealth’s transportation goals and the policy objectives of the administration?  Does the Proposal satisfy a public need for timely development and/or operation of a transportation facility?  Does the Proposal address a demonstrated need as identified in a state, regional, and/or local transportation plans?  Does the Proposal interface with existing and planned transportation systems?  Is the Proposal at a sufficient level of development that a procurement process can be run including an element of price competition?  Will the Proposal make the transportation facility available to the public in a more efficient and/or less costly fashion as compared to the traditional procurement method and procurement would be in the best interest of the public?  Is the Proposal consistent with federal requirements and potential agreements for federal funding and/or approval for P3 projects?  Is the Proposal not currently on the list of proposed Solicited Projects?

  1. 3.2 Quantitative Project Screening If the findings from the Policy Review indicate the project remains suitable for P3 project delivery, the VDOT P3 Office will continue to look at the technical and financial feasibility of the project under a Quantitative Screening process similar to that for Solicited Projects, as provided in Section 2.2.1 and in Appendix D.
  2. 3.3 Proposal Review Fee The VDOT P3 Office may charge reasonable amounts to cover the costs of processing, review, and evaluation of the Unsolicited Proposal. Evaluation will commence upon payment of an initial, non-refundable, and non-negotiable fee of $50,000. During its evaluation, the VDOT P3 Office will assess whether additional fees will be needed to cover the costs to complete the evaluation. The assessment will

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include coordination with the Proposer of the Unsolicited Proposal to determine a reasonable fee to cover additional costs.

Proposers submitting multiple Proposals will be required to submit a Proposal Review Fee for each Unsolicited Proposal submission.

  1. 3.4 Notification to Affected Localities and public entities

Any Proposer requesting approval for an Unsolicited Proposal shall furnish a copy of its proposal to each Affected Locality or public entity identified in its proposal. Prior to furnishing a copy of its proposal, the Proposer shall coordinate with the VDOT P3 Office Director. Within sixty (60) calendar days of receipt of the Unsolicited Proposal, the Affected Locality or public entity shall submit any comments in writing to the VDOT P3 Office.

The VDOT P3 Office will notify the Proposer and each Affected Locality identified in the Proposal of the CEO’s decision to advance the Unsolicted Proposal to the project development phase. If the project is advanced and located in a metropolitan area, coordination with the Metropolitan Planning Organization (MPO) may be required to ensure that the project is included in the financial plan that accompanies the MPO’s transportation plan.

2 . 4 R E P O R T T O C T B

If the CEO approves a project to be advanced to the project development phase, then VDOT / DRPT will present a briefing to the CTB on the results of the Project Screening Report.

The project briefing will be posted on the VDOT P3 Office website and the CTB’s website for public awareness and feedback.

2 . 5 K E Y A C T I O N I T E M S

Key Action Items

Table 2

Project Screening Activity Responsibility Targeted Timeframe

Solicited Projects

Conduct Qualitative Screening of VDOT P3 Office As appropriate Solicited Projects

Continue coordination with Affected VDOT / DRPT (especially in As appropriate localities and public entities projects with identified transit components)

Unsolicited Proposals

Initiate a Policy Review of Unsolicited VDOT P3 Office Within 90 calendar days Proposals of receipt of an Unsolicited Proposal

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Obtain comments from each Affected VDOT P3 Office Within 60 calendar days Locality and public entity of release of Unsolicited Proposal to each Affected Locality and public entity

Solicited Projects and Unsolicited Proposals

Conduct Quantitative Project Screening VDOT P3 Office As appropriate of Unsolicited Proposals

Prepare Project Screening Report VDOT P3 Office As appropriate

Recommend advancement to project VDOT P3 Office Director As appropriate development phase

Approve advancement of project to CEO Within 10 calendar days project development phase of recommendation of VDOT P3 Office Director

Report to the CTB VDOT / DRPT After CEO’s approval to advance to project development phase

Notify the relevant Affected Locality (for VDOT P3 Office Director Within 5 calendar days of Unsolicited Proposals) the CEO’s decision

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3 . P R O J E C T D E V E L O P M E N T

Project Project Project Project Identification & Development Procurement Implementation Screening

This chapter describes the project development process and related activities for projects that are initiated either as a Solicited Project or an Unsolicited Proposal during the project identification and screening phase.

3 . 1 P R O J E C T D E V E L O P M E N T P R O C E S S

The VDOT P3 Office Director appoints a project manager for each project selected for development. The project manager is responsible for getting the project ready for procurement with assistance from relevant disciplines within VDOT / DRPT and external advisors as necessary.

The VDOT P3 Office Director is responsible for maintaining appropriate coordination with other agencies, the PPTA Steering Committee and the CTB throughout the project development phase and for providing, as appropriate, project information such as budget, scope, and schedule, to the CEO.

During the project development phase, a number of activities typically take place to prepare the project for the project procurement phase depending on the characteristics of the project. These include, but are not limited to:

Table 3

Project Development Activities

 Further defining project scope, design concept and phasing schedule

 Analyzing compliance with environmental and transportation planning requirements

 Analyzing technical feasibility and operations and maintenance evaluations

 Refining project cost, revenue estimates and lifecycle costing

 Submitting funding and grant applications, as required

 Performing outreach, coordinating public involvement and building stakeholder support

 Defining an approach to risk allocation and management (see VDOT P3 Office Risk Management Guidelines)

 Continuing the Public Sector Analysis and Competition initiated at the project identification and screening phase

 Continue to determine the optimal procurement delivery method(s)

 Soliciting information from the private sector through a Request for Information (RFI)

 Soliciting comments/feedback from the public through the VDOT P3 Office website

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For P3 projects requiring federal action, the VDOT P3 Office will ensure that decisions regarding mode, location, user-fees and capacity are made after adequate consideration of potential alternatives to address needs and impacts of the project. The VDOT / DRPT may modify the project scope to meet the Commonwealth’s transportation goals and the priorities of the administration.

Figure 2 represents the steps during the project development process for P3 projects.

VDOT P3 Office conducts Public Sector VDOT P3 Office Analysis & prepares FOPI for Competition, Risk signature of Assessment, RFIs, and Secretary (as develops draft Chairman of procurement CTB) and CEO documents (RFQ, RFP, Major Business Terms)

VDOT P3 Office considers other NO project delivery models CTB briefing on PPTA Public Sector Steering Committee Analysis & YES concurs with Competition Public Sector Analysis & Competition

NO CEO may proceed with the project Project Procurement procurement phase

Note that “No” symbols on the flowchart can indicate a point in the process where the CEO or the PPTA Steering Committee determine a P3 project will not advance further. Or, in other circumstances, “No” arrows take the process back to previous steps or the previous phase (i.e., Project Identification and Screening), indicating that decision makers require additional studies and analyses before they are able to make their decision.

3 . 2 P U B L I C S E C T O R A N A L Y S I S A N D C O M P E T I T I O N ( C O N T I N U E D )

The VDOT P3 office further refines project cost, revenue estimates and lifecycle costing of alternative scenarios under both a traditional procurement and a P3 delivery model. The analysis is supplemented with data on risk allocation, traffic revenue and other studies. The appropriate methodology for the analysis will vary across modes and payment mechanisms (e.g., the analysis for privately-tolled concessions will differ from an availability payment transaction in which VDOT / DRPT retains some or all revenue risk). The analysis should be applied to all P3 projects in the project development phase to ensure that the P3 delivery method continues to offer the Best Value as the preferred delivery method.

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R I S K A S S E S S M E N T ( C O N T I N U E D ) During the project development phase, the VDOT P3 Office will conduct an interim risk workshop to update the Risk Register. The Risk Register is updated through a quantitative assessment of all risks identified, the corresponding risk response and preferred risk allocation. Identified risks include risks already identified in the initial risk workshop (Section 2.2.2.2), as well as additional risks identified through project development activities. In addition, the VDOT P3 Office develops a Risk Management Plan which is a detailed plan of action for the management of project risks, and includes the recommended levels of contingency to maintain for a project in order to reflect its risk exposure. 3 . 4 F I N D I N G O F P U B L I C I N T E R E S T ( F O P I ) During the project development phase, the VDOT P3 Office will prepare a FOPI document for the signature of the CEO and the Secretary of Transportation (in his capacity as Chairman of the CTB), which is an affirmation the P3 delivery method is being conducted in a manner that brings value and is in the best interest of the public pursuant to the PPTA and this Manual and Guidelines. In addition, the FOPI will include all relevant analyses and information supporting the use of a P3 delivery method with a statement that the CEO has a clear understanding regarding the elements included in the FOPI.

At a minimum, the FOPI shall provide the following information

  1. A description of the benefits expected to be realized by VDOT / DRPT through the development and/or operation of the transportation facility, including person throughput, congestion mitigation, safety, economic development, environmental quality, and land use.

  2. An analysis of the public contribution necessary for the development and/or operation of the facility or facilities identified under the Public Sector Analysis and Competition, including a maximum public contribution that will be allowed under the procurement.

  3. A description of the benefits expected to be realized by VDOT / DRPT through a procurement under the PPTA compared with the development and/or operation of the transportation facility through other options available.

  4. A statement of the risks, liabilities, and responsibilities to be transferred, assigned, or assumed by the Private Entity, which shall include the following:

a. A discussion of whether revenue risk will be transferred to the Preferred Proposer and the degree to which any such transfer may be mitigated through other provisions in the Interim or Comprehensive Agreements; b. A description of the risks, liabilities, and responsibilities to be retained by VDOT / DRPT; and c. Other items determined appropriate by VDOT / DRPT. 5. The determination of whether the project has a high, medium, or low level of project delivery risk and a description of how such determination was made. If the project is determined to contain high risk, a description of how the public's interest will be protected through the transfer, assignment, or assumption of risks or responsibilities by the Preferred Proposer in the event that issues arise with the development and/or operation of the transportation facility.

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  1. If VDOT / DRPT proposes to enter into an Interim or Comprehensive Agreement using competitive negotiations, information and the rationale demonstrating that proceeding in this manner is more beneficial than proceeding pursuant to a competitive sealed bidding.

Changes to the project scope that do not impact the assignment of risks or liabilities or the mitigation of revenue risk will not be considered material changes to the FOPI, provided that such changes were presented in a public meeting to the CTB. 3 . 5 R E Q U E S T F O R I N F O R M A T I O N At the discretion of the CEO, a RFI may be issued to obtain additional information and comment from the private sector and other interested stakeholders. RFIs may also include public and industry briefings to further discuss elements of the project under consideration. These forums offer opportunities for public comments and private sector input which improve or refine the scope, risk allocation and technical requirements of the project being developed. VDOT / DRPT may also conduct one-on-one meetings with the private sector to solicit additional feedback. 3 . 6 R E P O R T T O P P T A S T E E R I N G C O M M I T T E E A N D T H E C T B Pursuant to Va. Code § 33.2-1803.2(B), at the conclusion of P3 project development and before initiating the project procurement phase, VDOT / DRPT will present the Public Sector Analysis and Competition at a meeting of the PPTA Steering Committee. At this meeting, the PPTA Steering Committee will decide whether to concur that:

  1. The assumptions regarding the project scope, benefits, and costs of the Public Sector Option were fully and reasonably developed;
  2. The assumed financing costs and valuation of both financial and construction risk mitigation included in the Public Sector Option are financially sound and reflect the best interest of the public; and
  3. The terms sheet developed for the proposed procurement contains all necessary elements.

VDOT / DRPT may also brief the PPTA Steering Committee on studies and activities, including the results of a Request for Information (RFI); an initial schedule for project delivery; preliminary procurement documents; activities related to risk assessment for the project; an initial estimation of the project cost; the potential economic benefits for the project, and the preliminary business points for the project to determine whether the project should continue to the procurement phase.

The project briefing and the decision of the PPTA Steering Committee is posted on the Commonwealth Calendar and the VDOT P3 Office website for public awareness and feedback five calendar days prior to/after the PPTA Steering Committee meeting.

VDOT / DRPT will also brief the CTB on the FOPI and the Public Sector Analysis and Competition prior to proceeding with the project procurement phase. The project briefing to the CTB will likewise be posted on the VDOT P3 Office website five calendar days prior to/after CTB meeting.

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3 . 7 K E Y A C T I O N I T E M S

Key Action Items

Table 4

Project Development Activity Responsibility Targeted Timeframe

Perform project development activities The VDOT / DRPT with Determined by project (e.g., geotechnical testing, assistance from the VDOT P3 specific scope environmental, preliminary Office engineering, risk assessment, etc.)

Continue Public Sector Analysis and VDOT P3 Office During project Competition development phase

Update Risk Register VDOT P3 Office Continuous through project development phase

Conduct an RFI to solicit public VDOT P3 Office As appropriate comment and private sector feedback Present the Public Sector Analysis VDOT / DRPT Determined by and Competition to the PPTA Steering completion of project Committee development activities PPTA Steering Committee PPTA Steering Committee concurs with Public Sector Analysis and Competition

Post project briefing and decision of VDOT P3 Office 5 calendar days prior the PPTA Steering Committee on the to/after the PPTA VDOT P3 Office website Steering Committee meeting

Brief the CTB on the FOPI and the VDOT / DRPT Determined by Public Sector Analysis and completion of project Competition development activities

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4 . P R O J E C T P R O C U R E M E N T

Project Project Project Project Identification & Development Procurement Implementation Screening

This chapter describes the competitive P3 procurement phase and provides guidance on related activities for projects that have been selected for procurement under the PPTA.

4 . 1 T W O - S T A G E P P T A P R O C U R E M E N T P R O C E S S

The VDOT P3 Office serves as the primary point of contact for P3 procurements, and acts in consultation with the Office of the Attorney General (OAG) to ensure that the procurement process is administered in accordance with applicable law and this Manual and Guidelines. The VDOT P3 Office Director is responsible for managing a consistent, transparent, competitive, and well-defined procurement process.

The P3 procurement phase (Figure 3) generally consists of: 1) issuing a RFQ, and 2) issuing a RFP. As an exception and as determined by the CEO, it may be more beneficial in certain cases to use a single-stage procurement. A single-stage procurement may be appropriate if a RFQ can be omitted to streamline the process and is in the best interest of the public (e.g., when an Unsolicited Proposal is submitted, or for less complex P3 projects). In either case, the VDOT P3 Office is responsible for leading the procurement with support from appropriate District(s).

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Figure 3 below of the Procurement Process

CEO notifies all VDOT P3 VDOT P3 Office Proposers of short- VDOT P3 Office VDOT P3 Office Office evaluates SOQs & listing decision / issues draft RFQ issues RFQ initiates provide Short-list to Required submittal procurement CEO of Conceptual process Financial Proposal

NO

VDOT P3 Office posts Post all SOQs to draft RFP (including CTB is briefed on Conduct VDOT P3 Office Dept. Gen. Comprehensive PPTA Short-List, preferred issues final RFP meetings Services, VDOT/ with Agreement) for 30 day Steering Committee project delivery Short-Listed documents public comment DRPT and VDOT votes public interest model Proposers period P3 Office website is served (optional) YES and issue press release

VDOT P3 Office VDOT P3 Office VDOT P3 Office and other submits RFP CEO reviews the conducts final appropriate CEO decides to evaluation results VDOT P3 Office Public Sector NO personnel proceed with recommendation recommendations Analysis & & evaluate procurement to CEO Competition responses to final RFP YES

CEO Certification of Perform PPTA Audit FOPI & written (If applicable) Select certification to Contract finalization Preferred Governor & Gen. Proposer Assembly

PPTA Steering CEO Committee briefing on Executes YES/NO CTB briefing on Comprehensive details of final bids, and decision to Agreement evaluation of bids execute CA

YES Project Implementation

Note that “No” symbols on the flowchart can indicate a point in the process where the CEO or the PPTA Steering Committee determine a P3 project will not advance further. Or, in other circumstances, “No” arrows take the process back to previous steps or the previous phase (i.e., Project Development), indicating that decision makers require additional studies and analyses before they are able to make their decision.

4 . 2 R E Q U E S T F O R Q U A L I F I C A T I O N S

The VDOT P3 Office initiates the first stage of the P3 procurement process by issuing the RFQ. The primary objective of the RFQ is to define a pool of qualified, potential Proposers for the project. Private Entities interested in participating in the procurement respond to a RFQ through the submission of a Statement of Qualification (SOQ). In procurements where multiple delivery models are being considered, the RFQ may require, as a second step, the submission of a Conceptual Financial Proposal. Conceptual Financial Proposals inform VDOT / DRPT’s decision on the preferred project delivery model.

  1. 2.1 Draft RFQ and RFQ

Prior to the issuance of the RFQ, the VDOT P3 Office may post the RFQ in a draft format in the VDOT P3 website. The public has the opportunity to provide comments on a continuous basis by making use of the VDOT P3 Office website comment form during the process.

The RFQ documents will be posted on the Department of General Services (DGS) central procurement website and the VDOT P3 Office website. These documents will: 1) provide for a 30 to 60 day competition period, and 2) include information regarding the scope, nature and timing of development and/or operation of the proposed project.

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  1. 2.2 SOQ Evaluation The RFQ documents will specify the evaluation criteria and the methodology used to evaluate such criteria so Proposers will know how submissions will be evaluated. In procurements involving multiple project delivery models, Proposers may opt to submit an SOQ for either or all delivery models.

If VDOT / DRPT receives only one responsive Statement of Qualification, then the VDOT P3 Office will conduct an evaluation and market assessment to support a recommendation to the CEO if advancing the procurement is still in the best interest of the public, and if the proposed procurement should continue with one Proposer, be terminated or be modified.

  1. 2.3 Qualification of Proposers The VDOT P3 Office leads the review of all responsive SOQs. The CEO, or his designees, will be responsible for scoring and ranking the Proposers. Scoring of qualifications and any ranking of the SOQs will not be carried over to the evaluation of the Final RFP responses. While the CEO will make the final decision, it is expected that no more than five Proposers will be qualified. In procurements with multiple project delivery models, it is expected that no more than five Proposers will be qualified for each delivery model. Qualified Proposers will be invited to submit a Conceptual Financial Proposal.

The VDOT P3 Office will notify all Proposers in writing whether they have been qualified. In procurements where the submission of a Conceptual Financial Proposal is required, the notification will indicate whether a Proposer is qualified to submit a Conceptual Financial Proposal. Additionally, the VDOT P3 Office will inform other state and federal Agencies, Affected Localities and other stakeholders that Proposers have been qualified and invited to submit a Conceptual Financial Proposal.

Electronic copies of the public information included in the SOQs submitted by all Proposers will be posted on the DGS central procurement website and the VDOT P3 Office website within 10 business days of the completion of the SOQ evaluation.

  1. 2.4 Evaluation of Conceptual Financial Proposal If multiple project delivery models are being considered as part of the RFQ stage, the Qualified Proposers will be invited to submit Conceptual Financial Proposals for the project delivery model they have been qualified. The Conceptual Financial Proposals may include information on a preliminary financial model, sources and use of funds, and indicative pricing.

If VDOT / DRPT receives only one responsive Conceptual Financial Proposal, then the VDOT P3 Office will conduct an evaluation and market assessment to support a recommendation to the CEO if advancing the procurement is still in the best interest of the public, and if the proposed procurement should continue with one Proposer, be terminated or be modified.

  1. 2.5 Public Sector Analysis and Competition (Continued) Among other things, the information in Conceptual Financial Proposals received will be used for the ongoing Public Sector Analysis and Competition process (see Sections 2.2.2.1, 3.2, and 4.5). Findings from the Public Sector Analysis and Competition will be the basis for a final determination by the CEO of the preferred project delivery model.

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  1. 2.6 Short-Listing Qualified Proposers Once the CEO has made a determination, Qualified Proposers that had submitted Conceptual Financial Proposals under the preferred project delivery model will be short-listed. Short-Listed Proposers will advance to the RFP stage.
  2. 2.7 Presentation to the CTB and to the PPTA Steering Committee After the CEO has made a final determination of the preferred project delivery model, the VDOT / DRPT will brief the CTB on the results of its evaluation of the SOQs and the Conceptual Financial Proposals, and its selection of the preferred project delivery model.

Prior to the issuance of the Draft RFP (Section 4.3.1), at a meeting of the PPTA Steering Committee, the VDOT / DRPT will also present the results of its evaluation of the SOQs and the Conceptual Financial Proposals, as well as its determination to continue with, terminate, or pursue a modified procurement (including its selection of a preferred project delivery model). If the PPTA Steering Committee makes an affirmative determination that the proposals serve a public interest pursuant to the Va. Code § 33.2-1803.2(C), as evidenced by a majority vote of its members, the VDOT / DRPT may proceed with the procurement, or modified procurement. The PPTA Steering Committee may convene a closed door session to review the SOQs received.

  1. 2.8 Interim Agreement Prior to or in connection with the negotiation of a Comprehensive Agreement, VDOT / DRPT may enter into an Interim Agreement with a Proposer or multiple Proposers if VDOT / DRPT determines in writing that it is in the public interest to do so (Va. Code § 33.2-1809).

The interim agreement (i) permits the Proposer to commence activities for which it may be compensated relating to the proposed transportation facility (including project planning and development, advance right-of-way acquisition, design and engineering, environmental analysis and mitigation, survey, conducting transportation and revenue studies, and ascertaining the availability of financing for the proposed facility or facilities); and (ii) contain provisions related to any aspect of the development and/or operation of a transportation facility that the parties may deem appropriate. But, such interim agreement shall not (i) establish a process and timing of the negotiations of the Comprehensive Agreement or (ii) allow for competitive negotiations as set forth in Va. Code § 2.2-4302.2.

VDOT / DRPT shall provide an opportunity for public comment on the proposals 30 days prior to entering into an interim agreement. The public comment period may include a public hearing, at the sole discretion of VDOT / DRPT.

Once the negotiation phase for the development of the interim agreement is complete and a decision to award has been made, VDOT / DRPT shall post the major business points of the interim agreement in accordance with Va. Code § 33.2-1820(C). 4 . 3 R E Q U E S T F O R P R O P O S A L S The second stage of procurement consists of the issuance of the RFP, the evaluation of proposals submitted pursuant to the RFP, and the selection of the Apparent Best Value Proposal which offers the most overall public benefits.

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CO MMO NW EALTH O F V IR G I N IA During this stage, the VDOT P3 Office provides opportunities for public comment on the project and proposals on a continuous basis by making use of the VDOT P3 Office and/or project website. The RFP documents will be posted to the VDOT P3 Office and project website.

  1. 3.1 Draft RFP VDOT / DRPT may choose to issue the RFP in draft format to Short-Listed Proposers (Draft RFP) and hold proprietary one-on-one meetings to solicit feedback on these proposed documents.

The Draft RFP will be issued together with the draft Comprehensive Agreement. Pursuant to Va. Code § 33.2-1820(B)(2), 30 calendar days prior to issuance of the finalized RFP documents (Final RFP), VDOT /DRPT must post the draft Comprehensive Agreement and provide an opportunity for public comments. The public has the opportunity to provide comments on a continuous basis by making use of the VDOT P3 Office website comment form during the process.

VDOT / DRPT will also notify Affected Localities and public entities that a copy of the Draft RFP has been posted for comment.

  1. 3.2 Final RFP After receipt and due consideration of feedback and comments, the VDOT P3 Office will issue the finalized Final RFP to Short-Listed RFQ Proposers.
  2. 3.3 Evaluation of responses to Final RFP The VDOT P3 Office and other appropriate personnel will evaluate responses to the Final RFP based on defined criteria in the RFP documents. The VDOT P3 Office reserves the right to run a Best and Final Offer (BAFO) process with the Short-Listed Proposers (see Appendix G).

If after the competitive response period, VDOT / DRPT receives at least a single responsive Proposal, the VDOT P3 Office will conduct an assessment to determine if the Proposal received is in the best interest of the public. This assessment will include, at a minimum, an evaluation of risk allocations. VDOT / DRPT may decide to continue, terminate or modify the procurement. 4 . 4 M A T E R I A L C H A N G E S If VDOT / DRPT modifies the procurement documents in such a manner as to materially change the project scope, assignment of risks or liabilities, or mitigation of revenue risk, VDOT / DRPT will report such modifications to the CTB and seek a resolution to continue the procurement with the material changes. The report will include an assessment on the original and modified procurements.

The presentation to the CTB will be at a scheduled meeting on the Commonwealth Calendar and open to the public. 4 . 5 P U B L I C S E C T O R A N A L Y S I S A N D C O M P E T I T I O N ( F I N A L ) Prior to contract finalization and award, the VDOT P3 Office will perform a final Public Sector Analysis and Competition, taking into account any additional project information that has become available since the initial Public Sector Analysis and Competition was performed. This final Public Sector Analysis and Competition compares the VDOT / DRPT updated Public Sector Option and the Apparent Best Value

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CO MMO NW EALTH O F V IR G I N IA Proposal. The final Public Sector Analysis and Competition is a final check to ensure the award of the project as a P3 project remains in the best interest of the public. 4 . 6

B A S I S F O R A W A R D & S E L E C T I O N O F P R E F E R R E D

P R O P O S E R The CEO’s selection of the Apparent Best Value Proposal VDOT / DRPT shall also be based upon a determination that it is in the best interest of the public. An Apparent Best Value Proposal is in the best interest of the public if:

  1. The Preferred Proposer can develop and/or operate the transportation facility or facilities with a public contribution amount that is less than the maximum public contribution determined under the Public Sector Analysis and Competition;

  2. There is a public need for the transportation facility or facilities and they meet a need included in the Statewide Transportation Plan;

  3. The Apparent Best Value Proposal is anticipated to have significant benefits as determined under the FOPI;

  4. The Apparent Best Value Proposal will result in the timely development and/or operation of the transportation facility or facilities or their more efficient operation;

  5. The risks, liabilities, and responsibilities transferred, assigned, or assumed by the Preferred Proposer provide sufficient benefits to the public to not proceed with the development and/or operation of the transportation facility through other means of procurement available to VDOT /

DRPT.

The CEO will also take into account the recommendation of the VDOT P3 Office, the evaluation criteria and the Public Sector Analysis and Competition when selecting a Preferred Proposer. The VDOT P3 Office will inform the Preferred Proposer that it has been selected and initiate the finalization of the terms of the CA.

The VDOT P3 Office will notify all other Proposers in writing regarding the CEO’s decision to award the project to the Preferred Proposer. Upon request, the VDOT P3 Office may also provide briefings to the PPTA Steering Committee, CTB members, and other previously-identified stakeholders. 4 . 7 R I S K A S S E S S M E N T ( C O N T I N U E D ) During the project procurement phase, the VDOT P3 Office will conduct a risk workshop/s to again update the Risk Register (Section 2.2.2.2) and the Risk Management Plan (Section 3.3). The Risk Register and the Risk Management Plan are also updated to reflect new project information, mitigations that have been carried out, and market factors. 4 . 8 P P T A A U D I T R E Q U I R E M E N T S For P3 projects with estimated Construction Costs over $50 million dollars, Va. Code § 33.2-1803(F) requires the Preferred Proposer to pay for an independent audit of any and all traffic and cost estimates associated with the Preferred Proposer’s Proposal, and a review of all public costs and potential liabilities to which taxpayers could be exposed. This includes improvements to other transportation facilities that may be needed as a result of the Proposal, failure by the Preferred Proposer to reimburse the VDOT / DRPT for

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CO MMO NW EALTH O F V IR G I N IA services provided, and potential risk and liability in the event the Preferred Proposer defaults on the Comprehensive Agreement or on bonds issued for the project. The VDOT P3 Office will appoint an independent consultant to conduct this audit prior to the final contract award to the Preferred Proposer.

Additionally, the VDOT P3 Office will disclose all information from such a review within 30 calendar days of completion of the audit by posting it on the VDOT P3 Office website. See Appendix J for further information. 4 . 9 C E R T I F I C A T I O N T O G O V E R N O R A N D G E N E R A L A S S E M B L Y During the project procurement phase, the VDOT P3 Office, in coordination with VDOT / DRPT, will prepare a Certification for the signature of the CEO, addressed to the Governor and the General Assembly. The Certification to Governor and General Assembly confirms the P3 delivery method is being conducted in a manner that is consistent with the intent of the FOPI. Namely, the Certification to Governor and General Assembly must indicate that the project continues to bring value, the transfer, assignment, and assumption of risks, liabilities, and permitting responsibilities by the private sector have not materially changed since the initial FOPI was issued, and finally that the public contribution requested by the Proposer does not exceed the maximum public contribution (identified under the Public Sector Option), and the project remains in the best interest of the public. 4 . 1 0 R E P O R T T O C T B After the completion of the PPTA audit, the CEO will report to the CTB: the final schedule for project delivery, the Risk Management Plan, the final Public Sector Analysis and Competition, the projected final and total project cost (including the projected public contribution for the project), the updated economic benefits, and the major business points in the draft Comprehensive Agreement.

During the briefing, the CEO will seek the CTB’s endorsement of the Certification to Governor and General Assembly indicating support of the CEO’s execution of a Comprehensive Agreement. The briefing documentation and CTB’s endorsement of the Certification to Governor and General Assembly are posted on the VDOT P3 Office website for public awareness five calendar days prior to/after the CTB meeting. 4 . 1 1 C O N T R A C T F I N A L I Z A T I O N A N D A W A R D Prior to developing or operating a P3 project, the Preferred Proposer must enter into a Comprehensive Agreement with VDOT / DRPT. The CEO has the statutory authority to enter into the Comprehensive Agreement pursuant to the PPTA.

If, at any point in during contract finalization, the CEO determines that the Preferred Proposer will not provide services in the best interest of the public, then the CEO may suspend or terminate the procurement, or choose to finalize a contract with the next highest ranking Proposer. This process may continue until the CEO reaches an agreement or ultimately decides to terminate the procurement.

During contract finalization, no changes to the major business terms in the draft Comprehensive Agreement will be permitted. The final authorization to develop and/or operate any P3 project is contingent upon the successful finalization and execution of the Comprehensive Agreement between the Preferred Proposer and the CEO.

Once the negotiation phase for the development of a CA is complete and a decision to award has been made, VDOT / DRPT shall post the major business points of the CA including the projected use of any public funds on the DGS’ central electronic procurement website, and outline how the public can submit commentes on those major business points.

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  1. 11.1 Risk Assessment (Final) During contract finalization, the Risk Register and Risk Management Plan are again updated with information from the selection of the Preferred Proposer. The current Risk Register and Risk Management Plan are certified to by the VDOT P3 Office Director and endorsed by the CEO for use during the project implementation phase.

4 . 1 2 R E P O R T T O P P T A S T E E R I N G C O M M I T T E E Within 60 days of the execution of the CA, the VDOT / DRPT CEO, will in closed session brief the PPTA Steering Committee on the details of the final bids received and the details of the evaluation of such bids. 4 . 1 3 P R O C U R E M E N T F O R U N S O L I C I T E D P R O P O S A L S Following the PPTA Steering Committee’s concurrence with the Public Sector Analysis and Competition (Section 3.5), VDOT / DRPT may decide to accept the Unsolicited Proposal and initiate procurement.

Within 10 days from the acceptance of the Unsolicited Proposal, the VDOT P3 Office will post the Unsolicited Proposal on the DGS central procurement website and the VDOT P3 Office website.

A notice will also be posted (i) providing for a period of 120 days for the submission of competing proposals, (ii) including specific information regarding the proposed nature, timing, and scope of the facility subject of the Unsolicited Proposal; and (iii) outlining the opportunities that will be provided for public comments during the review process.

At the end of the 120-day period for submission of competing proposals, VDOT / DRPT shall conduct an evaluation and proceed in accordance with the procedures in Sections 4.2.2 to 4.12 above. 4 . 1 4 K E Y A C T I O N I T E M S Table 5 Project Procurement Activity Responsibility Targeted Timeframe Solicited Projects Issue Draft RFQ VDOT P3 Office Prior to issuance of RFQ Post Draft RFQ on VDOT P3 Office for public comment VDOT P3 Office Prior to issuance of RFQ Issue RFQ VDOT P3 Office After approval by PPTA Steering Committee of initiation of procurement Receive SOQs VDOT P3 Office Between 30 and 60 calendar days after release of RFQ Unsolicited Proposals Post the Unsolicited Proposal VDOT P3 Office 10 days from acceptance of Unsolicited Proposal

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Issue notice for submission of VDOT P3 Office As appropriate competing proposals

Receive competing proposals VDOT P3 Office 120 days from issuance of notice

Solicited Projects/Unsolicited Proposals

Evaluate SOQs/competing VDOT / DRPT Completion targeted for 60 calendar proposals and qualify days after receipt of SOQs Proposers.

Agency qualifies Proposers CEO Within 10 business days of completion of evaluation of SOQs/competing proposals

Notification of Qualified VDOT P3 Office Within 10 business days of CEO’s Proposers qualification of Proposers Posting of Qualified Proposers

Require submission of VDOT P3 Office Upon notification to Qualified Conceptual Financial Proposals Proposers that Conceptual Financial by Qualified Proposers Proposals are required

Receive Conceptual Financial VDOT P3 Office Between 60 and 90 calendar days from Proposals notification of Qualified Proposers that Conceptual Financial Proposals are required

Evaluate Conceptual Financial VDOT P3 Office 10 business days from receipt of Proposals Conceptual Financial Proposals

Update Public Sector Analysis VDOT P3 Office As appropriate and Competition based on information in Conceptual Financial Proposals

Agency selects preferred CEO 10 business days from end of project delivery model. Qualifed evaluation of the Conceptual Financial Proposers are short-listed. Proposals

CTB briefing on the Short-List, VDOT / DRPT After the CEO’s selection of the the results of the evaluation of preferred project delivery model the SOQs and Conceptual Financial Proposals, and the selection of the preferred project delivery model.

PPTA Steering Committee VDOT / DRPT After briefing of the CTB briefing on the Short-List, the results of the evaluation of the SOQs and Conceptual Financial Proposals, and the

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selection of the preferred project delivery model.

Vote on whether the project PPTA Steering serves public interest Committee

Issue draft RFP VDOT P3 Office Within 60 calendar days after affirmative vote in meeting of the PPTA Steering Committee

Release draft RFP to Qualified VDOT P3 Office Release targeted 30 calendar days Proposers after affirmative vote in meeting of the PPTA Steering Committee

Post draft Comprehensive VDOT P3 Office 30 calendar days before Final RFP Agreement and draft RFP for release public comment

Release Final RFP VDOT P3 Office 30 calendar days after posting of draft Comprehensive Agreement

Evaluate the responses to the VDOT / DRPT Completion targeted 90 calendar days RFPs after receipt of RFP

Conduct the final Public Sector VDOT P3 Office Completion targeted 60 calendar days Analysis and Competition after completion of evaluation of RFPs

Select a Preferred Proposer CEO Targeted 90 calendar days after receipt of RFP

Conduct PPTA Audit VDOT P3 Office Completion targeted 30 calendar days after selection of Preferred Proposer

Post results of PPTA Audit VDOT P3 Office Within 30 calendar days of completion of PPTA Audit

Issue Certification to Governor CEO After conduct of PPTA Audit but before and General Assembly entering into the Comprehensive Agreement

Report to CTB on decision to VDOT / DRPT Determined by completion of project execute Comprehensive procurement activities and timing of Agreement next public meeting

Finalize and Award the VDOT P3 Office (finalize) 30 calendar days after CTB briefing Comprehensive Agreement and CEO (execute)

Brief PPTA Steering Committee CEO Within 60 calendar days of execution of on Comprehensive Agreement CA

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5 . P R O J E C T I M P L E M E N T A T I O N

Project Project Project Project Identification & Development Procurement Implementation Screening

5 . 1 P O S T - C O M M E R C I A L C L O S E

Once a Comprehensive Agreement is executed for a P3 project by the CEO and Preferred Proposer, the VDOT P3 Office begins preparing for the transition from leading project procurement to supporting the responsible VDOT District project manager leading the project’s implementation.

During this transition phase, the VDOT P3 Office will also continue to lead coordination efforts related to achieving Financial Close.

5 . 2 P O S T - F I N A N C I A L C L O S E

After Financial Close is reached, project design and construction begins with leadership from the VDOT District project manager. The VDOT P3 Office project manager assumes a supporting role during this phase, assisting with contract interpretations, documentation submittals, etc.

A checklist will be developed by the VDOT P3 Office to ensure that the appropriate party (e.g.. FHWA, VDOT, TIFIA office, etc.) receives timely submittals or evidence of commitments addressed as stipulated in the Comprehensive Agreement, and other contract documents.

A database will also be developed during the project procurement phase to house all appropriate project documentation. This will continue to be maintained during the project implementation phase by submittals of documentation to the VDOT P3 Office.

5 . 3 K E Y A C T I O N I T E M S

Table 6

Project Implementation Activity Responsibility Targeted Timeframe

Coordination to reach Financial Close VDOT P3 Office 6 to 9 months after award

Support District Implementation of the VDOT P3 Office Ongoing after Financial Comprehensive Agreement Close

Lessons Learned Workshop VDOT P3 Office / VDOT 60 days after Financial District Close/after Project Completion

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Project Implementation Activity Responsibility Targeted Timeframe

Document Control database VDOT P3 Office/VDOT Begin during Project District Procurement & continued until Project Completion

Performance Monitoring VDOT P3 Office/ VDOT As stipulated in CA District

Conduct a review of whether the VDOT P3 Office/ VDOT Not later than 3 years Preferred Proposer is meeting the District after the date of terms of the Comprehensive completion of the Agreement project.

Provide a publicly available summary VDOT P3 Office/ VDOT As appropriate of the total level of Federal assistance District in the project

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A P P E N D I C E S Appendix A – Rights and Disclaimers Appendix B – P3 Definitions Appendix C – Guidance on Approach to Commercial Terms Appendix D – Guidance on Project Identification and Screening Appendix E – Guidance for Unsolicited Proposal Preparation Appendix F – Guidance for the RFQ Process Appendix G – Guidance for the RFP Process Appendix H – Guidance for the PPTA Audit Requirements Appendix I – Summary of Changes to PPTA Legislation Appendix J – PPTA Statutory Requirements Appendix K – Confidentiality and Security of Information

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A P P E N D I X A Rights and Disclaimers

RIGHTS RESERVED

  1. The VDOT P3 Office, in coordination with VDOT / DRPT, reserves all rights available by law in procuring PPTA Proposals, including, without limitation, the sole and unfettered right to:
  2. Alter the schedule of review or scope of evaluation, including components thereof, of any Proposal if they deem changes are necessary because of the scope or complexity of a Proposal they receive;
  3. Reject any and all Proposals at any time;
  4. Terminate evaluation of any and all Proposals at any time;
  5. Suspend, discontinue and/or terminate Interim or Comprehensive Agreement negotiations with any Proposer at any time prior to the actual authorized execution of such agreement by all parties, subject to appropriate documentation;
  6. Negotiate with a Proposer without being bound by any provision in the Proposal;
  7. Request or obtain additional information about any Proposals;
  8. Waive minor errors, omissions or irregularities in a response to an RFQ or RFP;
  9. Issue Addenda to, and/or cancel, any RFQ or RFP; 10. Revise, supplement or withdraw all or any part of the guidelines included in this 2017 Manual and Guidelines; 11. Decline to return any and all fees required to be paid by Proposers as part of the evaluation process for Unsolicited Proposals; 12. Request clarifications to Unsolicited Proposals; and 13. Modify the process and submission requirements for reviewing Proposals in connection with a re-sale, re-tendering, transfer or other disposition of a project pursuant to the provisions of an existing Comprehensive Agreement.

DISCLAIMERS AND CONDITIONS FOR SUBMISSIONS UNDER THE PPTA

  1. Neither the Commonwealth nor any of its political subdivisions, agencies, or employees shall be liable for, or reimburse, the costs incurred by Respondents or Proposers, whether or not selected for negotiations, in developing and submitting Proposals or in negotiating agreements. Any and all information made available to Respondents and Proposers is made for convenience purposes only and is without representation or warranty of any kind.

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  1. Respondents and Proposers must submit questions concerning the PPTA process in writing to the point of contact referenced in the procurement documents, who will coordinate a response in writing; Proposers may not rely on oral responses to inquiries.

  2. The Commonwealth, the Secretary of Transportation, the VDOT P3 Office Director or the CEO shall not be liable to a Respondent or Proposer for the disclosure of all or a portion of a response to RFQ, RFP or a Proposal submitted pursuant to this Manual and Guidelines.

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A P P E N D I X B

P3 DEFINITIONS Provided below are terms used in this Manual and Guidelines.  Addenda or Addendum means supplemental additions, deletions, and modifications to the provisions of the solicitation documents issued by the VDOT P3 Office or a Responsible Public Entity.  Affected Locality means any county, city or town in which all or a portion of a Qualifying Transportation Facility is located and any other Responsible Public Entity directly affected by the Qualifying Transportation Facility.  Agency means VDOT or DRPT.

 Apparent Best Value Proposal means the Proposal offering the Best Value.  BAFO means Best and Final Offer. A BAFO is submitted by Proposers in response to a Request for Proposal revisions issued by VDOT / DRPT. After evaluation of responses to a final RFP, VDOT /DRPT reserves the right to request that Proposers submit Proposal revisions (also known as a BAFO).

Typically, only those Proposers who have provided responsive proposals to the final RFP and/or fall within a competitive range will be permitted to submit BAFOs.  Best Value means the most overall public benefits as determined through an evaluation of the amount of the concession payment, the amount of public contribution, and other appropriate considerations in proposals received from Proposers. Such other appropriate considerations may include, but are not limited to, qualifications and experience of the private sector, expected quality of services to be provided, the history or track record of the private sector in providing the services, timelines for the delivery of services, performance standards and revenue sharing. Such appropriate considerations may also include, but are not limited to, policy considerations that are important, but not quantifiable, such as retaining a desired level of oversight over the project, ensuring a certain level of maintenance and operations for the project, considerations relative to the structure and amount of the toll rates, economic development impacts and considerations, or social and environmental benefits and impacts.  Brownfield Project means the modification and/or replacement of an existing transportation facility where the new project may need to take into consideration existing structures and services already in place.  CEO means the Commissioner of Highways for VDOT and the Director of DRPT for DRPT.  Certification to Governor and General Assembly is a document where the CEO certifies that the P3 delivery method is being conducted in a manner that is consistent with the intent of the FOPI submitted prior to the project procurement phase.  Comprehensive Agreement (CA) means the Comprehensive Agreement between the Proposer and the VDOT / DRPT, required by § 33.2-1808 of the Code of Virginia.

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CO MMO NW EALTH O F V IR G I N IA  Conceptual Financial Proposal means, a submission by Qualified Proposers, in a procurement where multiple project delivery models are being considered. The submission may include information on a preliminary financial model, sources and use of funds, and indicative pricing relating to the specific project delivery model for which the Qualified Proposer has been qualified.  Construction costs means capital costs incurred and expended in completing the construction of a project, including labor, materials, construction equipment, site preparation, construction management, typical contingencies, etc.

 CTB means the Commonwealth Transportation Board.  Develop or Development means to plan, design, finance, lease, acquire, install, construct or expand.

 Final RFP means the final request for proposals issued by VDOT / DRPT during the procurement of a P3 project.  Finding of Public Interest (FOPI) means a document signed by the CEO and the Secretary of Transportation, and contains at a minimum the information provided in Va. Code § 33.2-1803.1.  FONSI means Finding of No Significant Impact as defined in 40 CFR 1508.13. A FONSI is issued by the lead federal agency when environmental analysis and interagency review during the environmental assessment process determines a project has no significant impacts on the environment.  Greenfield Project means the development of a new transportation facility.  Interim Agreement means an agreement, including a memorandum of understanding or binding preliminary agreement, between the Proposer and the Responsible Public Entity that provides for the completion of studies and any other activities to advance the development and/or operation of a Qualifying Transportation Facility (as defined under the PPTA).  Metropolitan Planning Organization (MPO) means a transportation policy-making organization made up of representatives from local government and transportation authorities.  NEPA means the National Environmental Policy Act of 1969. The law is interpreted by the Council on Environmental Quality (CEQ); each federal agency has developed its own set of regulations and guidance implementing NEPA (e.g. Federal Highway Administration’s implementing regulation is found at 23 CFR 771).  NEPA process means the statutory process to assess the environmental impacts of alternative options carried out in accordance with the requirements of the National Environmental Policy Act.

 Operate or Operation means to finance, maintain, improve, equip, modify, repair, or operate a facility.

 PDC means Planning District Committee.

 Policy Review means a brief evaluation of an Unsolicited Proposal’s concept and benefits to determine that it is in accordance with the Code of Virginia, and this Manual and Guidelines, and is consistent with the Commonwealth’s transportation policy goals.

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CO MMO NW EALTH O F V IR G I N IA  PPTA means the Public-Private Transportation Act of 1995, as amended, which is a legislative process enabling Responsible Public Entities to enter into agreements authorizing Proposers to develop and/or operate Qualifying Transportation Facilities.  PPTA Steering Committee means the committee established under Va. § 33.2-1803.2, whose members are stated in Section 1.4.1.  Preferred Proposer means the Proposer whose proposal is selected as the Apparent Best Value Proposal by VDOT / DRPT in coordination with the VDOT P3 Office.  Private Entity means any natural person, corporation, general partnership, limited liability company, limited partnership, joint venture, business trust, public benefit corporation, non-profit entity or other business entity.

 Project Screening Report is a document prepared at the conclusion of the project identification and screening phase that reflects the VDOT P3 Office’s assessment of the Solicited Project based on qualitative and quantitative criteria.  Proposal means and Unsolicited Proposal or the documents submitted by a Proposer in response to an RFP issued by the VDOT P3 Office.  Proposal Review Fee means the non-refundable, non-negotiable fee to be remitted to the VDOT /DRPT with the submission of an Unsolicited Proposal.  Proposer means a Private Entity submitting an Unsolicited Proposal, or a Proposal for a PPTA project in response to an RFP issued by the VDOT P3 Office.  Public-Private Partnership (P3) means a project or service which is funded and operated through a partnership of government and one or more Proposers. In Virginia, the PPTA is the enabling legislation that enables P3 agreements related to transportation.  Public Sector Analysis and Competition means the analysis undertaken by the VDOT P3 Office, in cooperation with the Secretary of Transportation and the Secretary of Finance, pursuant to Va. Code § 33.2-1803.1:1.  Public Sector Option means the procurement option defined based on available public funding and financing options. The Public Sector Option will be used to set a maximum amount of public contribution to the proposed project.  Qualified Proposer means, in a procurement with multiple delivery models, a Proposer who has submitted a responsive Statement of Qualifications, as determined by the CEO, after an evaluation by VDOT / DRP. A Qualified Proposer is invited to submit a Conceptual Financial Proposal.  Qualifying Transportation Facility has the meaning ascribed to that term within the PPTA.  Request for Proposals (RFP) means the documents constituting the Request for Proposals and identifying the P3 project, the work to be performed and materials to be furnished, in response to which a Proposer may submit a Proposal. VDOT / DRPT may choose to issue a Draft RFP to solicit feedback prior to the issuance of the Final RFP.

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CO MMO NW EALTH O F V IR G I N IA  Request for Qualifications (RFQ) means the documents constituting the Request for Qualifications issued for a PPTA project by VDOT / DRPT in coordination with the VDOT P3 Office.  Respondent means any Private Entity, company, firm, consortium or other legal entity that submits a response to a document issued by the VDOT / DRPT and VDOT P3 Office.  Responsible Public Entity means a public entity, including local government and regional authority that has the power to develop and/or operate the Qualifying Transportation Facility in accordance with the PPTA.  Revenue Risk means the risks associated with the realization of tolling revenues.

 RFI means a Request for Information which is issued, at the discretion of the CEO, to obtain additional information and comment from the private sector and other interested stakeholders. RFIs may include public briefings to discuss the project under consideration.  Risk Assessment means the overall process of risk identification, risk analysis and risk evaluation, including risk response.  Risk Management Plan is a detailed plan of action for the management of project risks, and should include recommended levels of contingency to maintain for a project in order tor reflect its risk exposure.  Risk Register means a detailed table or chart that lists the conceivable quantifiable risks for each project. These risks range from cost overrun and design risks to planning and regulatory risks. Each project risk is described in detail along with the probability of the risk occurring and a range of probable cost impacts as a result of the risk occurring.

 ROD means Record of Decision as defined in 40 CFR 1508.11. The ROD identifies the selected alternative from the environmental impact statement (EIS), specifies the “environmentally preferable alternative,” and provides information on the adopted means to avoid, minimize, and compensate for environmental impacts.

 Short-List as used in a two-phase selection process, means the narrowing of the field of Proposers through ranking of the most highly qualified Proposers who have responded to an RFQ with the intent to advance to the RFP stage of the P3 procurement process. Only short-listed firms will be invited to submit a proposal in response to an RFP. In procurements where the submission of a Conceptual Financial Proposal is required, a Short-List is issued once the CEO has determined a preferred project delivery model.  Short-Listed Proposer means a Proposer who has submitted a responsive Statement of Qualification and/or a Conceptual Financial Proposal, as determined by the CEO, after an evaluation by VDOT /DRPT. A Short-Listed Proposer advances to the RFP stage of procurement.  Solicited Project means a project developed and procured by the VDOT / DRPT and VDOT P3 Office through the issuance of an RFQ or RFP to develop and/or operate a Qualifying Transportation Facility by the Private Entity in accordance with the PPTA.  Stakeholder(s) means individuals and/or organizations who may affect, be affected by, or perceive themselves to be affected by a decision(s) associated with the project, its objectives and goals.

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 Statement of Qualifications (SOQ) means the documents constituting the Statement of Qualifications and supporting information, including all clarifications thereto, submitted by Respondents in response to RFQs issued by the VDOT / DRPT in coordination with the VDOT P3 Office.

 Transportation Infrastructure Finance and Innovation Act (TIFIA) means the Federal program that provides credit assistance, in the form of loans, loan guarantees and standby lines of credit, for qualified large-scale, surface transportation, projects of regional and national significance.

 Transportation Facility means any road, bridge, tunnel, overpass, ferry, airport, mass transit facility, vehicle parking facility, port facility, or similar commercial facility used for the transportation of persons or goods, together with any buildings, structures, parking areas, appurtenances and other property needed to operate such facility. A commercial or retail use or enterprise not essential to the transportation of persons or goods shall not be a "transportation facility”.

 Unsolicited Proposal means a Proposal to develop and/or operate a Qualifying Transportation Facility submitted by a Proposer not in response to an RFQ or RFP.

 VDOT P3 Office means the VDOT Office of Public-Private Partnerships, responsible for identifying, screening, developing, procuring, and implementing P3 projects.

 VDOT P3 Office Director means the highest ranking individual within the VDOT P3 Office responsible for overseeing all aspects of the P3 program.

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A P P E N D I X C Guidance on Approach to Commercial Terms The PPTA provides flexibility in contracting to public and Private Entities for the provision of public services.

A Comprehensive Agreement between the Private Entity and the agency governs the development and operation of the Qualifying Transportation Facility (Va. Code § 33.2-1808). The Comprehensive Agreement establishes the duties of the Private Entity and may contain commercial terms and conditions that the agency determines serve the public purpose of the PPTA. The development of commercial terms is a fluid, bi-lateral process governed by considerations of public policy and market conditions. In certain circumstances, the agency may elect to enter into an Interim Agreement with one or more Private Entities to pre-develop certain aspects of a particular project.

The guidance below presents the VDOT P3 Office’s approach to developing commercial terms that forms the basis for Interim Agreements and Comprehensive Agreements governing P3 projects. In developing commercial terms, the VDOT P3 Office seeks to strike a balance between (i) providing the private sector with enough transparency regarding the Commonwealth’s principles and processes so as to promote and preserve its confidence and participation in the P3 program and (ii) preserving the P3 Office’s flexibility across modes and projects to negotiate fair, market-based transactions that reflect the best interests of the Commonwealth.

While each P3 project is different and will have its own unique challenges, the guiding principles identified below remain constant and the P3 Office intends to apply these principles during the process of developing commercial terms for P3 projects across modes and methods of project delivery:  Protect the Public Interest by being an effective steward of public resources and ensuring that the Commonwealth and its transportation agencies satisfy their statutory and legal duties to the public;  Deliver Transportation Solutions to solve the Commonwealth’s transportation challenges;  Promote Transparency and Efficiency within the process in order to generate and preserve confidence of key stakeholders in the P3 program;  Maximize Competition through constant, early communication with the private sector, and during development and procurement, managing an efficient project selection process and administering a uniform and transparent procurement process;  Execute P3 projects in a Timely and Efficient Manner through decisive process management and efficient decision-making;  Encourage Creativity and Innovation to generate meaningful participation by the private sector;  Collaborate, Cooperate and Communicate with private partners within the process as well as federal and state agencies and other key stakeholders to identify shared goals, key concerns and criticisms and resolve issues and challenges on a programmatic and project-specific basis;  Advocate Reasonable and Fair Commercial Terms to ensure marketability of P3 projects by adopting market-based risk allocations that are appropriate for the complexity and scope of a specific P3 project – and are in the best interest of the Commonwealth;

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CO MMO NW EALTH O F V IR G I N IA  Standardize Terms, Procedures and Documents as appropriate to enhance speed of project execution and establish common understanding of key commercial terms and uniform treatment of general matters while remaining flexible to address the unique elements of a project on a transaction-specific basis; and  Lead the Public-Private Partnership Community by developing and preserving a reputation for managing P3 projects effectively and successfully to promote confidence in the P3 program and realize the benefits of a long term investment in the Commonwealth.

The VDOT P3 Office intends to apply these guiding principles and values to each P3 project through the processes utilized to develop commercial terms as outlined below; however, due to the uniqueness of each P3 project, certain principles and values may weigh and factor differently when developing commercial terms and finalizing an Interim or Comprehensive Agreement, as applicable, for a specific P3 project.

DEVELOPMENT OF COMMERCIAL TERMS During the pre-solicitation stage of the PPTA procurement phase, the VDOT P3 Office, in conjunction with the VDOT / DRPT, may conduct project-specific industry workshops in order to measure the private sector’s interest in the proposed P3 project and to gauge the potential scope of the project risks, allocation of those risks and related commercial terms. The VDOT P3 Office and the VDOT / DRPT may follow up, hold industry workshops, or conduct independent one-on-one meetings with potential developer teams to further develop the scope of the proposed P3 project and advance the consideration of potential commercial terms for the project.

Prior to the issuance of the Final RFP documents for a particular P3 project, the VDOT P3 Office will maintain open lines of communication within the parameters and restrictions set forth in the procurement documents with Short-Listed Proposers. The VDOT P3 Office will consider the input received from Short-Listed Proposers related to the project scope to ensure that the project and its corresponding commercial terms are financeable and consistent with prevailing market conditions.

The VDOT P3 Office expects the key commercial terms that will form the basis for an Interim Agreement or Comprehensive Agreement will be determined prior to issuance of the Final RFP documents. The contract finalization phase will provide an opportunity to make modifications necessary to react to events, such as changes in law, litigation, significant shifts in market conditions, new facts, and considerations raised by significant third party participants as appropriate. During the contract finalization phase, the VDOT P3 Office, in coordination with VDOT / DRPT will work with the Preferred Proposer to agree upon an ordered and efficient review and comment process to resolve any outstanding issues and/or refine the language of the documents in a manner which is timely, cost effective and reflects the importance of achieving commercial and financial closings.

The VDOT P3 Office, in conjunction with VDOT / DRPT, the OAG, and external legal, financial and technical advisors, will, in most circumstances, be primarily responsible for drafting, issuing and managing the P3 project’s primary commercial documents, such as term sheets, Interim Agreements, Comprehensive Agreements, technical requirements and related documents.

During the process of drafting the primary commercial documents, the VDOT P3 Office, VDOT / DRPT, the OAG, and external advisors will be guided by the PPTA principles and consider the following factors:

  1. The transportation mode and asset classification;

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  1. Whether the project is a Greenfield construction or Brownfield monetization;

  2. The proposed financial structure;

  3. The commercial terms and risk allocations reflected in past P3 projects in the Commonwealth, parties that are best able to manage each risk and recent transactions of similar complexity and scope in other jurisdictions;

  4. Current economic and financial conditions; and

  5. Political and cultural issues.

For certain terms, the VDOT P3 Office will develop standard contractual language to address matters that will be part of any transaction, regardless of the nature of the P3 project.

The VDOT P3 Office, in conjunction with its constituent agencies and external advisors, will engage the private sector on an ongoing basis to evaluate shifting market conditions and will conduct periodic internal reviews of its principles and processes. Furthermore, the VDOT P3 Office will reach out to both the private sector and similar public-private partnership offices in other states to discuss shifting market dynamics and/or conditions that may impact the P3 program.

The VDOT P3 Office views its approach to developing commercial terms as a dynamic process that will evolve over time in an effort to continually reflect the best practices of using public-private partnerships to develop transportation infrastructure in the Commonwealth.

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A P P E N D I X D Guidance on Project Identification and Screening The criteria below provide an indication of what information the VDOT P3 Office will evaluate as they make their briefing to the CTB on whether the Solicited Project or Unsolicited Proposal should proceed to the project development phase. These criteria are not intended to be an exhaustive listing, and may be modified to better address the unique aspects of a project. The findings of the evaluation will be reflected in a two (2)-part Project Screening Report, with each part corresponding to the qualitative (Table A) and quantitative (Table B) criteria below.

Table A Qualitative Project Screening Criteria – Desirability and Suitability of the Project I Public Need  Is the project part of the Statewide Transportation Plan, regional, and other local plans/programs?  Is the project in Smart Scale?  Is the project consistent with the overall transportation objectives of VDOT / DRPT?  Does the project address the needs outlined in the above plans including safety and security, system maintenance and preservation, mobility, connectivity and accessibility, environmental stewardship, economic vitality, coordination of transportation and land use, and program delivery?  Does the project address other needs?  Are there anticipated transportation benefits to the community, the region and/or the Commonwealth?  Are there potential project benefits to Affected Localities and their transportation system?  Are there anticipated enhancements to adjacent or existing transportation facilities?  Are there anticipated enhancements to planned transportation facilities?

II Public Benefits  Will the project enhance the Commonwealth's economic development efforts?  Is the project helpful to attracting or maintaining competitive industries and businesses to the region, consistent with stated objectives?

III Economic Development  If private sector feedback has been solicited, what is the level of interest that has been expressed? (This measure applies to Solicited Projects only. The submission of an Unsolicited Proposal demonstrates market demand.) IV Market Demand for PPTA Delivery (Should this be deleted?)

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CO MMO NW EALTH O F V IR G I N IA Qualitative Project Screening Criteria – Desirability and Suitability of the Project  What is the extent of public support or opposition for/to the project?  What strategies are proposed during project development to involve Affected Localities and the general public? Affected public entities and concerned local, state and/or federal officials?  Does the project have a transit component? Has there been coordination between VDOT and DRPT?

V Stakeholder Support  Is the project sufficiently complex (in terms of technical and/or financial requirements) to effectively leverage private sector innovation and expertise?  If the required public funding is not currently available, could using a P3 project delivery process accelerate project delivery?  Would delivering the project under the P3 delivery process free up funding to apply to other transportation priorities within the Commonwealth?

VI Project Efficiencies (from a P3 project delivery process)  Does the PPTA provide statutory basis for the development procurement and operation of the project?  Is the project consistent with applicable state and federal statutes?

VII Legal Considerations  Is new legislation needed to complete the project?  Will the project require General Assembly approval for tolls, user fees, or public funds?  Are any other actions required from the General Assembly to complete the project?

VIII Legislative Considerations Table B Quantitative Project Screening Criteria – Feasibility of the Project I Technical Feasibility 1 Project Approach  Is there sufficient information to determine the following information? a. Scope of the project b. Location of the project c. All proposed interconnections with other transportation facilities d. Affected Localities e. Alternatives for further evaluation  Does the project have any key constraints or assumptions?  Is the proposed schedule for project completion clearly outlined and feasible? 2 Proposed Project Schedule 3 Operation  Does the project include a plan to operate the facility? 4 Maintenance  Does the project include a plan to maintain this facility?

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CO MMO NW EALTH O F V IR G I N IA Quantitative Project Screening Criteria – Feasibility of the Project  Does the project include a life cycle management plan? This may include a proposed term of concession for operation and maintenance, long-term performance management, inventory and hand back. 5 Life Cycle Management 6 Technology  Is the project based on proven technology? 7 Design Standards  Does the conceptual design appear to be consistent with the appropriate state and federal standards?  Is the proposed project consistent with applicable state and federal environmental statutes and regulations? 8 Environmental Standards  Will the project require some level of federal involvement or oversight?  Have the required permits and regulatory approvals been identified?  Is there a reasonable plan and schedule for obtaining them? 9 Federal, State, and Local Permits and Approvals 10 Rights of Way  Does the project set forth the method by which all property interests required for the transportation facility will be secured and by whom? 11 Utilities  Does the project set forth the method by which utility relocations will be identified and managed?  Is the project compatible with local land use and comprehensive plans? 12 Land Use Impacts 13 System Interface  Does the project provide continuity with existing and planned state and local facilities?

II Financial Feasibility 1 Funding sources  Is the preliminary financial plan feasible in that the sources of funding and financing can reasonably be expected to be obtained?  What is the level of private financial equity/debt within the preliminary financial plan?  Are there public funds required and, if so, are the Commonwealth's financial responsibilities clearly stated?  Does the project have the revenue generation potential to partially or completely offset the public funding requirement?  Is the project consistent with federal transportation agency programs or grants? 2 Federal funding requirements III Public Sector Analysis and Competition

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CO MMO NW EALTH O F V IR G I N IA Quantitative Project Screening Criteria – Feasibility of the Project  What is the Public Sector Option?

Va. Code § 33.2-

  1. 1.1(B)  What is the maximum amount of public contribution?  How can the risks of user-fee financing be mitigated? This information is based on assumptions on competing facilities, projected compensation for high usage of the facility by high-occupancy vehicles (HOV), or other considerations.

 Will VDOT / DRPT maintain/operate the facility itself, or will these responsibilities be transferred to the private sector?

 Will public contributions be required to cover costs not covered by financing obtained for the project?

 Will funds to support non-user fee generating components of the project contribute to increased person throughput, reduction in congestion, improved safety and other expected benefits?

III Risk Assessment 1 Risk Identification  Are there any particular risks unique to the project that have not been outlined above that could impair project viability? 2 Risk Allocation  Would the P3 delivery process help transfer project risks and potential future responsibilities to the private sector on a long-term basis?  Are there any project risks proposed to be transferred to VDOT /DRPT that are likely to be unacceptable?  Would the P3 delivery process promote efficiencies through the most appropriate transfer of risk over the project lifecycle?

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A P P E N D I X E Guidance for Unsolicited Proposal Preparation Proposers may submit Unsolicited Proposals to develop and/or operate P3 projects at any time, pursuant to the PPTA and this Manual and Guidelines. Private Entities are discouraged from submitting the anticipated Proposal to the Secretary of Transportation for pre-submission review. Rather, in an effort to streamline the PPTA process, all Unsolicited Proposals should be submitted directly to the CEO with a copy to the VDOT P3 Office.

PROPOSAL PREPARATION Proposers submitting an Unsolicited Proposal should ensure that the Proposal includes a comprehensive project description and provides enough information about the proposed project for the VDOT P3 Office to determine whether the Proposal satisfies the review and evaluation criteria as set out in Va. Code § 33.2-1801 and § 33.2-1803 of the Code of Virginia. Proposers should also provide sufficient information to facilitate a Policy Review as detailed in Section 2.3.1 of this Manual and Guidelines and the Quantitative Project Screening Criteria as described in Appendix D. In addition, the financial plan for the project must contain enough detail so that an analysis could be performed to determine whether the proposed project is financially feasible. The financial plan shall disclose the full extent of any forecasted public financing and/or funding commitments that are required to enable the proposed project.

To promote standardization of the evaluation procedure, Proposers are required to organize contents of the Unsolicited Proposal as follows:  Table of Contents  Executive Summary  TAB 1: Project Description and Approach  TAB 2: Desirability of the Project  TAB 3: Feasibility of the Project  Appendices – Additional Information (if applicable) The VDOT P3 Office may require Proposers submitting an Unsolicited Proposal to give one or more oral presentations of their Proposal to the VDOT / DRPT and/or the public. Such presentations will provide opportunities to educate the VDOT / DRPT and the public and/or to clarify aspects of the Proposal. All pages of the Proposal should be numbered. Each copy of the Proposal should be placed in a three-ring binder and contained in a single volume where practical.

PROPOSAL SUBMISSION Proposers submitting Unsolicited Proposals are required to deliver ten (10) hard copies and one (1) electronic copy in Portable Document Format (PDF). Proposals must be sealed in mailing envelopes or packages bearing the Proposer's name, address and the words "Public-Private Transportation Act Proposal" clearly written on the outside. The cover page must include the title of the Proposal, the name

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CO MMO NW EALTH O F V IR G I N IA and address of the Proposer, the person authorized to act on behalf of the Proposer and his or her email address and telephone and facsimile numbers.

All Unsolicited Proposals should be submitted to VDOT / DRPT CEO’s, with a copy sent to the attention of the VDOT P3 Office Director at the address listed above for the P3 Office Point of Contact.

Upon receipt, the VDOT P3 Office will notify any appropriate federal agency, and other stakeholders that the Unsolicited Proposal has been submitted for a given transportation project and that the VDOT P3 Office will initiate a Policy Review within 90 calendar days to determine if the Proposal meets all legal and policy requirements for further evaluation, as set out in §§ 33.2-1801 and 33.2-1803 of the Code of Virginia and this 2017 Manual and Guidelines.

The Proposer submitting a copy of the Unsolicited Proposal to VDOT / DRPT pursuant to § 33.2-1803 of the Code of Virginia shall coordinate with the VDOT P3 Office Director prior to furnishing a copy of its Proposal to Affected Locality identified in the Proposal.

If an Unsolicited Proposal is submitted during a period when the VDOT P3 Office is unable to review and evaluate that Proposal by virtue of being committed to the development, evaluation, and negotiation of other priority transportation projects, or for any other reason as determined by the VDOT / DRPT at its sole discretion, the Proposer will be notified by the VDOT P3 Office so that the Proposal may be resubmitted at a later date.

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A P P E N D I X F Guidance for the RFQ Process This Appendix provides guidance on the processes for issuance of RFQ documents and submitting SOQs.

ISSUANCE OF RFQ DOCUMENTS The VDOT P3 Office, in consultation with the CEO, and other state and federal agencies, as appropriate, is responsible for the development and issuance of the RFQ documents. The VDOT P3 Office will issue a public notice on the VDOT P3 Office website and the state eVA system to announce the issuance of the RFQ documents. The eVA system is a web-based purchasing system used by state agencies to announce bid opportunities, invite bidders and receive quotes. The public notice may be issued by publication in a newspaper or newspapers of general circulation in the area in which the project is to be performed, so as to provide reasonable notice to the maximum number of Respondents that can be reasonably anticipated to submit responses to the RFQ.

The procurement documents, including any required forms, Addenda and other related information will be made available electronically on the eVA system and the VDOT P3 Office website. The VDOT P3 Office may arrange for a pre-Proposal conference or webinar, as deemed appropriate, to present and clarify information about the project and procurement process and respond to any questions that prospective Respondents may have about the RFQ. A notice for such event will be made known within the RFQ documents, on the eVA system and on the VDOT P3 Office website.

At any time during the procurement process, the need to issue one or more Addenda to the procurement documents may arise following interaction with the industry or in the event the underlying conditions of a particular project change or more information becomes available. Proposers are encouraged to check the eVA system and the VDOT P3 Office website frequently and before submitting their responses.

SUBMISSION OF SOQS In response to the issuance of an RFQ, Proposers that are interested in the project will be required to submit an SOQ. SOQs should be prepared in accordance with the timelines and requirements of the RFQ document. For those Unsolicited Proposals that have been accepted by the VDOT / DRPT for a competitive procurement, the individual or Proposer that submitted the original Unsolicited Proposal will be required to submit a SOQ with other prospective Respondents to an RFQ if the Proposer remains interested in developing the project.

As a part of the SOQ, Respondents may be required to provide information related to the structure of the respondent team, the qualification and experience of the Respondent, individual team members and key personnel with developing, designing, constructing, financing, operating and/or maintaining projects comparable to the project. The specific nature of experience, key personnel and background sought will depend on the specific project as well as the project delivery model used. Respondent will also be required to identify a Responsible Charge Engineer who will accept full professional responsibility for engineering decisions relating to the final work product. Additionally, the RFQ may require submittal of certain financial information from the Respondent and its affiliates. The intent of financial qualification submittal requirements is to determine whether the Proposer submitting a response has sufficient financial capacity to assume the responsibilities and obligations required to deliver the project on schedule. The VDOT P3 Office in coordination with the VDOT / DRPT may require the submission of

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CO MMO NW EALTH O F V IR G I N IA financial statements (including audited financial statements), letters of support from providers of payment and performance security and/or disclosure of material changes in the Respondent’s financial position during a specified period of time or reporting period identified in the RFQ.

Respondents are encouraged to become familiar with the Virginia Freedom of Information Act (FOIA) provisions to ensure that documents identified as confidential or proprietary will not be subject to disclosure pursuant to FOIA prior to submitting their responses and to otherwise understand which documents may be subject to disclosure pursuant to the FOIA.

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A P P E N D I X G Guidance for the RFP Process This Appendix provides guidance on the process for developing RFP documents, the contents of Proposals and evaluation methodology.

Upon making the determination of Short-Listed Proposers the VDOT / DRPT in coordination with the VDOT P3 Office may begin the RFP process. The purpose of the RFP process is to create competition among a short-list of the most qualified Proposers to ensure the best interests of the public are served.

The VDOT / DRPT, in coordination with the VDOT P3 Office, may choose to issue the RFP documents in draft format to Short-Listed Proposers and hold one-on-one meetings in order to solicit feedback on the proposed RFP documents and draft Comprehensive Agreement. Once consideration has been given to feedback from the Short-Listed Proposers and other appropriate parties, the VDOT / DRPT, in coordination with the VDOT P3 Office, will issue Final RFP documents to Short-Listed Proposers.

The VDOT / DRPT, in coordination with the VDOT P3 Office, will evaluate responses to the RFP from Short-Listed Proposers based on appropriate criteria. The VDOT / DRPT, in coordination with the VDOT P3 Office, reserves the right to run a Best and Final Offer (BAFO) process with some or all of the Short-Listed Proposers.

CONTENTS OF RFP DOCUMENTS The RFP documents may include specific requirements for the detailed Proposals, as well as the selection criteria to be met. Depending on the project, the RFP documents may also include, among other things:  Technical requirements for the design, construction, environmental commitments, operations and maintenance components of the project;  The scope of the services to be provided;  VDOT / DRPT’s preferred allocation of project risks and commercial terms via a draft Comprehensive Agreement;  Clear instructions on the content and format of each Proposal; and  A clear and reasonable timetable for submitting the Proposals.

PROPOSAL SUBMISSION In response to the issuance of the Final RFP documents, Short-Listed Proposers will be invited to submit a detailed Proposal containing at least two basic components, a Technical Proposal and a Financial Proposal, in accordance with the requirements stated in the RFP documents. The RFP may require Proposers to submit information different from or in addition to such information referenced in this Manual and Guidelines.

Additionally, the extent and type of information requested may vary depending upon the complexity of the P3 project; however, the information and supporting documents provided should be sufficient to allow VDOT / DRPT to determine the most suitable Proposer for delivering the P3 project.

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TECHNICAL PROPOSAL The VDOT P3 Office may require the Proposer to provide a Technical Proposal regarding the project’s scope of work and technical requirements as the VDOT / DRPT deems appropriate. Such required information may include, without limitation, design elements and approach, construction approach, operations approach, maintenance approach, approach for maintenance of traffic during construction, project management approach, schedule, phasing, quality control and assurance approach, environmental requirements, communication and public involvement approach and other information as is appropriate for the project’s implementation.

The intent of the Technical Proposal is to provide assurance that the selected Preferred Proposer has a sufficient understanding of the project and/or desired service; an approach that fosters innovation and creativity; an approach that meets technical and contractual requirements; and the ability to deliver the project and/or desired service in accordance with technical and contractual requirements stated in the RFP documents in a timely and efficient manner. If compliance with NEPA is required, the Technical Proposal must be consistent with any existing NEPA approvals or additional NEPA documentation may be required.

FINANCIAL PROPOSAL The content requirements of the Financial Proposal will vary with the type of PPTA delivery structure and the transportation mode and nature of a particular P3 project. If the RFP and project scope requires the Proposer to finance any part of the project, the RFP will require that the Financial Proposal include a financial plan and financial model. Depending upon the nature of the project, the project delivery model and current market conditions, the requirements for the contents and level of detail of the financial plan could be substantially different. The Financial Proposal may require that the Proposer update the financial qualification information provided with the SOQ. The RFP documents will include the financial plan requirements.

The VDOT P3 Office will seek Proposals that demonstrate the private sector can develop and/or operate the transportation facility with a public contribution amount less than the maximum public contribution. If a Proposal including public or private debt is submitted, then the RFP will require that the Proposal identify the amount of public funds required and a plan for complying with any requirements associated with using public funds.

PROPOSAL EVALUATION CRITERIA The evaluation methodology for Proposals will depend largely on the nature of the project, the scope of work and details set forth in the RFP documents. The VDOT P3 Office is encouraged to use Best Value as the basis for award. However, the VDOT P3 Office reserves the right to utilize other basis for award, including low bid, lowest lifecycle cost, highest concession payment, lowest public subsidy and any other basis that is appropriate and deemed by the VDOT P3 Office in coordination with the VDOT / DRPT to be in the best interests of the public.

The specific criteria and methodology for evaluating Proposals will be included in the RFP documents of the specific PPTA procurement and will vary depending on the scope and complexity of a project, transportation mode and project delivery model. The RFP evaluation criteria allow the VDOT P3 Office, the CEO, and the Commonwealth to clearly communicate the project objectives and priorities of the VDOT /DRPT to the private sector.

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CO MMO NW EALTH O F V IR G I N IA Upon receipt of Proposals, the VDOT P3 Office will commence the evaluation and selection process. The VDOT / DRPT may hold interviews, ask written questions of the Proposers, seek written clarifications and conduct discussions on the Proposals during the evaluation and selection process.

After evaluation of the Proposals, VDOT / DRPT, reserves the right to request that Proposers submit Proposal revisions (also known as a Best and Final Offer (BAFO)). Typically, only those Proposers that are responsive and/or which fall within a competitive range will be permitted to submit BAFOs. The request for Proposal revisions or BAFOs is intended to provide Proposers an opportunity to revise their Proposals (both the Technical Proposal and Financial Proposal) in light of the BAFO request issued by the VDOT P3 Office. Upon receipt of the Proposal revisions or BAFOs, the Proposal evaluation process will be repeated by the VDOT P3 Office. It is important to note that BAFOs are not mandatory and may not be useful or appropriate for a given project. If BAFO is to be used, it will be specifically stated in the RFP.

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A P P E N D I X H Guidance for the PPTA Audit Requirements

GENERAL AUDIT SCOPE

  1. Audit of the traffic and cost estimates provided by the the preferred Proposer in its Proposal to the Agency;
  2. Identification and quantitative assessment of anticipated public costs and potential liabilities; and
  3. Qualitative assessment of the cost and revenue projections relative to other, similar projects and assessment of the potential for increased costs and liabilities to the P3 Office or the Agency.

The level of audit shall be specific to the scope and type of agreement, whether Interim or Comprehensive Agreement.

AUDIT TIMING The audit will be conducted prior to the execution of an Interim or Comprehensive Agreement by the VDOT P3 Office. The audit for an Interim Agreement may be limited in scope due to the preliminary and undeveloped nature of the contractual documents as well as limited availability of the project cost and traffic data.

AUDIT PAYMENT The VDOT P3 Office will engage the consultant, commission and pay for the audit. The Preferred Proposer will reimburse the VDOT P3 Office for the cost of the audit. The payment due date will be as determined by the VDOT P3 Office, but in no event later than financial close.

AUDITOR SELECTION The VDOT P3 Office will select a consultant to conduct the required audit and determine their independence utilizing its reasonable good faith judgment, as well as the following criteria:

  1. In regards to auditing the cost estimates and traffic data, the consultant will have been determined not to have any actual, potential or perceived conflict of interest;
  2. In regards to auditing documents to address the public cost and potential liabilities, the proposed independent consultant will not have had any responsibilities associated with the development of contractual documents or allocation of the risk as defined by those documents on behalf of either the P3 Office or the Preferred Proposer; and
  3. The consultant shall not have otherwise performed services or have other relationships with either the VDOT P3 Office or the Preferred Proposer (or the Preferred Proposer’s affiliates) that, in the VDOT P3 Office’s judgment, may affect the objectivity of the consultant.

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A P P E N D I X I

Summary of Changes to PPTA Legislation

Date Bill Approved by Summary Governor

SB 856 March 1995 – Rewrote the Qualifying Transportation Facilities Act of 1994 which permitted privatization of transportation facilities and granted the State Chapter Corporation Commission (SCC) certificate of authority and rate of 647, approval function Virginia – Eliminated the regulatory role of the SCC, expanded the definition of Acts of transportation facilities to include parking and port facilities, deleted the provision that no tolls or user fees may be imposed by an operator Assembly on an existing road without consent of the affected locality, and (1995 clarified that the provisions of the Virginia Public Procurement Act session) (VPPA) did not apply to the Transportation Act – Provides for timely acquisition of needed transportation facilities by enabling Private Entities to acquire, construct, improve, maintain and/or operate transportation facilities upon authorization of a Responsible Public Entity (RPE) and to arrange financing for the acquisition, construction, and improvement of toll roads, bridges, tunnels, airports, and mass transit and port facilities – Requires approval of “privatization” by public entities that have responsibility for the applicable transportation projects and an agreement between the private operator and the applicable public entity to ensure that the private transportation facility is properly constructed and maintained. – Authorized governmental bodies to take advantage of new federal assistance for innovative financing projects by facilitating the pooling and funding mechanisms of the Intermodal Surface Transportation Efficiency Act of 1991 – Provides method to return private transportation facility to public use upon default – Provides that the private transportation facility becomes dedicated to public use within 10 years after the financing for the facility has been retired – Permits a governmental entity to convey public property to the Private Entity permitting privatization of existing facilities – Does not allow tolls on existing interstate highway and requires that user fees could be imposed on other existing highways only if they are reconstructed to provide for increased capacity – Privatized transportation facilities will be governed by the terms of individual comprehensive agreements negotiated between the applicable RPE and the Private Entity for each such transportation facility HB 2717 March 2001 – Repealed the prohibition on considering “rail mass transit facilities owned by an interstate compact agency” to be transportation facilities Chapter for purpose of the Act 286,

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  1. an RPE may enter into a comprehensive agreement in accordance with procedures that are consistent with procurement through “competitive sealed bidding,” and
  2. an RPE may enter into a comprehensive agreement in accordance with procedures that are consistent with procurement of “other than professional services” though competitive negotiation – If a state agency is the RPE, the approval of the Secretary of Transportation is required before the comprehensive agreement is signed. – Defined “asset management” and “maintenance” as used in the PPTA.

SB 1229 March 2003 – Eliminated proposal application or submission fees for solicited transportation projects under the PPTA Chapter 289, Virginia Acts of Assembly (2003 session) April 2003 – Amended PPTA and the Public-Private Education Facilities and HB 1545 Infrastructure Act of 2002 (PPEA) to enable public access to procurement records once a comprehensive agreement has been made Chapter 968, Virginia

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CO MMO NW EALTH O F V IR G I N IA – Procurement records are not to be interpreted to include proprietary, Acts of Assembly (2003 session) commercial or financial information, balance sheets, financial statements, or trade secrets that may be provided by the Private Entity as evidence of it qualifications March 2005 – Authorized the establishment of an interim agreement to provide for SB 1108 partial planning and development activities while other aspects of a project are being negotiated – Authorized a Private Entity to request approval of multiple RPEs in Chapter 562, Virginia Acts of Assembly (2005 session) proposed projects involving multimodal transportation facilities – Authorized RPEs to enter into comprehensive agreements with multiple Private Entities – Requires the RPE to protect confidential information submitted by a Private Entity – Adds factors that an RPE may consider when selecting proposals – Identical to HB 2666 HB 2666 March 2005 – Authorized the establishment of an interim agreement to provide for partial planning and development activities while other aspects of a project are being negotiated and analyzed – Authorized a Private Entity to request approval of multiple RPEs – Authorized RPEs to enter into comprehensive agreements with Chapter 562, Virginia Acts of Assembly (2005 session) multiple Private Entities – Requires the RPE to protect confidential information submitted by a Private Entity – Adds factors that an RPE may consider when selecting proposals – Identical to SB 1108 March 2006 – During periods when the financial interest or bargaining position of the SB 5011 public or Private Entity could be adversely affected memorandum, staff evaluations, or other records are excluded from public disclosure – An independent review panel may meet in closed session to review Chapter 001, Virginia Acts of Assembly (2006 session) confidential information – All procurement records of an interim or comprehensive agreement entered into by an RPE become public upon completion of all bargaining of the agreement under the PPTA or PPEA – Allowed procurement records under PPTA to be withheld, even after a comprehensive agreement has been signed, if the process of bargaining of other interim agreements related to the qualifying transportation facility or all phases or aspects of the comprehensive agreement are not complete – Provisions expired on July 1, 2007 SB 666 April 2006 – Authorized “concessions” agreements under the PPTA – Defined “concession” and described the rights and requirements of the Private Entity as relates to the impacted jurisdiction’s comprehensive plan – Defined how concessions are to be taxed, gave direction on how Chapter 922, Virginia Acts of Assembly concession payments are to be fiscally administered and provided guidance on allocations by the Commonwealth Transportation Board

(CTB)

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CO MMO NW EALTH O F V IR G I N IA – Revised definition of “transportation facility” to state that a commercial (2006 session) or retail use or enterprise not essential to transportation of persons or gods shall not be a “transportation facility” May 2006 – Revised FOIA exemption for records submitted by a Private Entity to SB 76 an RPE under the PPTA and PPEA and formalized the earmarking process or the protection of trade secrets, financial records, and other records submitted by a Private Entity, by requiring a written request for an exclusion from disclosure by the Private Entity and a written determination by the RPE that such records will be protected from disclosure – Requires a public entity to post all accepted conceptual proposals – Requires RPEs that are state agencies, departments, and institutions Chapter 936, Virginia Acts of Assembly (2006 session) to post to post a summary of the proposals and the location where copies of the proposals are available for public inspection on the Department of General Service’s web-based electronic procurement program (eVA) – Requires RPEs that are local public bodies to post a summary of the proposals and the location where copies of the proposals are available for public inspection on the RPE’s website or by publication in a newspaper of general circulation in the area where the contract is to be performed – At least one copy of the proposal shall be made available for public inspection – Provides that nothing shall be construed to prohibit the posting of the conceptual proposals by additional means deemed appropriate by the RPE so as to provide maximum notice to the public of the opportunity to inspect the proposals – Requires the RPE to provide an opportunity for public comment 30 days before the execution of an interim or comprehensive agreement – Provides that once the process of bargaining of all phases or aspects of an interim or comprehensive agreement is complete, but before the agreement is entered into, an RPE shall post the proposed agreement – After an interim or comprehensive agreement has been executed, all procurement records, excluding trade secrets, financial information, and cost estimates, shall be available to the public upon request SB 1002 March 2007 – Removed the sunset clause of SB 5011 so the provisions would not expire – Allows memoranda, staff evaluation, or other records prepared by the Chapter 374, Virginia Acts of Assembly (2007 session) RPE, its staff, outside advisors, or consultants exclusively for the evaluation and negotiation of proposals filed under the PPTA and PPEA to be withheld from public disclosure if such records would adversely affect the financial interest or bargaining position of the public entity – Allows for closed meetings of the Independent Review Panel to discuss confidential information HB 627 March 2008 – Requires proposals presented pursuant to the PPTA with an estimated construction of over $50 million be subject to an independent audit of

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CO MMO NW EALTH O F V IR G I N IA any and all traffic and cost estimates associated with the proposal.

The RPE must require the Private Entity to pay the costs for the audit – The Private Entity must provide a full accounting of all public costs and Chapter 296, Virginia Acts of Assembly (2008 session) potential liabilities and such information must be disclosed prior to entering into any interim agreement. – The independent audit must be conducted by an independent consultant selected by the RPE – Provisions apply to solicited and unsolicited proposals – Requires projects undertaken pursuant to the PPTA to be part of the CTB’s six year improvement program – Requires the RPE to conduct a traditional public hearing prior to executing agreement – Requires the RPE to give priority to proposals that provide for equity investment in a toll project by the Private Entity or the agreement by the Private Entity to purchase certain percentage of bonds to be issued in connection with a toll project HB 1516 March 2008 – Identical to SB 754 – Prohibits CTB or a Private Entity from imposing tolls or user fees under the PPTA on all or part of I-81 without prior approval of the General Assembly Chapter 602, Virginia Acts of Assembly (2008 session) April 2008 – Identical to HB 1516 – Prohibits CTB or a Private Entity from imposing tolls or user fees SB 754 under the PPTA on all or part of I-81 without prior approval of the General Assembly Chapter 602, Virginia Acts of Assembly (2008 session) April 2010 – Neither the Governor, his political action committee, nor any pertinent SB 506 Secretaries shall knowingly solicit or accept a contribution, gift, or other item with a value greater than $50 from any bidder, Offerors, or Private Entity who has submitted a bid or proposal pursuant to the VPPA, the PPTA, or the PPEA during the bidding period – Restrictions only apply if the stated or expected value of the contract is Chapter 732, Virginia Acts of Assembly (2010 session) $5 million or more and do not apply to contracts awarded as the result of competitive sealed bidding – No bidder, offeror, or Private Entity who has submitted a bid or proposal under such acts shall offer or promise to make a gift to the

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CO MMO NW EALTH O F V IR G I N IA Governor, his political action committee, or any of his pertinent Secretaries – Any violation shall be a civil penalty of $500 or up to two times the amount of the contribution or gift HB 1658 March 2011 – Provides that any RPE that is a state agency receiving a detailed proposal from a Private Entity for a qualifying transportation facility that is a port facility shall provide notice to the Public-Private Partnership Advisory Commission Chapter 589, Virginia Acts of Assembly (2011 session) March 2011 – Requires all state authorities, agencies, institutions, departments, and HB 1592 other units of state government to put requests for proposals and invitations to bid on the Department of General Services’ website – Encourages, but does not require, local public bodies to do the same Chapter 332, Virginia Acts of Assembly (2011 session) March 2011 – Clarifies that a person must knowingly violate the prohibition against HB 2448 making or soliciting certain political contributions during the procurement process to the Governor, his political action committee, or the Governor’s Secretaries in order to be subject to the civil penalty – Requires that the party receiving a prohibited contribution must return Chapter 624, Virginia Acts of Assembly (2011 session) it or, if the contributor cannot be identified, donate it to charity – In order to trigger the prohibition against political contributions, the bid or proposal must be submitted to an executive branch agency that is directly responsible to the Governor March 2013 – Requires public entities to post a notice, when they receive an SB 977 Unsolicited Proposal under the PPTA, and allow a 120-day submission period for competing proposals. – Requires the notice to include information on the proposal and the Chapter 622, Virginia Acts of Assembly (2013 session) public comment opportunities. – Requires that after negotiations are complete and a decision to award is made, that the public entity post the major business points of the agreement and outline how the public can submit comments. – This bill is identical to HB 1692 HB 2276 April 2013 – Prevents the Commonwealth and the Virginia Port Authority from accepting any unsolicited proposal under the Public-Private

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Chapter Transportation Act regarding the ownership or operation of any 762, seaport or port facility.

Virginia – This bill is identical to SB 1305 Acts of Assembly (2013 session)

HB 1886 2015 – Establishes the requirements for a finding of public interest and requires such a finding prior to an initiation of procurement.

Chapter – Establishes the Transportation Public-Private Partnership Advisory 612, Committee to determine by a majority vote whether a VDOT or Virginia Department of Rail and Public Transportation project meets the finding Acts of of public interest and to report such determination to the General Assembly. Assembly – Certification of the finding prior to the execution of a comprehensive (2015 agreement and requires the public-private partnership guidelines to session) incorporate the finding. – Requires VDOT to establish (i) a process for identifying high-risk projects and (ii) procurement processes and guidelines for such projects to ensure that the public interest is protected.

HB 2017 – Changes to the Transportation Public-Private Partnership Advisory 2244/SB Committee to the Transportation Public-Private Partnership Steering 1322 Committee and provides that a Deputy Secretary of Transportation serves as chairperson.

Chapter – Responsible public entity may grant approval for the 539, development/operation of a transportation facility by private entity if that entity can develop/operate the transportation facility for less cost Virginia that VDOT / DRPT. Acts of – Requires the CEO of VDOT / DRPT to certify in writing to the Assembly Governor and the General Assembly that there has been no material (2017 change since the finding of public interest and that the public session) contribution requested by the Private Entity does not exceed the maximum public contribution. – Clarifies that the Finding of Public Interest by the Steering Committee shall be made after receipt of responses to the request for qualifications and prior to the issuance of the first draft request for proposals. – Requires VDOT / DRPT to ensure competition through the procurement process and develop a public sector analysis of the cost for the VDOT / DRPT to develop a public sector analysis of the cost to VDOT / DRPT to develop/operate the transportation facility. – VDOT / DRPT and the Steering Committee to review the public sector analysis prior to the initiation of any procurement.

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A P P E N D I X J

PPTA STATUTORY REQUIREMENTS & TIME CONSTRAINTS FOR VDOT

No. Requirement Relevant Statute(s) Time Constraint Manual & Guidelines References

1 Public Sector Analysis Va. Code §33.2- Must precede the first See Section 2.2.2.1 Public Sector and Competition 1803.1:1 Steering Committee Analysis and Competition, Section 3.2 meeting Public Sector Analysis and Competition (Continued); Section 4.2.5 Public Sector Analysis and Competition; Short-listing of Qualified RFQ Proposers; Section 4.5 Public Sector Analysis and Competition (Final)

2 Finding of public interest Va. Code §33.2- Must precede issuance of See Section 3.4 Finding of Public (“FOPI”) by CEO & 1803(B)(2) RFP Interest concurrence of Secretary

Va. Code §33.2- Must also precede Voting 1803.1 Meeting of the Steering Committee

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3 Immaterial changes to Va. Code §33.2- Timing not specified but See Section 3.4 Finding of Public FOPI presented to CTB 1803(D) logically should precede Interest execution of Comprehensive Agreement

4 Written determination by Va. Code §33.2- Timing not specified but See Section 3.4 Finding of Public CEO to use the 1819(2) logically should precede Interest competitive negotiation issuance of draft RFP process

5 First Steering Committee Va. Code §33.2- Must precede the initiation See Section 3.5 Report to PPTA meeting to concur with 1803.2(B) of any procurement Steering Committee the Public Sector Analysis and Competition (“Concurrence Meeting”)

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6 Post SOQs (for Solicited Va. Code §33.2- Timing not clear for For Solicited Projects, see Section 4.2.3 Projects) and Conceptual 1820(A) Solicited Proposals but Qualification of Proposers Proposals (for Unsolicited would likely be 10 days Proposals) to DGS from evaluation of For Unsolicited Proposals, see Section website responses to RFQ 4.13 Procurement for Unsolicited Proposals Within 10 working days after acceptance of Unsolicited Proposal.

7 Second Steering Va. Code §33.2- After responses to RFQ are See Section 4.2.7 Presentation to the Committee meeting to 1803.2(C) received but before draft CTB and to the PPTA Steering vote on whether public RFP is issued Committee interest is served and whether to proceed with procurement (“Voting Meeting”)

8 Steering Committee Va. Code §33.2- Must precede issuance of See Section 4.2.7 Presentation to the meeting to determine 1803(B)(1) RFP. Considered the same CTB and to the PPTA Steering “best interest of public” as the Voting Meeting. An Committee affirmative vote at the Voting Meeting (described in No. 7 above) is considered a “best interest” determination.

9 Post draft Va. Code §33.2- 30 days prior to issuance of See Section 4.3.1 Draft RFP Comprehensive 1820(B) Final RFP Agreement for public comment

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10 Post major business Va. Code §33.2- Once decision to award has See Section 4.11 Contract Finalization terms on DGS website, 1820(C) been made and Award outline how public can submit comments, present major business points to CTB

11 CEO written certification Va. Code §33.2- Must precede execution of See Section 4.9 Certification of Finding to Governor and General 1803(D) the Comprehensive of Public Interest Assembly that FOPI still Agreement valid

12 VDOT / DRPT approval Va. Code §33.2- Timing is not specified but See Section 4.6 Basis for Award & of a qualifying 1803(C) logically should precede Selection of Preferred Proposer transportation facility contract finalization and upon determination that is award in “best interest of public”

13 Audit of proposal’s traffic Va. Code §33.2- Timing not specified but See Section 4.8 PPTA Audit and cost estimates 1803(F) logically should precede Requirement execution of Comprehensive Agreement

14 Third Steering Committee Va. Code §1803.2(F) Within 60 days of execution See Section 4.12 Report to PPTA meeting (“Agreement of a Comprehensive Steering Committee Briefing Meeting”) Agreement

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A P P E N D I X K

CONFIDENTIALITY AND SECURITY OF INFORMATION All Proposals submitted by Private Entities to the VDOT / DRPT pursuant to the PPTA become the property of the Commonwealth and are subject to disclosure pursuant to the Virginia Freedom of Information Act (Va. Code §§ 2.2-3700 et seq.) (VFOIA).

Private Entities submitting Unsolicited Proposals or responding to solicitation requests issued by VDOT /DRPT are advised to familiarize themselves with the VFOIA provisions to ensure that they are taking the necessary steps to protect documents identified as confidential or proprietary from disclosure pursuant to the VFOIA.

VDOT / DRPT, the Office of the Attorney General, and other state, local and federal agencies, as appropriate, will determine whether the materials requested by the Private Entities are exempt from disclosure under applicable law and, if appropriate, the scope of such protection. In the event that the agency elects to disclose the requested materials, the agency will provide the Proposer notice of its intent to disclose.

In no event shall the Commonwealth, the Secretary of Transportation, or VDOT / DRPT be liable to a Proposer for the disclosure of all or a portion of a Proposal submitted to the VDOT P3 Office pursuant to the PPTA and guidelines included in this Manual and Guidelines.

To assert that any material submitted by a Private Entity should be deemed confidential and proprietary information, a Private Entity must make a written request to the P3 Office:

  1. Invoking the claimed VFIOA exclusion upon submission of the data or other materials for which protection from disclosure is sought;
  2. Identifying with specificity the data or other materials for which protection is sought; and;
  3. Stating the reasons why protection is necessary.

Failure to take such precautions prior to the submission of a Proposal or other such documentation may subject all information to disclosure under the VFOIA.

Va. Code §§ 2.2-3705.6 and 33.2-1820 outline the application of the VFOIA to the PPTA process: Once a Comprehensive Agreement has been executed and the process of negotiating all phases or aspects of the Comprehensive Agreement is complete, VDOT / DRPT will make procurement records available in accordance VFIOA. However, trade secrets and financial information of the Private Entity may be excluded from the disclosed procurement record if such exception is properly invoked by the Private Entity at the time the relevant records are delivered to VDOT / DRPT.

Where interpretation of these statutes is required, the policy goals of transparency and accountability in this Manual and Guidelines shall prevail.

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Pledge of Confidentiality

Each member of VDOT / DRPT that is associated with developing, reviewing or selecting submitted project Proposals has access to proprietary and confidential information. Any misuse by employees or representatives of the agency of such information or other materials, information and data provided to the agency by a Proposer is strictly prohibited.

The VDOT P3 Office will institute proper safeguards concerning Proposal security for each P3 project, including where materials will be stored, who can have access to them and under what circumstances.

Anyone assisting in the evaluation of the Proposals will be required to execute confidentiality/non-disclosure that provide for the confidential treatment of evaluation and procurement materials. These agreements may be executed at the commencement of procurement as well as during the Proposal evaluation period.

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Virginia Airport Access Program GuideDoc ID: Airport

Original: 5,286 words
Condensed: 4,416 words
Reduction: 16.5%

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Airport Access Program Guide

Administered by the Local Assistance Division Virginia Department of Transportation

© 2014, Commonwealth of Virginia

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For additional information, contact

VDOT Manager

(Residency Administrator or other local VDOT designee) Virginia Department of Transportation

or

Local Assistance Division Virginia Department of Transportation

1401 East Broad Street

Richmond, Virginia 23219 (804) 786-2746

http://www.virginiadot.org/business/local-assistance.asp

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Table of Contents Page

I. PURPOSE ............................................................................................................................................. 1

II. DEFINITIONS ...................................................................................................................................... 1 A. Adequate Access .............................................................................................................................. 1 B. Project Cost ...................................................................................................................................... 1

III. TIME FRAME FOR APPLICATION PROCESS ............................................................................ 2

IV. ROLES AND RESPONSIBILITIES .................................................................................................. 2 C. The Local Government .................................................................................................................... 3 B. The VDOT Manager ........................................................................................................................ 4 C. The VDOT District Administrator ................................................................................................... 5 D. The Director of Local Assistance Division ...................................................................................... 5

E. The Virginia Department of Aviation .............................................................................................. 5 F. The Commonwealth Transportation Board...................................................................................... 5 V. PROJECT IMPLEMENTATION ...................................................................................................... 6 A. The State Environmental Review Process (SERP) .......................................................................... 6 B. Compliance with Federal and State Laws ........................................................................................ 7

C. Locally Administered Projects ......................................................................................................... 7 D. VDOT-Administered Projects ......................................................................................................... 9 E. Airport Access Program Flowchart................................................................................................ 11

VI. LIMITATIONS .................................................................................................................................. 12

VII. ACCEPTANCE INTO SYSTEM .................................................................................................... 13

List of Appendices Statutory Authority ........................................................................................................ Appendix A

Commonwealth Transportation Board Policy (Revised) ............................................... Appendix B Sample Locality Resolution ........................................................................................... Appendix C Certification Form for State Funded Projects ................................................................ Appendix D

Airport Access Program Checklist................................................................................. Appendix E Cities and Towns Maintaining Own Streets .................................................................. Appendix F

Acronyms used in this Guide

CTB ..................................................................................... Commonwealth Transportation Board VDOT ............................................................................... Virginia Department of Transportation LAD ........................................................................................... VDOT Local Assistance Division

DOAV ......................................................................................... Virginia Department of Aviation SERP ..................................................................................... State Environmental Review Process AASHTO .......................... American Association of State Highway and Transportation Officials LPA ................................................................................................................ Local Public Agency

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I. PURPOSE The Airport Access Program is a state-funded incentive designed to assist Virginia localities in

improving access to an existing public-use airport or establishing adequate access to a new public-use airport licensed by the Virginia Department of Aviation (DOAV). Program funds are

allocated by the Commonwealth Transportation Board (CTB) in accordance with its policy of

March 14, 2012 (Appendix B). The funds may be used for financing the construction of or improvement to secondary or local system roads within all counties and cities, and certain towns

that are part of the Urban System, hereinafter referred to as eligible localities. Ancillary improvements, such as turn lanes or intersection modifications may also be warranted as part of

the access project, but are not to be considered as the primary objective of the project. The

program is administered by the Virginia Department of Transportation (VDOT), Local Assistance Division. This guide describes the requirements, limitations and procedures of

obtaining and utilizing Airport Access Program funds.

II. DEFINITIONS

J. Adequate Access “Adequate Access” means a publicly maintained road from the primary entrance of the airport

site to the nearest adequate publicly maintained road. Airport Access Program funds cannot be used to construct or improve roads on the airport property. Adequate access may require the

construction of a new roadway, or the improvement of an existing road, or a combination of the

two. When a new roadway is requested, funding is based on the most economical access to serve the site. Standards for a new or improved roadway will vary according to the type and amount of

traffic it is projected to accommodate. (Please refer to VDOT’s Road Design Manual for guidance on these standards.)

B. Project Cost

“Project Cost” means the allowable costs for which Airport Access Program funds may be

utilized. This includes the reasonable costs of preliminary engineering and surveying associated specifically with the project design and actual construction cost of a roadway built to VDOT

standards (or developed in accordance with American Association of State Highway and Transportation Officials (AASHTO) standards for locality maintained roads) for accommodating

October 2014 Airport Access Program Guide 1

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the projected traffic. Any pedestrian or bicycle facility deemed necessary for the project is eligible for funding. Excluded are items such as environmental studies and permits, obtaining

right of way and relocation of utilities. Optional roadway features other than those determined to be required to meet the appropriate design standards, such as roadway lighting or landscaping,

may be included in a project, provided the costs of these features are borne by others. Costs

incurred (e.g., paid items or those for which a contract or purchase order has been executed) prior to allocation by the CTB are not reimbursable.

III. TIME FRAME FOR APPLICATION PROCESS

Planning ahead for an access road project is critical to its success. While VDOT may not

necessarily need to be involved in some of the initial discussions about planning for a new or expanding airport, early involvement as soon as the road access plans are identified can help

avoid delays. An initial request from a local governing body for Airport Access Program funding typically takes four to six months to attain approval by the CTB. Meeting the

contingencies of the CTB allocation approval often requires another two or more months. Steps

in preparing and approving the local-state agreement, conducting environmental and historical reviews, advertising for bids, awarding a contract, and constructing the road, and each entails

variable periods of time. Initiating the SERP, if applicable, and coordinating with regulatory agencies may take at least 60 days; however, the time necessary to complete environmental

studies that may be required by federal and state laws and obtaining necessary permits can be

varied and extensive depending on the outcome of initial review.

IV. ROLES AND RESPONSIBILITIES This section outlines the necessary roles and responsibilities of each party to develop a proposed

access road project from concept to completion. A flowchart of the process is in Section V. E. of this guide. Appendix E is a checklist of the necessary steps in developing, executing, and

completing an Airport Access Program project.

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A. The Local Government The local government is responsible for coordinating the planning of the access road project with

DOAV, the airport sponsor, if applicable, and VDOT. A local government representative interacts with the VDOT Manager, as defined in Section IV. B., through the life of the project.

The following information, submitted by the locality to the VDOT Manager, is necessary for advancing the project through the required steps to approval. It is recommended that a copy of

this information is forwarded to the DOAV if the locality has not already coordinated with the

DOAV.

 Airport Facility Information

o Virginia Air Transportation System Plan service role o Brief description of airport facilities/services/number of jobs

o Number of takeoffs/landings (airport operations) (most recent year) o Number of based aircraft

o Airport property size: ___ acres

o Plan/plat of airport property, existing facilities and proposed improvements as reflected on current, approved airport layout plan

o Runway length: ___ feet; Runway extension (if applicable): ___ feet  Road Project Information

o Termini: From and To

o Length: _.__ mile(s) o Pavement Width: __ feet

o Right of Way Width: __ feet o Estimated Project Cost: $

o Proposed Airport Access Program Allocation: $

o Current Traffic Count and Year: vehicles per day o Future Traffic Count and Year: vehicles per day

 Facility and Road Project Map

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The locality may officially request an Airport Access Program allocation through a resolution of its governing body. Appendix C contains sample resolution language. A certified copy of the

approved resolution is provided to the VDOT Manager.

In addition, the identification of the entity (the locality or VDOT) responsible for project

administration should be determined as early as possible in the process in order for the responsible party to coordinate project development.

The approved CTB allocation of airport access funds typically contains contingencies, for which

the locality is responsible for satisfying. These requirements generally include the execution of

an agreement with VDOT; right of way acquisition and utility relocation at no cost to the program; satisfaction of applicable environmental commitments; and, funding ineligible costs

associated with the project.

If a project is estimated to cost more than $500,000, the State Environmental Review Process

(SERP) must be completed prior to advertisement or land disturbance activities in order to satisfy the requirements of §10.1-1188 of the Code of Virginia. Additionally, the local government is

responsible for compliance with federal and state laws, as well as obtaining all necessary environmental permits for the project. Environmental requirements, including SERP, are

described in greater detail in Section V, Project Implementation, of this guide.

B. The VDOT Manager

The VDOT Manager, as referenced in this guide, is the department employee responsible for administration of the Airport Access Program for that locality. This person is usually the

Residency Administrator, but may be a designee of the District Administrator. The VDOT Manager supports the locality in reviewing the local governing body’s resolution, sketches and

cost estimates for requested road improvements, in initiating SERP (if required), and in

compiling the information necessary for review by other VDOT offices and other state agencies.

The VDOT Manager will review the complete assembly of information, as referenced in Section

IV. A., and provide a recommendation to the District Administrator.

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C. The VDOT District Administrator Upon review of the information package, the District Administrator forwards the package with a

recommendation to the Director of the Local Assistance Division.

D. The Director of Local Assistance Division

The Local Assistance Division Director coordinates review of the application between the appropriate VDOT offices and DOAV. After all prerequisites have been met for a viable project,

the Local Assistance Division Director may recommend approval to the CTB.

E. The Virginia Department of Aviation

The Virginia Department of Aviation reviews the airport facility information and access road project. A recommendation is provided by the Director of the DOAV to the Director of Local

Assistance Division indicating whether the facility qualifies for, or the proposed project constitutes an appropriate use of, Airport Access Program funds.

F. The Commonwealth Transportation Board The CTB, upon consideration of the project information, may allocate funds for the access

project with certain contingencies, which must be satisfied by the locality. This allocation is for the exclusive purpose of financing eligible costs incurred in constructing the access project. The

date of the CTB allocation is the date on which the CTB approves the project and funding

amount by adopted resolution.

The CTB typically meets the third Wednesday of each month. All project information must be received by the VDOT Manager with sufficient time for review. The complete assembly of

information and documentation for the project request, with the recommendation of the District Administrator should be submitted to the Local Assistance Division no less than thirty (30) days

prior to the CTB meeting.

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V. PROJECT IMPLEMENTATION W. The State Environmental Review Process (SERP)

Created pursuant to §10.1-1188(b) of the Code of Virginia, a Memorandum of Agreement has been executed by the Secretary of Natural Resources and the Secretary of Transportation. It

requires that the state natural and historic resource agencies be provided an opportunity to

comment on state funded road projects, estimated to cost more than $500,000, at the earliest stage of development. SERP ensures that state resource agency views and interests are

considered in the project development process from concept through construction.

SERP, conducted by VDOT’s Environmental Division, may take at least 60 days to coordinate

with the several regulatory agencies for preliminary comment. The time necessary for implementing SERP and addressing any environmental commitments or regulatory clearances

required by law must be anticipated in the project’s development schedule, possibly prior to the CTB’s approval of, and allocation to, an Airport Access Program project. For this reason, the

locality and VDOT Manager must work together in determining the viability of the Airport

Access Program project with respect to the development schedule proposed for the project. The VDOT Manager may initiate SERP once the locality provides the location information and

requests SERP initiation. Other funding With all projects, irrespective of where arrangements must be made for this project administration responsibilities lie, review if it is conducted prior to CTB the locality is solely responsible for obtaining any necessary federal and state approval of the project and authorization permits, as well as complying with other of the Airport Access funds. The locality applicable federal and state environmental laws. is notified of comments resulting from SERP and informed of any environmental commitments or regulatory clearances necessary.

For projects to be administered by a locality, details regarding SERP are in Chapter 15,

Environmental Requirements, Section 3, of the Locally Administered Projects (LAP) Manual. In addition, additional information regarding environmental requirements for state-funded projects

can be found at this VDOT website: http://www.virginiadot.org/business/environmental_requirements_for_state_funded_projects.asp

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B. Compliance with Federal and State Laws In all cases, the locality is responsible for obtaining water quality and any other applicable

permits, as well as compliance to all federal and state regulations and laws. Compliance is documented on the Certification Form for State Funded Projects (Appendix D).

C. Locally Administered Projects 1. Projects to be administered by the locality are subject to the same requirements as

other state funded, locally administered projects, as described in the LAP Manual. It is recommended the locality representatives become familiar with the Manual,

particularly Chapter 5; State Funded and Special Program Projects. The manual is

available on the VDOT Local Assistance Division website at: http://www.virginiadot.org/business/locally_administered_projects_manual.asp

  1. At the point when funding for a project is approved by the CTB, the project is

deemed viable. No additional action is required by the CTB prior to advertisement,

award or construction.

  1. The Local Assistance Division prepares a local-state agreement between VDOT and the locality. The agreement identifies the terms for a locality to administer the project

to include responsibilities of the locality and VDOT, funding sources, VDOT

oversight charges, reimbursement amounts, and general project estimates by phase.

The agreement must be fully executed prior to project advertisement. Furthermore, it

authorizes the locality to perform any work that can be reimbursed from VDOT funds and it requires that the locality adhere to the Virginia Public Procurement Act in the

administration of the project’s advertisement and award. VDOT strongly recommends its standard project administration agreement for state funded projects

be used for projects administered by a locality. If a custom agreement is used, then

such agreement is subject to review and concurrence by the Office of the Attorney General prior to its execution by a locality representative authorized to do so and the

Commissioner of Highways. The locality signatory for the agreement must provide evidence of their authority to execute the agreement. Any cost incurred or contract

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executed by a local governing body or its agent, before an agreement is fully executed, is the responsibility of the local governing body, unless otherwise agreed to

by the Director of Local Assistance.

  1. The locality provides the project scope information to the VDOT Manager for a

determination of SERP applicability based on the $500,000 threshold. Other funding arrangements must be made for this review if it is conducted prior to CTB approval of

the project and authorization of the Airport Access funds. The locality is responsible for obtaining any necessary state/federal permits as well as complying with other

applicable state/federal environmental laws.

  1. The locality representative completes the VDOT Certification Form for State Funded

Projects (Appendix D) as the locality moves through project development and provides this form to the VDOT Manager prior to project award. The certification

form provides a streamlined process with significantly less VDOT oversight and is

used to certify adherence to all applicable laws and regulations pertaining to locally administered state funded projects. VDOT may perform project audits to verify

compliance with this certification.

  1. The locality provides documentation of dedicated right of way for the project to the

VDOT Manager who, in turn, forwards the documentation to the District Right of Way Manager. The District forwards this information and its recommendation to

VDOT’s State Right of Way Director, who certifies that right of way and utility adjustments for the project have been obtained at no cost to the Airport Access

Program fund. The provision of unencumbered right of way by the locality includes completion of any extensive environmental studies and required mitigation of existing

environmental conditions.

  1. The expenditure of Airport Access funds for the project may be approved by VDOT

only after all contingencies of the CTB’s resolution have been met. A locally administered project must be authorized, with funding approved for expenditure,

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before VDOT reimburses a locality for eligible costs attributed to the construction of the project. Appropriate documentation of costs and billing information, such as

contractor’s payment application and verification of payment, must be provided by the locality.

  1. The VDOT Manager or designee monitors the construction of locally administered projects, notifies the Local Assistance Division when the construction is started and

completed, and provides recommendations to the Local Assistance Division regarding requests for reimbursement. Please note that each locally administered project will

have a Project Coordinator assigned for project development once the project is

approved and that person may be different from the VDOT Manager.

D. VDOT-Administered Projects 1. When funding for an Airport Access Program project is approved by the CTB, the

project is deemed viable. However, it is subject to the same applicable project

development requirements as other state funded projects administered by VDOT.

  1. The Local Assistance Division prepares a local-state agreement between VDOT and the locality. It identifies the specific responsibilities of the locality and VDOT,

funding sources, and general project estimates by phase. The agreement is subject to

review and concurrence by the Office of the Attorney General prior to its execution by a locality representative authorized to do so and the Commissioner of Highways.

The locality signatory for the agreement must provide evidence of their authority to execute the agreement.

  1. The locality provides the project scope information to the VDOT Manager for a

determination of SERP applicability based on the $500,000 threshold. Other funding

arrangements must be made for this review if it is conducted prior to CTB approval of the project and authorization of the Airport Access funds. The locality is responsible

for obtaining any necessary federal and state permits, as well as complying with other applicable federal and state environmental laws.

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  1. The locality provides documentation of dedicated right of way for the project to the

VDOT Manager who, in turn, forwards the documentation to the District Right of Way Manager. The District forwards this information and its recommendation to

VDOT’s State Right of Way Director, who certifies that right of way and utility

adjustments for the project have been obtained at no cost to the Airport Access Program fund. The provision of unencumbered right of way by the locality includes

completion of any extensive environmental studies and required mitigation of existing environmental conditions.

  1. The locality provides payment to the VDOT Manager for any required matching funds, ineligible project costs, or eligible project expenses in excess of the Airport

Access Program allocation, prior to the project being authorized for construction. A VDOT-administered project must have all required funding in place before the

project may be advertised or constructed.

  1. The expenditure of funds for the project may be approved by VDOT only after all

contingencies of the CTB’s resolution have been met.

  1. After a project is authorized, the VDOT Manager coordinates all aspects of the

construction of VDOT-administered projects. Please note that each VDOT-administered project will have a Project Manager assigned for project development

once the project is approved and that person may be different from the VDOT Manager.

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E. Airport Access Program Flowchart

Airport Access Program Flowchart

 Contacts VDOT Manager regarding proposed Airport Access Program request.  Officially requests an Airport Access Program allocation through a resolution of its Locality governing body.  Provides a certified copy of the approved resolution to the VDOT Manager.  Provides project information regarding the airport facility and the proposed access road project to VDOT Manager.  Assembles and reviews information on project request and forwards recommendation to VDOT Manager District Administrator (copy to Local Assistance Division)  Forwards information necessary for SERP, if appropriate.  Confirms project design meets standards and verifies project cost estimate.

VDOT District Administrator  Reviews project information.  Provides recommendation to Local Assistance Division.  Reviews project and airport facility information.

DOAV  Provides recommendation in use of the Airport Access Program funds.  Reviews project information and coordinates with DOAV.

VDOT LAD Director  Verifies compliance with Program.  Presents project request to the CTB with recommendations, as appropriate.

CTB  Reviews and approves of project allocation, if appropriate.  Formalizes conditions of allocation expenditure.

Locally Administered Project VDOT-Administered Project

 Works toward ensuring compliance with contingencies of CTB allocation and provides Locality appropriate documents, as necessary, to VDOT Manager. (Contingencies must be met prior to authorizing expenditure of funds.)  Forwards to locality determination of SERP and Preliminary Environmental Inventory VDOT Manager (PEI), if SERP applies.  Confirms compliance with contingencies of CTB allocation.  Provides oversight for project plan review.

VDOT LAD Director  Prepares project administration agreement, as appropriate.  Initiates authorization of funds for expenditure.  Provides oversight for locally administered project development and completion.  Coordinates VDOT-administered project work.

VDOT Manager  Reviews documentation of project costs as appropriate and makes recommendation in reimbursement.

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VI. LIMITATIONS A. Maximum Allocation

Subject to available funding, not more than $650,000 ($500,000 unmatched and $150,000 matched dollar for dollar) of the Economic Development, Airport, and Rail Access Fund may be

used in any fiscal year to provide access for any one individual airport. Local matching funds

shall be provided from funds other than those administered by the CTB.

B. Funds Not to be Anticipated It is the intent of the Airport Access Program that funds are requested as reasonably needed by

the locality, but that these funds are not anticipated from year to year. Unused eligibility from a

preceding year cannot be carried forward to an ensuing fiscal year.

C. Time Limits for Projects To ensure the most effective use of the limited funds available for the Airport Access Program,

allocations made for projects are expected to be committed by contract or under construction

within two years from the date of CTB approval. Allocations for projects that are not actively under way within two years of project approval by the CTB may be deallocated unless the

Director of Local Assistance grants an exception due to unusual circumstances. If an extension of time is needed, then at the end of 22 months following CTB approval, if the proposed road

improvements have not been initiated, then the locality shall submit a written explanation of the

status of the project and reason for delay. Nothing precludes the locality from reapplying for an allocation in the future.

D. Improvements to Existing Roads

Where an existing road constitutes a portion of the secondary system of state highways or is part of the road system of the locality in which it is located, Airport Access Program funds may be

used to improve the existing road only to the extent required to meet the needs of traffic

generated by the facility. Such improvement, may involve strengthening or widening to accommodate the additional, or type of, traffic generated by the airport facility. Additionally,

where access to a qualified airport site is via an existing road that can be determined inadequate for providing safe and efficient movement of the type of traffic generated by the airport facility

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or that the traffic conflicts with the surrounding road network to the extent that it poses a safety hazard to the general public, consideration may be given to funding additional improvements.

Such projects must be requested by resolution of the local governing body and are evaluated on case-by-case basis. The VDOT Regional Traffic Engineer is consulted to provide a

recommendation on such requests. However, intersection improvements, traffic signal

installation, or construction of turn lanes, as stand-alone projects, typically are not eligible for Airport Access Program funds.

E. Eligible Expenses

Airport Access Program funds may be utilized for the reasonable costs of preliminary

engineering and surveying associated specifically with the project design and actual construction cost of a road built to VDOT standards (or developed in accordance with AASHTO standards for

locality maintained roads) for accommodating the projected traffic. Excluded are items such as environmental studies and permits, obtaining right of way and relocation of utilities, and traffic

impact studies. Optional roadway features beyond those covered by the program may be

constructed as part of an access project, provided the cost of these features is borne by others.

Expenses incurred (e.g., paid items or those for which a contract or purchase order has been

executed) prior to the CTB allocation are not reimbursable.

VII. ACCEPTANCE INTO SYSTEM

New roads, upon completion, are open to public use and are to be accepted into the appropriate system for maintenance. If the airport intends to close or gate a road into the facility for security

or other reasons, the Airport Access Program is not an appropriate source of funding. For all counties, except Arlington and Henrico, and for towns not maintaining their own road systems,

these roads are added to the secondary system of state highways. For cities and towns receiving maintenance payments, and for the counties of Arlington and Henrico, these roads are to be

taken into the road system of the locality. The Secondary Street Acceptance Requirements

regulations do not apply to new roads constructed utilizing these funds.

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Appendix A

Statutory Authority

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Statutory Authority Code of Virginia

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Appendix B

Commonwealth Transportation Board Policy (Revised)

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Appendix C

Sample Locality Resolution

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At a regularly scheduled meeting of the [name of locality] [select (City/Town Council or County Board of Supervisors)] held on [month and day], 20[##], on a motion by [BOS or Council member name], seconded by [BOS or Council member name], the following resolution was adopted by a vote of [#] to [#]:

WHEREAS, the [name of locality] operates [insert full legal name of airport] located off of [name of road] ([Route #]) in the [City/Town/County] of [name of City/Town/County], Virginia; and * choose one from the next two paragraphs that applies ** WHEREAS, the airport has no access to a public street or highway and requires the construction of a new road to connect with [road name] (Route [###]); and

WHEREAS, the existing public road network does not provide for adequate access to the airport and it is deemed necessary that improvements be made to [road name] (Route [###]); and

WHEREAS, the [City/Town/County] of [name of City/Town/County] hereby guarantees that the necessary environmental analysis, mitigation, fee simple right of way and utility relocations or adjustments, if necessary, for this project, will be provided at no cost to the Economic Development, Airport and Rail Access Fund; and

WHEREAS, the [City/Town/County] of [name of City/Town/County] acknowledges that no land disturbance activities may occur within the limits of the proposed access project prior to appropriate notification from the Department of Transportation; and

WHEREAS, the [City/Town/County] of [name of City/Town/County] hereby guarantees that all ineligible project costs will be provided from sources other than those administered by the Virginia Department of Transportation.

NOW, THEREFORE, BE IT RESOLVED THAT: The [name of City/Town/County] [select (City/Town Council or County Board of Supervisors)] hereby requests that the Commonwealth Transportation Board provide Airport Access Program funding to provide an adequate road to this airport facility; and

BE IT FURTHER RESOLVED THAT: The [select City/Town Manager, or County Administrator] and/or his designee(s) be authorized to act on behalf of the [select City/Town Council or County Board of Supervisors] to execute any and all documents necessary to secure the funding sought through the Airport Access Program.

* use the following paragraph if project is for a new road * BE IT FURTHER RESOLVED THAT: The [name of locality] [select (City/Town Council or County Board of Supervisors)] hereby agrees that the new road so constructed will be added to and become a part of the [select either (City/Town of [locality name] road system) or (secondary system of state highways)].

(SEAL) A COPY TESTE

Chairperson/Mayor

October 2014 Airport Access Program Guide

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Appendix D

Certification Form for State Funded Projects

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Appendix E

Airport Access Program Checklist

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AIRPORT ACCESS PROGRAM

REQUEST AND PROJECT INFORMATION SUBMITTAL

CHECKLIST

 The Locality  Contacts the VDOT Manager with the proposed development plans  Requests funds by resolution of the local government  Provides appropriate project information  Complies with applicable state/federal environmental laws, regulations, etc.  Provides Project Certification form (for projects administered by locality)

 The VDOT Manager  Assembles project request information

 Forwards information necessary for SERP  Reviews project information  Recommends project design and provides project costs estimate

 The VDOT District Administrator  Reviews project information  Provides recommendation to Local Assistance Division

 The Director of the Virginia Department of Aviation  Reviews project and information pertaining to operation of the establishment  Provides recommendation in use of the Airport Access Fund

 The Local Assistance Division Director  Reviews project information  Assembles information and recommends proposed project to CTB for consideration.

 The Commonwealth Transportation Board  Reviews and approves the project allocation, if appropriate  Formalizes conditions of fund expenditure

 Virginia Department of Transportation  Makes determination of SERP applicability. Provides Preliminary Environmental Inventory (PEI), if SERP applies.  Verifies contingencies of allocations are met prior to expenditure  Provides oversight for project plan review and construction  Authorizes expenditures of Program funds

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Appendix F

Cities and Towns Maintaining Own Streets

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Cities and Towns Maintaining Own Streets under the Urban System

City Town Town Alexandria Abingdon Leesburg Bedford Altavista Luray Bristol Ashland Marion Buena Vista Berryville Narrows

Charlottesville Big Stone Gap Orange Chesapeake Blacksburg Pearisburg Colonial Heights Blackstone Pulaski Covington Bluefield Purcellville Danville Bridgewater Richlands Emporia Broadway Rocky Mount Fairfax Chase City Saltville Falls Church Chincoteague Smithfield Franklin Christiansburg South Boston Fredericksburg Clifton Forge South Hill Galax Colonial Beach Strasburg Hampton Culpeper Tazewell Harrisonburg Dumfries Vienna Hopewell Elkton Vinton Lexington Farmville Warrenton Lynchburg Front Royal Wise

Manassas Grottoes Woodstock Manassas Park Herndon Wytheville Martinsville Lebanon Newport News Norfolk Norton Petersburg Poquoson Portsmouth Radford Richmond Roanoke Salem Staunton Suffolk Virginia Beach

Waynesboro Williamsburg Winchester

October 2014 Airport Access Program Guide

Traffic Impact Analysis Administrative GuidelinesDoc ID: TIA-ADG

Original: 38,567 words
Condensed: 30,759 words
Reduction: 20.2%

Updated Administrative Guidelines for the Traffic Impact Analysis Regulations

24VAC30-155

August 2022

Office of Land Use Virginia Department of Transportation 1401 East Broad Street Richmond, Virginia 23219Administrative Guidelines August 2022

Preface

Text highlighted in blue identifies hyperlinks that allow the reader to:  “Jump” to the place in the document where the highlighted item is located; or  Go to Internet websites where additional information on the topic can be found.

In this edition, there have been updates made in guidance material, including a new signal justification process, and revised instructions on submission of material due to changes in VDOT organization.Administrative Guidelines August 2022

Table of Contents Page Background on the Regulations 1 REGULATIONS: 24VAC30-155-20. Authority 2 Definitions 5 REGULATIONS: 24VAC30-155-10. Definitions 5

Review of Comprehensive Plans and Plan Amendments 7 The Local Government Comprehensive Plan and Transportation Plan 7 Providing Transportation Planning Technical Assistance to Localities 7 Transportation Plan in the Comprehensive Plan 8 Localities to Submit Comprehensive Plan, Transportation Plan, and Plan Amendments to VDOT 9 Process Chart: VDOT Review of a Plans 10 The Locality’s Comprehensive Plan/Amendment Package Submittal 11 NOVA District Plan Review: Homeland Security Emergency Evacuations 11 NOVA District Plan Review: Minor Arterial (or Above) Impacts…………………...12 Small Area Plan Amendments to Comprehensive Plans 13 The Comprehensive Plan Review Process Rules 14 Written Report with VDOT’s Comments 15 Comprehensive Plan or Plan Amendment Package Checklist 16 REGULATIONS: 24VAC30-155-30. Comprehensive Plan and Plan Amendment 18 24VAC30-155-70. Departmental Analysis 20

Review of Rezoning Proposals 21 Zoning Basics 21 Conditional Zoning 22 Localities to Submit Certain Rezoning Proposals to VDOT for Review 23 Examples of Developments that Meet the 5,000 VPD Threshold 24 Exemptions to the Rezoning Submission Requirements 26 Rezoning Proposals Associated with Small Area Plans 27 Scope of Work Meeting 28 Flow Chart: Preparing a VDOT Traffic Impact Analysis 29 Checklists and Forms: Scope of Work Meeting & TIA Preparation 30 The Locality’s Rezoning Package Submittal 31 The Rezoning Package Review Process Rules 31 Flow Chart: The Rezoning Package Review Process 33 Written Report and Comments on the Rezoning Traffic Impact Analysis 34 Rezoning Package Checklists 35 REGULATIONS: 24VAC30-155-40. Rezoning 37 24VAC30-155-70. Departmental Analysis 39Administrative Guidelines August 2022 Page Traffic Impact Analysis 40 VDOT Regulations Involving Traffic Analysis 40 Submittal of a Local Traffic Impact Statement 41 Overview of the Requirements/Procedures for a VDOT Traffic Impact Analysis 42 Alternative Trip Generation Methodology for Mixed Use Development 43 Low Volume Road Submission 43 Rezoning Consistent with Locality’s Comprehensive Plan 44 Overview of the Required Elements of a VDOT Traffic Impact Analysis 45 REGULATIONS: 24VAC30-155-60.C. Required Elements of a Traffic Impact Analysis 46 Summary of the Methodology/Standard Assumptions for a VDOT Traffic Analysis 51 Crash History and Analysis 57 Traffic Analysis Software 57 REGULATIONS: 24VAC30-155-60. Traffic Impact Statement 59 VDOT Administration of the Regulations 66 VDOT Roles in Land Development 66 VDOT Organization 67 District Office Responsibilities 67 Central Office Technical Assistance 69 Fee Schedule 70 Overview of the Fees 70 REGULATIONS: 24VAC30-155-80. Fees 71 Summary Table: Traffic Impact Analysis Regulations Requirements 72 Reference Documents 73 REGULATIONS: Documents Incorporated by Reference (24VAC30-155) 73 LandTrack: VDOT’s Tracking System for Traffic Impact Analysis Regulation Submittals 74 LandTrack Data Base Management System for VDOT Staff 74 VDOT LandTrack Information Sheet 75 LandTrack on the VDOT Website for the General Public 77 Appendix 79 A. PRE-SCOPE OF WORK MEETING FORM: Information from the Applicant on the Project and Traffic Impact Analysis Base Assumptions*

B. SCOPE OF WORK MEETING CHECKLISTS AND FORMS

  1. Checklist: Required Elements of a VDOT Traffic Impact Analysis* Administrative Guidelines August 2022
  2. Checklist: Required Elements of a “Low Volume Road” VDOT Traffic Impact Analysis*
  3. Scope of Work Meeting Conclusions: Additions/Changes to the TIA Elements, Methodology, Assumptions - Signature Page

C. VDOT TIA STUDY EVALUATION CHECKLISTS

  1. Checklist: VDOT Evaluation of the Submitted Traffic Impact Analysis*
  2. Checklist: VDOT Evaluation of the Submitted Low Volume Road Traffic Impact Analysis *

D. SAMPLE TRANSMITTAL LETTERS TO A LOCALITY

  1. Rezoning Application
  2. Comprehensive Plan or Plan Amendment

E. CHANGES TO THE REGULATIONS EFFECTIVE DECEMBER 31, 2011

F. NOVA DISTRICT REVIEW ____________ * These forms and checklists are available on the VDOT Traffic Impact Analysis Regulations website in a MS Word editable format so answers can be typed on them.

Office of Land Use Administrative Guidelines August 2022

BACKGROUND ON THE REGULATIONS

Roads are a critical public resource and constitute a major investment of the public’s money. Traffic impacts caused by new development – a reduction in the traffic carrying capacity of the highways, more crashes and traffic congestion – can be very costly for state government and local governments, as well as the broader community.

As a result, over the years VDOT has become more and more involved in the local land development process assisting communities at their request in the review of the transportation portion of comprehensive plans, rezoning requests, site plans and subdivision plats.

In 2006, the General Assembly approved legislation (Chapter 527 of the 2006 Acts of Assembly) to enhance the coordination of land use and transportation planning. §15.2-2222.1 was added to state law to expand VDOT’s role in the land planning and development review process. It authorized VDOT to promulgate regulations to administer this program responsibility.

The Traffic Impact Analysis Regulations, 24 VAC 30-155, that were adopted

  • Specify the procedures for the locality’s submittal of the above documents to VDOT and for VDOT’s submittal of traffic impact related findings and recommendations to the locality for inclusion in their official public record.
  • Define what constitutes “substantially affect” transportation on state highways.
  • Establish deadlines for VDOT’s review responsibilities.
  • Set out a schedule of fees for VDOT’s review based on submission type and traffic.

The legislation does not affect local government authority to adopt plans and make decisions on proposed land uses. Instead, §15.2-2222.1 of the Code provides VDOT with the authority to analyze and provide comments to local governments on comprehensive plans and rezoning proposals that may have a significant impact on state-controlled highways.

The results from this analysis can then be used by localities in their planning and land use decision making process. VDOT’s findings are advisory in nature.

The Administrative Guidelines for the Traffic Impact Analysis Regulations, therefore, has been prepared to provide guidance to VDOT personnel, local government staff, land developers, and transportation consultants on the details of §15.2-2222.1 of the Code and the Traffic Impact Analysis Regulations for VDOT’s review of:

  • Comprehensive plans and comprehensive plan amendments,
  • Traffic impact studies for certain rezoning applications.

A chapter has been prepared on each of the above topics as well as on VDOT’s administrative responsibilities and review fees. The regulations that apply to the chapter topic are presented at the end of each chapter.

Finally, it is important to note that

1Administrative Guidelines August 2022

  • VDOT will continue to assist localities, at their request, to help evaluate any rezoning, site plan, or subdivision plat application that may not be required to be submitted under the requirements of §15.2-2222.1 of the Code, and

  • The Traffic Impact Analysis Regulations do not affect VDOT’s entrance permit authority established in the Land Use Permit Regulations 24VAC30-151 and the Access Management Regulations 24VAC30-73 – available at “Transportation and Land Use” on the VDOT website.

REGULATIONS

24VAC30-155-20. Authority.

Section 15.2-2222.1 of the Code of Virginia requires localities to submit comprehensive plans and amendments to comprehensive plans that will substantially affect transportation on state-controlled highways to VDOT in order for the agency to review and provide comments on the impact of the item submitted. This section also requires localities to submit traffic impact statements along with proposed rezonings that will substantially affect transportation on state-controlled highways to VDOT for comment by the agency. Chapter 527 of the 2006 Acts of Assembly directs VDOT to promulgate regulations for the implementation of these requirements.

2Administrative Guidelines August 2022

§ 15.2-2222.1. of the Code of Virginia Coordination of state and local transportation planning

A. 1. Prior to adoption of any comprehensive plan pursuant to § 15.2-2223, any part of a comprehensive plan pursuant to § 15.2-2228, or any amendment to any comprehensive plan as described in § 15.2-2229, the locality shall submit such plan or amendment to the Department of Transportation for review and comment if the plan or amendment will substantially affect transportation on state-controlled highways as defined by regulations promulgated by the Department. The Department's comments on the proposed plan or amendment shall relate to plans and capacities for construction of transportation facilities affected by the proposal. 2. If the submitting locality is located within Planning District 8, the Department of Transportation shall also determine the extent to which the proposed plan or amendment will increase traffic congestion or, to the extent feasible, reduce the mobility of citizens in the event of a homeland security emergency and shall include such information as part of its comments on the proposed plan or amendment. In making such determination, the Department shall specify by name and location any transportation facility within the scope of the review specified in subdivision 1 having a functional classification of minor arterial or higher for which an increase in traffic volume is expected to exceed the capacity of the facility as a result of the proposed plan or amendment. Such information shall be provided concurrently to the submitting locality and the Northern Virginia Transportation Authority.

Further, to the extent that such information is readily available, the Department shall also include in its comments an assessment of the measures and estimate of the costs necessary to mitigate or ameliorate the congestion or reduction in mobility attributable to the proposed plan or amendment.

  1. Within 30 days of receipt of such proposed plan or amendment, the Department may request, and the locality shall agree to, a meeting between the Department and the local planning commission or other agent to discuss the plan or amendment, which discussions shall continue as long as the participants may deem them useful. The Department shall make written comments within 90 days after receipt of the plan or amendment, or by such later deadline as may be agreed to by the parties in the discussions.

B. Upon submission to, or initiation by, a locality of a proposed rezoning under § 15.2-2286, 15.2-2297, 15.2-2298, or 15.2-2303, the locality shall submit the proposal to the Department of Transportation within 10 business days of receipt thereof if the proposal will substantially affect transportation on state-controlled highways. Such application shall include a traffic impact statement if required by local ordinance or pursuant to regulations promulgated by the Department. Within 45 days of its receipt of such traffic impact statement, the Department shall either (i) provide written comment on the proposed rezoning to the locality or (ii) schedule a meeting, to be held within 60 days of its receipt of the proposal, with the local planning commission or other agent and the rezoning applicant to discuss potential modifications to the proposal to address any concerns or deficiencies. The Department's comments on the proposed rezoning shall be based upon the comprehensive plan, regulations and guidelines of the Department, engineering and design considerations, any adopted regional or statewide plans, and short-term and long-term traffic impacts on and off site. If the locality is in Planning District 8, the Department's review shall specify by name and

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location any transportation facility within the scope of the review specified in subdivision A 1 having a functional classification of minor arterial or higher for which an increase in traffic volume is expected to exceed the capacity of the facility as a result of the proposed plan or amendment. The Department shall complete its initial review of the rezoning proposal within 45 days, and its final review within 120 days, after it receives the rezoning proposal from the locality. Notwithstanding the foregoing provisions of this subsection, such review by the Department shall be of a more limited nature and scope in cases of rezoning a property consistent with a local comprehensive plan that has already been reviewed by the Department as provided in this section.

C. If a locality has not received written comments within the timeframes specified in subsection B, the locality may assume that the Department has no comments.

D. The review requirements set forth in this section shall be supplemental to, and shall not affect, any requirement for review by the Department of Transportation or the locality under any other provision of law. Nothing in this section shall be deemed to prohibit any additional consultations concerning land development or transportation facilities that may occur between the Department and localities as a result of existing or future administrative practice or procedure, or by mutual agreement.

E. The Department shall impose fees and charges for the review of applications, plans and plats pursuant to subsections A and B, and such fees and charges shall not exceed $1,000 for each review. However, no fee shall be charged to a locality or other public agency.

Furthermore, no fee shall be charged by the Department to a citizens' organization or neighborhood association that proposes comprehensive plan amendments through its local planning commission or local governing body.

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DEFINITIONS

The Traffic Impact Analysis Regulations includes a section, 24VAC30-155-10, that provides definitions for the major terms that are used.

The 2011 amendments deleted definitions referring to terms used in the Secondary Street Acceptance Requirements 24VAC30-92 such as “connectivity index” and “network addition” and added new definitions for “Traffic impact statement”, “Local traffic impact statement”, “VDOT traffic impact statement”, and “Receipt.”

REGULATIONS

24VAC30-155-10. Definitions.

The following words and terms when used in this chapter shall have the following meanings unless the context clearly indicates otherwise:

"Floor area ratio" means the ratio of the total floor area of a building or buildings on a parcel to the size of the parcel where the building or buildings are located.

“Local traffic impact statement” means a traffic impact statement accepted or prepared by a locality pursuant to its land development approval process and whose requirements regarding content are set out in the locality’s ordinances or published policies, if such ordinances or policies have been reviewed and certified by VDOT as requiring acceptable standards of preparation and providing sufficient information to determine the current and future impacts of development proposals.

“Locality” means any local government, pursuant to § 15.2-2223 of the Code of Virginia, that must prepare and recommend a comprehensive plan for the physical development of the territory within its jurisdiction.

"Network addition" means a group of interconnected street segments and intersections shown in a plan of development that is connected to the state highway system and meets the requirements of the Secondary Street Acceptance Requirements (24VAC30-92).

“Pedestrian facility coverage” means the ratio of: (length of pedestrian facilities, such as sidewalks, foot paths, and multi-use trails, along both sides of a roadway) divided by (length of roadway multiplied by two).

“Receipt” means the date on which a proposal or request for a meeting is first in the possession of VDOT or a locality or an agent thereof, as applicable.

“Redevelopment site” means any existing use that generates traffic and is intended to be developed as a different or denser land use.

“Service level” means a measure of the quality, level or comfort of a service calculated using methodologies approved by VDOT.

"Small area plan" means a plan of development for multiple contiguous properties that guides land use, zoning, transportation, urban design, open space, and capital improvements at a high level of detail within an urban development area or for a transit-oriented development that is at least 1/2 square mile in size unless otherwise approved by VDOT due to proximity to existing moderate to high density developments. A small area plan shall include the following: (i) densities of at least four residential units per acre and at least a floor area ratio of 0.4 or some proportional combination thereof; (ii) mixed-use neighborhoods, including mixed housing types and integration of residential,

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office, and retail development; (iii) reduction of front and side yard building setbacks; and (iv) pedestrian-friendly road design and connectivity of road and pedestrian networks.

“State-controlled highway” means a highway in Virginia that is part of the interstate, primary, or secondary systems of state highways and that is maintained by the state under the direction and supervision of the Commonwealth Transportation Commissioner. Highways for which localities receive maintenance payments pursuant to §§ 33.2-366 and 33.2-319 of the Code of Virginia and highways maintained by VDOT in accordance with §§ 33.2-311, 33.2-312, 33.2-313 and 33.2-325 of the Code of Virginia are not considered state-controlled highways for the purposes of determining whether a specific land development proposal package must be submitted to meet the requirements of this regulation.

The Code sections cited above concern VDOT maintained highways serving state parks and state institutions (educational, correctional) within a jurisdiction that maintains its own local road system.

"Traffic impact statement" means the document prepared in accordance with best professional practice and standards that assesses the impact of a proposed development on the transportation system and recommends improvements to lessen or negate those impacts.

"Transit-oriented development" means an area of commercial and residential development at moderate to high densities within 1/2 mile of a station for heavy rail, light rail, commuter rail, or bus rapid transit transportation and includes the following: (i) densities of at least four residential units per acre and at least a floor area ratio of 0.4 or some proportional combination thereof; (ii) mixed-use neighborhoods, including mixed housing types and integration of residential, office, and retail development; (iii) reduction of front and side yard building setbacks; and (iv) pedestrian-friendly road design and connectivity of road and pedestrian networks.

"Transportation demand management" means a combination of measures that reduce vehicle trip generation and improve transportation system efficiency by altering demand, including but not limited to the following: expanded transit service, employer-provided transit benefits, bicycle and pedestrian investments, ridesharing, staggered work hours, telecommuting, and parking management including parking pricing.

"Urban development area" means an area designated on a local comprehensive plan pursuant to § 15.2-2223.1 of the Code of Virginia that includes the following: (i) densities of at least four residential units per acre and at least a floor area ratio of 0.4 or some proportional combination thereof; (ii) mixed-use neighborhoods, including mixed housing types and integration of residential, office, and retail development; (iii) reduction of front and side yard building setbacks; and (iv) pedestrian-friendly road design and connectivity of road and pedestrian networks.

“VDOT” means the Virginia Department of Transportation, the Commissioner of Highways, or a designee.

“VDOT traffic impact statement” means a traffic impact statement prepared pursuant to

24VAC30-155-60.

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REVIEW OF COMPREHENSIVE PLANS & AMENDMENTS

The Local Government Comprehensive Plan and Transportation Plan A comprehensive plan is an official public document adopted by a local government as a policy guide for making decisions about the long-range physical development of the community. It indicates in a general way how the government leaders, based on citizen input, want the community to develop in the future - the quantity, character, location, and rate of growth.

The plan is comprehensive in that it encompasses all the functions that make a community work, e.g. land use, transportation, community facilities, economic development, housing, historic and natural resources. The comprehensive plan may include more detailed plans for specific areas of the community, e.g. neighborhoods, “villages”, and sub-areas (a certain highway corridor or portion of the locality).

§15.2-2223 of the Code of Virginia requires the planning commission of every locality to prepare a comprehensive plan for consideration by the governing body and for the governing body of every locality to adopt a comprehensive plan. Localities must review their comprehensive plan and associated transportation plan at least every five years, pursuant to §15.2-2230 of the Code, to determine whether it needs to be updated.

The comprehensive plan must include a specific section dedicated to transportation planning or reference a document that serves as the community’s transportation plan. The comprehensive plan, therefore, provides policy guidance and criteria for making both land use and transportation decisions and recommendations.

§15.2-2223 B. 3-6 requires localities to add more details to their Transportation Plans and associated Transportation Map, including a requirement to make these documents consistent with VTrans, the Six-Year Improvement Program, and specific route locations chosen by the Commonwealth Transportation Board (CTB). Furthermore, VDOT is directed to review locality transportation plans and comment on their consistency during the plan development or amendment process and, upon the adoption of such plans or amendments, to notify the CTB of inconsistencies. For more information see Local/State Plan and Program Consistency on the VDOT website www.virginiadot.org

Providing Transportation Planning Technical Assistance to Localities §15.2-2223 of the Code and 24VAC30-155-30 of the regulations (presented at the end of this Chapter) directs VDOT to provide technical assistance to local governments, at their request, in preparing the transportation plan in their comprehensive plan. The District Transportation and Land Use Director supervises this effort in most Districts.

Technical assistance may include

  • Providing roadway inventory and traffic data, highway capacity analysis, planned construction projects, and State Highway Plan and Statewide Planning System information.

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  • Determining the current and future functional classifications of the highways and advising on ultimate right of way needs based on functional classification.
  • Evaluating the consistency between the Future Land Use Map/Policies and the Transportation Plan.
  • Recommending and prioritizing roadway improvements.
  • Identifying areas where bicycle and/or pedestrian facilities are warranted.
  • Coordinating with other modal agencies (public transit, ports, airports, rail, etc).

Local jurisdictions and VDOT can gain valuable information for preparing the transportation plan in their comprehensive plan from the adopted transportation recommendations of the regional Metropolitan Planning Organization (MPO) Constrained Long-Range Plan (CLRP), a Small Urban Area Transportation Study (SUATS), or a Regional Long Range Plan (RLRP).

Transportation Plan in the Comprehensive Plan §15.2-2223 of the Code specifies that the transportation plan within the locality’s comprehensive plan shall be based on:

  • An evaluation of the locality’s existing transportation facilities,
  • The identification of current transportation system needs,
  • A comparison of the existing facilities with the community’s plan for its future land use pattern (type, location, and intensity) and for the provision of public services (location of schools, public utilities, parks), and
  • The identification of future transportation improvements that will be needed to support the future development, including highways (new, widening, changes to the hierarchy of roads or functional classification), bicycle and pedestrian accommodations, railways, bridges, waterway, airports, ports, and public transportation facilities.

§15.2-2223 B. 3-6 requires the locality’s transportation plan to be consistent with:

  • The Statewide Transportation Plan, known as VTrans, developed pursuant to §33.2-353,
  • Significant new, expanded, or relocated state roadways in the Six-Year Improvement Program, and
  • The specific locations of state highways set by the CTB in accordance with subdivision (1) of §33.2-208 A.

Finally, just identifying future transportation needs is not sufficient. §§15.2-2223 of the Code of Virginia requires the transportation plan to include:

  • A map that shows road and transportation improvements that take into account current and future needs of the locality’s residents while considering the current and future needs of the planning district within which the locality is located.
  • Cost estimates for such road and transportation improvements.

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Localities to Submit Comprehensive Plan, Transportation Plan, Plan Amendments, and Small Area Plans to VDOT for Review

§15.2-2222.1 of the Code (see page 3) and 24VAC30-155-30.A. of the Traffic Impact Analysis Regulations (presented at the end of this Chapter) establishes that prior to the local adoption of any comprehensive plan or the transportation plan pursuant to Code section §15.2-2223, any part of a comprehensive plan pursuant to §15.2-2228, or any amendment to any comprehensive plan per §15.2-2229 including a small area plan for all for a portion of an urban development area or transit-oriented development (see page 12 for more information on a small area plan):

  • A locality shall submit such comprehensive plan, transportation plan, plan amendment, or small area plan to VDOT for review and comment if the locality anticipates that it will substantially affect transportation on state controlled highways. Substantially affect includes substantial impacts or changes to the existing transportation network of state highways.
  • The locality is required to submit its comprehensive plan, transportation plan, plan amendment, or small area plan at least 100 days prior to when it estimates final action will be taken.

Localities should send their plan package to their District, through their local Resident Engineer/Residency Administrator (see the VDOT Organization chapter on page 67).

NOTE: This Code section and regulation also applies to cities, larger towns (over 3,500 in population), and Henrico/Arlington Counties when their comprehensive plan and plan amendments will produce a substantial impact or change, as defined below, to limited access state maintained highway interchanges or to non-limited access state maintained highways either internally or in neighboring localities.

§15.2-2223 of the Code also requires all localities to submit their transportation plan or transportation plan amendment to VDOT (again, through the Resident Engineer/Residency Administrator) prior to adoption for review and comments on its consistency with the Commonwealth Transportation Board’s (i) Statewide Transportation Plan (known as VTrans), (ii) significant new, expanded, or relocated state roadways in the Six-Year Improvement Program, and (iii) the specific locations of state highways set by the CTB in accordance with

§33.2-208 A.

VDOT shall provide written comments to the locality on such consistency within 90 days or such shorter period as mutually agreed upon by VDOT and the locality.

Once the transportation plan or any amendment is adopted, the locality shall submit a copy of such adopted plan or amendment to the Resident Engineer/Residency Administrator to determine if there are any inconsistencies with the three documents referenced above.

For more information see Local/State Plan and Program Consistency on the VDOT website www.virginiadot.org

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Subsection A of 24VAC30-155-30 of the regulations defines how to determine a proposed comprehensive plan’s “substantial impact” and a “substantial change” (the Table on page 24 provides examples of the number of dwellings and the size of businesses that would produce such an impact or change).

A substantial impact is a change that would allow the generation of 5,000 additional vehicle trips per day on state-controlled highways compared to the existing comprehensive plan assuming the highest density of permissible use in accordance with the Institute of Transportation Engineers (ITE) “Trip Generation” (see page 73) or, subject to the approval of VDOT, the regional model as adopted by the local Metropolitan Planning Organization. When using the regional model approach, link volumes in the area of change are to be compared in order to determine if the submission threshold has been achieved.

Substantial changes shall include those changes that materially alter future transportation infrastructure, travel patterns, or the ability to improve future transportation facilities on state-controlled highways. Such changes would include items such as the designation of new county thoroughfares, significant expansion of agricultural or forestal districts, or changes to the locality’s transportation plan or transportation plan’s map.

The Locality’s Comprehensive Plan/Amendment Package Submittal VDOT will need sufficient information to evaluate a proposed comprehensive plan’s, transportation plan’s, or plan amendment’s impact on or change to the existing transportation network. Usually the future land use policies and map will need to be assessed in this regard as well as any proposed new and expanded transportation facilities outlined in the proposed comprehensive plan or amendment to the plan.

NOTE: a traffic impact analysis study is not required for a comprehensive plan or plan amendment submittal, but can be provided.

The information to be included in the plan package submittal to VDOT is summarized in a checklist format on page 16. The locality needs to provide one paper and one electronic copy of this information to VDOT (see 24VAC30-155-30.B at the end of this Chapter).

When a comprehensive plan or comprehensive plan amendment and related rezoning proposal that cover the same geographical area are being considered concurrently by a locality, only a rezoning package per 24VAC30-155-40 needs to be prepared and provided to VDOT for review.

NOVA District Plan Review: Homeland Security Emergency Evacuations §15.2-2222.1 of the Code requires comprehensive plans and plan amendments submitted by localities in Planning District 8 (Northern Virginia) to also be reviewed to determine the extent to which the plan or amendment will increase traffic congestion or, to the extent feasible, reduce the mobility of citizens in the event of a homeland security emergency and to include such information in the comments to the locality. Furthermore, the Department must assess the measures and estimate the costs, based on readily available information, to mitigate the congestion or reduction in mobility attributable to the proposed comprehensive plan or amendment. The findings shall be included in the Department’s comments to the locality on the submitted plan or amendment. The findings shall also be submitted concurrently to the Northern Virginia Transportation Authority.

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To accomplish the legislative directive, upon receipt of a comprehensive plan or amendment, the NOVA District Transportation and Land Use Directors will notify and forward a copy to the District Transportation Planning and Investment Director and the Northern Region Operations Director. They will be responsible for assessing potential impacts on evacuation in the event of a homeland security emergency, the options for reducing these impacts, and their costs.

Changes to the location and/or density of future residential and business development and changes to future transportation infrastructure (e.g. new thoroughfares or Metro stations) will affect emergency evacuation situations. During such an evacuation, people in the vicinity of the emergency will attempt to leave the area at the same time using the available transportation modes: car, bus, Metro, walking, bicycle, train.

The mobility of people in the event of an emergency is dependent on the presence of multiple transportation options for vacating a given area. As a result, comprehensive plans and plan amendments submitted under the Regulations will be reviewed to determine the availability of the following evacuation options in the plan area:

  • Multiple entry and exit points. - Proximity of a Metro or railroad station.
  • Bus routes. - Multi-lane highways.
  • A bridge (stream/river in the area). - Sidewalks, bicycle lanes.
  • “Shelter in Place” - Operational strategies to mitigate congestion

Key strategies for homeland security event evacuation involve changes in signalization, temporary control of access points by law enforcement, providing for emergency vehicle access in gridlock, and creating staging areas for emergency operations.

It also will be important to consider if the proposed change to the comprehensive plan will adversely affect the capacity of the roadways within the NoVA Emergency Evacuation Roadway system.

Northern Region Operations and the NOVA District Transportation Planning/Investment section will coordinate a basic assessment of transportation options available for evacuation. Traffic analysis, evaluating alternative scenarios, and planning level qualitative analysis may be used as appropriate to estimate possible impacts the plan or plan amendment could have on mobility during emergency situations. Then using readily available information potential measures to reduce this impact and a general estimate on their cost will be identified.

The findings will be forwarded to the appropriate Transportation and Land Use Director or other designated position to be included in the overall District TIA Regulation comments to the locality on the proposed plan or plan amendment.

Localities in Northern Virginia are encouraged to review the above referenced state law and consider emergency evacuation as part of their comprehensive planning process.

NOVA District Plan Review: Minor Arterial (or Above) Impacts

§15.2-2222.1 of the Code requires NOVA District to specify by name and location any transportation facility having a functional classification of minor arterial or higher for which an increase in traffic volume is expected to exceed the capacity of such facility as a result of the proposed plan or amendment submitted under the Traffic Impact Analysis Regulations. A table

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listing such facilities will be included as part of the comments presented to the locality and the Northern Virginia Transportation Authority and posted on the LandTrack public site.

Small Area Plan Amendments to Comprehensive Plans Compact, mixed-use development can help reduce the demand for additional transportation capacity such as new roads and road widening. However, these benefits are not always quantified when each proposed development is considered individually.

Local governments have the option of conducting a single traffic impact analysis for all parcels that are part of a small area plan adopted as an amendment to the local comprehensive plan:

A small area plan is a plan of development for multiple contiguous properties that guides land use, zoning, transportation, urban design, open space, and capital improvements at a high level of detail . . . that is at least ½ square mile in size.

The small area plan must be for properties within an urban development area designated pursuant to § 15.2-2223.1 of the Code or for a transit-oriented development area of commercial and residential development near a transit station (see the Definitions Chapter).

VDOT has selected an alternative non-ITE trip generation methodology that is automatically approved by VDOT for use when a locality conducts a single traffic impact analysis for the parcels within a small area plan. It is the Mixed Use Trip Generation Model V 4.0 providing trip reduction for compact, mixed use development (p. 43 in the Traffic Impact Analysis Chapter).

The single traffic impact analysis prepared for the small area plan can be used as the traffic impact statement (study) required by the Regulations for a proposed rezoning within the small area plan, if the rezoning is in substantial conformance with the small area plan (see the page 27). The traffic impact analysis study for the small area plan may reduce the number of individual traffic impact analyses required for developments that are proposed within the small area plan.

A Locality’s Small Area Plan Amendment Package Submittal A locality that prepares a small area plan as an amendment to their comprehensive plan for an urban development area or transit-oriented development may submit a small area plan package.

The small area plan package submitted by the locality to VDOT shall contain sufficient information and data to determine the location of the area, its size, its impact on state-controlled highways, and the methodology and assumptions used in the analysis of the impact. This will allow related rezoning(s) in the boundaries of the small area plan to use the study to as the traffic impact statement requirement for a rezoning.

Submittal of an incomplete package shall be considered deficient in meeting the submission requirements of §15.2-2222.1 of the Code and shall be returned to the locality and the applicant, if applicable, identifying the deficiencies noted.

This information is summarized in a checklist format on page 16. The quickest way for the locality to send this information, and for VDOT to use it internally, is in an electronic version.

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The Comprehensive Plan Review Process Rules 24VAC30-155-30.D.

The locality should submit their comprehensive plan, plan amendment, or small area plan (the “Plan”) package to the Residency, which will forward it to the appropriate district position. This individual will coordinate the review of the plan with the appropriate sections within the District Office (see the VDOT Administration of the Regulations chapter, page 66).

MEETING WITH LOCALITY. §15.2-2222.1 of the Code specifies that within 30 days of receipt of the Plan package, VDOT may request, and the locality shall agree to, a meeting with the planning commission or other agent to discuss the plan or amendment, which discussions shall continue as long as the participants deem them useful.

VDOT’S OFFICIAL WRITTEN COMMENTS ON THE PLAN PACKAGE. The District Transportation and Land Use Director or other designated staff will supervise the submittal of VDOT’s official comments to the locality.

The official comments include: (i) a transmittal letter (a sample official comment letter is presented on the last page of the Appendix) and (ii) a written report containing comments on the transportation facilities that will be needed to support the current and planned development of the locality based on the results of VDOT’s evaluation of the Plan package.

If the plan package included the locality’s Transportation Plan or an amendment to that plan, VDOT’s comments shall include an evaluation of the consistency of the locality’s plan or amendment with VTrans, SYIP, and the location of state routes. See page 7 and 9.

NOTE: key findings in the written report may be included within the body of the letter.

  • A description of the contents of VDOT’s written report is presented on the next page.

DEADLINE TO PROVIDE VDOT’S OFFICIAL WRITTEN COMMENTS TO THE LOCALITY.

The District Transportation and Land Use Director’s (or other designation position’s) coordination of VDOT’s review of the Plan must be completed so that VDOT’s comments can be transmitted to the locality:

  • Within 90 days of the receipt of the Plan package, or by such later deadline as may be agreed to by the parties.

LOCALITY MAY TAKE ACTION IF DEADLINES ARE NOT MET. If VDOT’s official comments are not received by the above deadline, the locality may choose to take action on the Plan. Again, the intent of the regulations is that VDOT’s review does not lengthen the local planning process.

LOCALITY SHALL INCLUDE VDOT'S COMMENTS IN THEIR OFFICIAL RECORD. The regulations (24VAC30-155-30.D, page 18) specify that the local government include VDOT’s official comments in the locality’s official public record on the plan or plan amendment.

  • The local government can do so by placing VDOT’s official comments (transmittal letter and written report) in the locality’s files for the Plan and by referencing this information in the locality’s staff report on the Plan.
  • The key findings and comments in VDOT’s written report also should be acknowledged in the minutes of the Planning Commission and the governing body’s public hearings on the comprehensive plan, plan amendment, or small area plan proposal.

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VDOT TO MAKE OFFICIAL COMMENTS AVAILABLE TO THE PUBLIC. VDOT must make its written comments available to the public through various means, e.g. through the external LandTrack web page on the VDOT public website (see page 77), copies at the local government offices, or a presentation to the locality.

Written Report with VDOT’s Comments 24VAC30-155-70 VDOT will provide the locality with a written report containing the key findings of VDOT’s evaluation of the comprehensive plan, plan amendment, or small area plan.

The focus of the analysis will be on identifying and recommending transportation improvements that will be needed to support the community’s plan for future growth (future land use plan) and the community’s plan for future public services (location of schools, public utilities, parks).

Transportation improvements may include highways, bicycle and pedestrian accommodations, railway, transit, and other facilities as identified in the comprehensive plan, or that should be considered by the locality.

VDOT can provide comments on how the locality’s proposed Plan policies on such matters as the location of future residential and business development or plans for new community facilities such as schools and water/sewer utilities will influence the need for future road improvements. Part of this review may include providing cost estimates to the local government for transportation improvements recommended by the Plan.

Finally, the locality can be advised about VDOT regulations and standards that can help protect highway corridors from congestion and traffic crashes. For example, the plan should address the importance of managing future access to highways. Plan policies could reference the need to review land development proposals to assure compliance with VDOT’s access management regulations and standards. The comprehensive plan can recommend that detailed transportation plans be prepared for highway corridors that will experience growth and increased traffic. District staff can assist localities with their transportation planning efforts.

This chart summarizes how VDOT can analyze the need for future transportation improvements:

Future land use, population Existing growth, new Deficiency Deficiencies Cost Map of Consistency transportation public analysis are estimates needed with state Plan Element network utilities performed addressed included improvements plans

Inventory X X X

Assumptions X X

Needs X X X XAssessment

Recommendations X X X X X X X

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Comprehensive Plan or Plan Amendment Package Checklist*

For a comprehensive plan or a transportation plan, the locality shall provide one paper and one electronic copy of the following: □ A COVER SHEET, containing: □ CONTACT INFORMATION for the locality, and □ A SUMMARY OF MAJOR CHANGES made to the comprehensive plan or transportation plan; □ THE PROPOSED COMPREHENSIVE PLAN OR TRANSPORTATION PLAN and the following Elements: □ INVENTORY – An inventory (written or graphic) of the existing transportation network, which shall include at a minimum all roadways within the Federal Aid system - any roadway classified as a Major or Urban Collector or higher functional classification or is included within the National Highway System (for more information on these terms see VDOT’s website). VDOT District staff can provide assistance regarding which roadways must be included in the inventory. □ ASSUMPTIONS – Planning assumptions directly influence the demand placed on the transportation system. Examples of planning assumptions that may be addressed include population growth, employment growth, and location of critical infrastructure such as water and sewer facilities. □ NEEDS ASSESSMENT – Written or graphic evaluation of the transportation systems current and projected performance and conditions. This evaluation should compare the existing transportation system with the future land use policies and maps in order to determine how future growth will affect the transportation system.

The needs assessment will identify specific deficiencies based on current conditions, as well as future improvements that will be needed to serve the anticipated development based on the future land use policies and maps. □ RECOMMENDATIONS – Proposed improvements or additions to transportation infrastructure.

Recommendations should be specific so that the need, location and nature of the proposed improvements are clear and understandable. The recommendations should address some or all of the needs identified in the needs assessment step, above. The recommendations must be consistent with VTrans; significant new, expanded, or relocated highway projects in the SYIP; and the selected location of state highways set by the CTB.

Localities are encouraged to include pedestrian, bicycle, transit, rail and other multi-modal recommendations as they deem appropriate. □ MAP - The transportation plan shall include a map showing road and transportation improvements, taking into account the current and future needs of residents in the locality while also considering the current and future needs of the planning district within which the locality is situated. □ COST - Recommended improvements shall include cost estimates as available from VDOT.

□ FEES (SEE BELOW)

For an amendment to a comprehensive plan or transportation plan, the locality shall provide one paper and one electronic copy of the following: □ A COVER SHEET, containing: □ CONTACT INFORMATION for the locality; □ A SUMMARY OF THE PROPOSED AMENDMENT or amendments to the comprehensive plan or transportation plan;

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□ PROPOSED IMPROVEMENTS/ADDITIONS TO THE STATE HIGHWAY SYSTEM must be consistent with VTrans; significant new, expanded, or relocated highway projects in the SYIP; and the selected location of state highways set by the CTB; and □ An OVERVIEW of reasoning and purpose for amendments. □ APPLICATION FORMS and documentation presented to or prepared by the local jurisdiction, □ ASSOCIATED MAPS OR NARRATIVES that depict and detail the amendment under consideration, □ ANY CHANGES to the planning assumptions associated with the amendment, and □ LOCAL ASSESSMENT of the potential impacts the amendment may have on the transportation system. □ The ELEMENTS IDENTIFIED ABOVE (4th checkbox on previous page) that VDOT determines are needed in order to review and comment on impacts to state-controlled highways.

□ FEES (SEE BELOW)

For a small area plan amendment to a comprehensive plan, the locality shall provide: □ A COVER SHEET, containing: □ CONTACT INFORMATION for the locality;

□ SMALL AREA PLAN DETAILS

□ LOCATION; □ HIGHWAYS and TRANSIT FACILITIES adjacent to the site; □ PARCEL NUMBER or NUMBERS; and □ PROPOSAL SUMMARY with development names, size, and proposed zoning. □ A VDOT TRAFFIC IMPACT STATEMENT prepared in accordance with 24VAC30-155-60. □ A PLAN OF DEVELOPMENT for the area encompassed by the small area plan.

FEES NO FEE is charged by VDOT if the comprehensive plan, plan amendment, or small area plan amendment is initiated by a locality or public agency.

NO FEE is charged by VDOT to a citizens' organization or neighborhood association that proposes comprehensive plan amendments through its local planning commission or local governing body.

FOR A PRIVATE SECTOR initiated plan amendment (usually tied to a rezoning proposal) or a small area plan amendment to the comprehensive plan: □A $1,000 FEE paid by the applicant for the initial or second review of a comprehensive plan, an amendment to the plan, or a small area plan amendment to the comprehensive plan. □ A $1,000 FEE paid for a third or subsequent submission of a comprehensive plan, plan, or a small area plan amendment that is requested by VDOT on the basis of the failure of the applicant to address deficiencies previously identified by VDOT. * This checklist is on the VDOT Traffic Impact Analysis Regulations website as a MS Word editable form.

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REGULATIONS

24VAC30-155-30. Comprehensive plan and comprehensive plan amendment.

A. Plan and amendment submittal. Prior to adoption of any comprehensive plan pursuant to § 15.2-2223 of the Code of Virginia, any part of a comprehensive plan pursuant to § 15.2-2228 of the Code of Virginia, or any amendment to any comprehensive plan as described in § 15.2-2229 of the Code of Virginia, including small area plans, if required by this section of this chapter, the locality shall submit such plan or amendment to VDOT for review and comment, such submission should take place at least 100 days prior to anticipated final action by the locality. The Virginia Department of Transportation shall, upon request, provide localities with technical assistance in preparing the transportation plan of the comprehensive plan. The comprehensive plan or comprehensive plan amendment package shall be submitted to VDOT if it is reasonably anticipated to substantially affect transportation on state controlled highways. Substantially affect, for the purposes of comprehensive plans, includes substantial changes or impacts to the existing transportation network. For the purposes of this section, a substantial impact shall be defined as a change that would allow the generation of 5,000 additional vehicle trips per day on state-controlled highways compared to the existing comprehensive plan assuming the highest density of permissible use in accordance with the Institute of Transportation Engineers Trip Generation, 8th Edition, 2008 or, subject to the approval of VDOT, the regional model as adopted by the local Metropolitan Planning Organization, and substantial change shall include those changes that materially alter future transportation infrastructure, travel patterns, or the ability to improve future transportation facilities on state-controlled highways.

B. Required elements. The submission by the locality to VDOT shall contain sufficient information so that VDOT may evaluate the system of new and expanded transportation facilities, outlined in the transportation plan, that are needed to support the current and planned development of the territory covered by the plan. In order to conduct this evaluation, the package submitted to VDOT shall contain the following items: 1. For a comprehensive plan or a transportation plan, the locality shall provide one paper and one electronic copy of the following:

a. A cover sheet, containing: (1) Contact information for the locality, and (2) Summary of major changes made to the comprehensive plan or transportation plan;

b. The proposed comprehensive plan or transportation plan, and the following elements: (1) Inventory – an inventory (written or graphic) of the existing transportation network, which shall include at a minimum all roadways within the Federal Aid system. (2) Assumptions – planning assumptions shall be detailed, since these assumptions directly influence the demand placed on the transportation system. Population growth, employment growth, location of critical infrastructure such as water and sewer facilities, among others, are examples of planning assumptions that may be addressed. (3) Needs assessment – written or graphic evaluation of the transportation system’s current and projected performance and conditions. The needs assessment identifies specific deficiencies. (4) Recommendations – proposed improvements or additions to the transportation infrastructure. Recommendations should be specific so that the need, location and nature of the proposed improvements are clear and understandable. Localities are encouraged to include pedestrian, bicycle, transit, rail and other multi-modal recommendations as they deem appropriate. The transportation plan shall include a map showing road and transportation improvements, taking into account the current and future needs of residents in the locality while considering the current and future

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needs of the planning district within which the locality is situated. Recommended improvements shall include cost estimates as available from VDOT.

  1. For an amendment to a comprehensive plan or transportation plan, the locality shall provide one paper and one electronic copy of the following:

a. A cover sheet, containing: (1) Contact information for the locality; (2) Summary of proposed amendment or amendments to the comprehensive plan or transportation plan; and (3) Overview of reasoning and purpose for amendments.

b. Application forms and documentation presented to or prepared by the local jurisdiction,

c. Associated maps or narratives that depict and detail the amendment under consideration,

d. Any changes to the planning assumptions associated with the amendment,

e. Local assessment of the potential impacts the amendment may have on the transportation system, and

f. Those elements identified in subdivision 1 b of this subsection that VDOT determines are needed in order to review and comment on impacts to state-controlled highways.

C. Small area plans for urban development areas and transit oriented developments. A locality that develops a small area plan for all or a portion of an urban development area or transit-oriented development and corresponding amendments to their comprehensive plan, as described in § 15.2­ 2229 of the Code of Virginia, that will have a substantial effect on the state transportation network pursuant to this section of the regulation, may in lieu of submitting a comprehensive plan amendment package as required under subsection B of this section submit a small area plan package.

The small area plan package submitted by the locality to VDOT shall contain sufficient information and data so that VDOT may determine the location of the area impacted by the small area plan, its size, its impact on state-controlled highways, and the methodology and assumptions used in the analysis of the impact. Submittal of an incomplete small area plan package shall be considered deficient in meeting the submission requirements of § 15.2-2222.1 of the Code of Virginia and shall be returned to the locality and the applicant, if applicable, identifying the deficiencies noted. A small area plan package submitted to VDOT shall contain the following items:

1. A cover sheet containing

a. Contact information for locality;

b. Small area plan location, highways and transit facilities adjacent to site, and parcel number or numbers;

c. Proposal summary with development names, size, and proposed zoning;

  1. A VDOT traffic impact statement prepared in accordance with 24VAC30-155-60; and

  2. A plan of development for the area encompassed by the small area plan.

D. Review process. VDOT may, pursuant to §15.2-2222.1 of the Code of Virginia, request a meeting with the locality to discuss the plan or amendment. The request must be made within 30 days of receipt of the proposal. VDOT must provide written comments to the locality within 90 days of the receipt of the plan or plan amendment or by such later deadline as may be agreed to by the parties. VDOT will conduct its review and provide official comments to the locality for inclusion in the official public record of the locality. VDOT shall also make such comments available to the public. Nothing in this section shall prohibit a locality from acting on a comprehensive plan or plan amendment if VDOT’s comments on the submission have not been received within the timelines in this section.

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E. Concurrent consideration. For the purposes of this regulation, when a related comprehensive plan or comprehensive plan amendment and a rezoning proposal that cover the same geographical area are being considered concurrently by a locality, only a rezoning package as required under 24VAC30-155-40 shall be prepared and provided to VDOT for review.

24VAC30-155-70. Departmental analysis.

After concluding its review of a proposed comprehensive plan or transportation plan or plan amendment, or rezoning, VDOT shall provide the locality and applicant, if applicable, with a written report detailing its analysis and when appropriate recommending transportation improvements to mitigate any potential adverse impacts on state-controlled highways. VDOT shall provide recommendations for facilitating other modes of transportation including but not limited to transit, bus, bicycle and pedestrian facilities or accommodations where such facilities or accommodations are planned or exist, or where such facilities have a significant potential for use. In addition, VDOT shall provide the locality and the applicant, if applicable, with preliminary recommendations regarding compliance with other VDOT regulations such as the Secondary Street Acceptance Requirements (24VAC30-92), the Access Management Regulations Principal Arterials (24VAC30-72), and the Access Management Regulations: Minor Arterials, Collectors, and Local Streets (24VAC30-73).

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REVIEW OF REZONING PROPOSALS

Zoning Basics Zoning is the main regulatory tool used by local governments to control the use of land. Zoning districts are established for the major categories of land use such as residential, commercial, industrial, and agricultural. A locality may have one or more zoning district classifications for each category, e.g. neighborhood commercial district, highway commercial district. The zoning map illustrates how each property in the locality is zoned.

The zoning ordinance specifies the permitted uses of land in each district, the density (minimum lot size or maximum number of dwelling units per acre), building bulk (height, yard/setback from lot lines), and such matters as landscaping, signs, and parking. §§15.2- 2280, 15.2-2283, and 15.2­ 2284 of the Code of Virginia describe the purposes of zoning.

In addition to a list of permitted uses, zoning districts also may include a list of conditional uses, special uses, and/or special exceptions that will only be allowed with certain conditions to protect the surrounding residences, businesses, environmental resources, and public infrastructure including roads (see §15.2-2286 (3) of the Code). Examples include kennels, home occupations, and quarries.

The governing body sets the conditions for approval which may address such matters as noise levels, hours of operation, lighting, transportation improvements, etc.

NOTE: The Traffic Impact Analysis Regulations do apply to conditional use, special use, or special exception requests as these are considered zoning proposals.

The zoning of the community, and rezoning decisions for individual properties, should be based on the guidance provided by the comprehensive plan – the future land use plan, transportation plan, and public facilities plan.

A Key Opportunity to Resolve Land Development Issues The rezoning process allows VDOT to review land development proposals at the earliest point in the local land use regulatory process when there is a great deal of flexibility in design details of the development.

A locality’s zoning ordinance specifies the permitted uses in each zoning district. The list of permitted uses in a district can be fairly extensive, particularly for commercial and industrial districts. A General Business District, for example, can offer a wide range of uses: antique shop, fast food restaurant, office building, and movie theater. The permitted uses can also differ in size: a small vs. large shopping center, gas station, or office building. The type, size, and intensity of the use will help determine whether it will have a minor or substantial impact on state highways.

As a result, it is important for the rezoning applicant to submit basic details on their intended use the subject property such as the location, acreage, maximum number of lots, types of land uses, and maximum square feet of commercial or industrial uses. It is also helpful to have the rezoning applicant provide a “conceptual”, “preliminary”, or “master” plan of their proposed development with their application to illustrate in general terms the characteristics of the proposal: location,

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types of uses, physical features of the property, adjacent roads, internal layout of structures and streets.

NOTE: The locality cannot require the rezoning applicant to comply with supplementary information submitted with the rezoning application such as the basic details on the intended use of the property or a conceptual plan unless such details and conceptual plan of development are proffered as conditions of the rezoning (conditional zoning is discussed below).

There are a number of rural counties that have not adopted conditional zoning. Or the applicant may not agree to proffer such details as the types of uses, maximum number of lots, maximum square feet of business buildings, conceptual plan showing the general layout of the proposed land uses and internal street system.

In these cases, the VDOT reviewer should evaluate the rezoning according to the use in the zoning district’s list of permitted uses that will likely have the highest trip generation while taking into consideration the characteristics of the property, local development trends, and patterns of development. For example, factors that may limit the size and types of uses that could be developed include the topography, the availability of water/sewer utilities, the type of highway to be accessed, and the types of businesses in the vicinity.

It is therefore extremely important that VDOT receive sufficient information about the intended use of the property in the rezoning documents and through meetings with the locality and the applicant to be able to thoroughly evaluate the rezoning case. In this way VDOT can help localities to recognize how a proposed rezoning will impact the existing transportation network and how to best address these impacts.

The locality can then use the results of VDOT’s analysis to determine whether or not to approve the rezoning proposal and if so with what conditions.

Conditional Zoning

During the rezoning process, all local governments are eligible to accept a rezoning applicant’s voluntary proffered conditions for on-site improvements to reduce the land use impacts of the proposed development on the community. This first type of conditional zoning is authorized in §15.2-2297 of the Code of Virginia.

Such proffered conditions can include limitations on the amount of development, additional right of way along the property’s road frontage based on the road’s current/future functional classification and details on the internal transportation network - sidewalks, bicycle lanes.

In most localities a rezoning applicant also can proffer to build or contribute to the cost (cash proffers) of off-site improvements such as new roads or widening existing roads, improving existing intersections including signalization, and dedicating land for road right-of-way and proffering cash for such transportation improvements. §15.2-2298 of the Code states that these off-site proffers can be for the “construction of new roads or improvement or expansion of existing roads. . . to meet increased demand attributable to new development.” §15.2-2298 was amended during the 2007 General Assembly to grant localities the option of using the conditional zoning

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authority contained in §15.2-2303 of the Code. This Code section allows localities to accept reasonable proffers of cash, land, and the construction of public improvements with fewer restrictions, e.g. “the need for which is not generated solely by the rezoning itself”. The Commission on Local Government maintains a list of localities eligible to administer this second type of conditional zoning (cash proffers).

Proffered conditions can address such matters as

  • Improvements that are recommended for motorists’ safety or maintain through traffic flow
  • such as an off-site left turn lane, an additional through lane, or entrance consolidation with a neighboring property.
  • Financial contribution towards an off-site improvement that eventually will be needed due to a combination of existing traffic projections and the development’s trip generation, for example 50% of an off-site traffic signal’s cost in relation to the development adding 50% more traffic that will trigger the future need for the signal.
  • The conceptual plan, the maximum density, and development phasing details can be proffered to assure that use and design decisions of the project will carried out.

Localities to Submit Certain Rezoning Proposals to VDOT for Review §15.2-2222.1 of the Code and the Traffic Impact Analysis Regulations, 24VAC30-155-40 (page 37), requires localities to send, within 10 business days of their receipt of a complete application, rezoning proposals that will substantially affect transportation on state highways to VDOT to review and provide comments on the transportation impacts of the proposal.

24VAC30-155-40.A provides the details for determining whether a rezoning proposal is required to be submitted to VDOT for review and comments. The details are summarized below.

Any rezoning proposal (for subdivisions, apartments, townhouses, commercial, office, mixed use developments, industrial, government facilities, etc.) will substantially affect transportation on state highways if it meets or exceeds one or more of the following trip generation criteria:

  1. In a jurisdiction in which VDOT has maintenance responsibility for the secondary highway system, a rezoning proposal that will generate more than 5,000 vehicle trips per day at the site’s connection to a state highway.

a. If the site does not have a direct entrance, the site’s connection is where the road network, which the site uses for access, attaches to a state highway.

b. In cases where the site has multiple entrances to highways, volumes on all entrances shall be combined for the purposes of this determination.

  1. In a jurisdiction in which VDOT does not have maintenance responsibility for the local highway system, a rezoning proposal that generates more than 5,000 vehicle trips per day and whose nearest property line is within 3,000 feet, measured along public roads or streets, of a connection to a state highway (see page 25 for more information and an illustration on this).

The rezoning proposal submittal threshold has been established to target larger developments of a more regional scale for VDOT’s review under the regulations.

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EXAMPLES OF DEVELOPMENT THAT MEET THE 5,000 VEHICLES

PER DAY TRIP GENERATION THRESHOLD

Size or ITE Trip Generation Land Use Code E or R W or S Number of Units

Light Industrial 110 Equation Weekday 690,000 sq. ft.

Single Family, Detached 210 Equation Weekday 555 du Equation Saturday 520 du

Apartment 220 Equation Weekday 820 du Equation Saturday 670 du

Condo/Townhouse 230 Equation Weekday 1060 du

Residential PUD 270 Equation Weekday 650 du

Hotel 310 Equation Saturday 560 rooms

High School 530 Rate Weekday 2950 Students

Hospital 610 Rate Weekday 425 Beds

General Office Building 710 Equation Weekday 560,000 sq. ft.

Business Park 770 Equation Weekday 400,000 sq. ft.

Home Improvement Superstore 862 Rate Weekday 170,000 sq. ft.

Gas Station w/ Conv. Mkt. 945 Rate Weekday 32 pumps

Pharmacy w/o Drive-Thru 880 Rate Weekday 56,000 sq. ft.

NOTE: These estimates have been rounded and are not official thresholds. They are offered as examples only. The calculations may differ based on the specific land use code of the ITE Trip Generation that is applied. Du – dwelling unit; Sq. ft – square feet

Source: TripGen by Trafficware software and Institute of Transportation Engineers (ITE) Trip Generation, 8th edition.

JURISDICTIONS THAT MAINTAIN OWN LOCAL ROAD SYSTEM

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Cities, the larger towns (3,500 or more in population that maintain their roads), and Henrico and Arlington Counties (maintain their local roads) are required to submit rezoning proposals for larger projects to VDOT only if the nearest property line of the parcel subject to the rezoning is within 3,000 ft of a connection to a state highway measured along public roads or streets.

In situations where a parcel accesses the local road network via an easement through another property, the easement shall be considered part of the parcel for purposes of determining distance from a connection to a VDOT maintained highway.

VDOT maintained highways serving state parks and state institutions (educational, correctional) are exempt from this regulation for the purposes of determining if a development proposal within a jurisdiction that maintains its own local road system is subject to the regulations. For example, VDOT maintains the roads within the College of William and Mary. If the above 3,000 ft rule was applied to these roads, this distance around the College would affect a large number of highways and streets in the City of Williamsburg, requiring rezoning proposals for larger projects in the City to be subject to the regulations.

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  1. A residential rezoning proposal that meets the “low volume road submission” thresholds:

a. It generates more than 400 daily vehicle trips on a state highway and,

b. Once the site generated trips are distributed to the receiving highway, the proposal’s vehicle trips on the highway exceed the daily traffic volume such state highway presently carries according to the most recently published amount measured in the last traffic count conducted by VDOT or the locality on that highway.

c. In cases where the site has access to multiple highways, each receiving highway shall be evaluated individually for the purposes of this determination.

When the “low volume road” residential rezoning proposal will have entrances to more than one highway, the trips generated by the proposed development on each highway will be assessed to determine if each highway meets the low volume road threshold.

Trip generation calculations used to determine if a rezoning proposal meets the trip criteria:

  • Shall be based upon the rates or equations published in the Institute of Transportation Engineers Trip Generation (see the Reference Documents chapter, page 73) or, if approved by VDOT, from alternate published guides or local trip generation studies.
  • Shall not be reduced through internal capture rates, pass by rates, or any other reduction methods. The opportunity to properly use these reduction rates will be provided in the traffic impact statement itself.
  • For redevelopment sites only (defined in the Definitions chapter on page 5), when the existing use is to be developed as a different or denser use, trips currently generated by the existing development that will be removed may be deducted from the total trips that will be generated by the proposed land use (24VAC30-155-40 A).

NOTE: One straightforward way of determining if trip generation thresholds have been met is to compare what’s on the ground with what’s being submitted. For example, if the owner had razed the buildings on a site, then sold it, the buyer/developer would not be able to deduct the previous usage of the site from his trip calculations for purposes of determining if the proposed rezoning must be submitted to VDOT for review under the regulations.

Similarly, if a developer had obtained a building permit for a use but never started construction and then submitted a new rezoning application, the developer couldn’t take the traffic that would have been generated by the approved buildings and deduct it from the gross trip generation.

Exemptions to the Rezoning Submittal Requirements No submission will be required even if the proposal meets one of the above thresholds if the rezoning will generate less daily traffic, and no increase in the existing hourly traffic, when compared to the trip generation of land uses allowed by right under the current zoning of the property, except governmental uses.

For example, if currently zoned residential and the property is proposed to be rezoned to allow a neighborhood type shopping center and the commercial use would generate less than or equal to the traffic that could be produced by a subdivision or an apartment complex of a density that would be allowed under the current zoning, then the commercial rezoning proposal would be exempt from the regulations.

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On the other hand, if the property to be rezoned is currently zoned Agricultural and large traffic generators such as high schools or government office complexes are permitted by right in the District, these government uses cannot be used to exempt the rezoning proposal from the regulatory submission requirement.

The specific provisions of the regulations that pertain to this submission exemption are:

  • No submission shall be required under this section if the rezoning proposal consists of no changes in allowable land use.
  • No submission shall be required if the rezoning proposal results in lower maximum daily trip generation and no increase in maximum trip generation for AM Peak Hour of the adjacent street, PM Peak Hour of the adjacent street, and Weekend Peak Hour when compared to the hourly trip generation of land uses allowed by right under the current zoning, except governmental uses such as schools and libraries.

Rezoning Proposals Associated with Small Area Plans A local government may have amended its comprehensive plan to adopt a small area plan for an urban development area designated pursuant to § 15.2-2223.1 of the Code or for a transit-oriented development area (see the Definitions chapter and page 12 on Small Area Plan Amendments to Comprehensive Plans).

A small area plan is a plan of development for multiple contiguous properties that guides land use, zoning, transportation, urban design, open space, and capital improvements at a high level of detail . . . that is at least ½ square mile in size.

The locality can prepare a single traffic impact analysis study using the mixed use development alternative trip generation methodology or standard ITE methodology (see page 43 in the Traffic Impact Analysis chapter) for the small area plan. In addition, a traffic impact analysis study may have been initiated for a small area plan at the request of a locality prior to December 31, 2011 (the subsection’s effective date) and that study contains substantially the same elements as those of a VDOT traffic impact statement.

In either case the small area plan study can then serve as the traffic impact analysis study required by the Regulations for any rezoning proposal for parcel(s) within the boundaries of the small area plan if the rezoning is:

  1. In substantial conformance with the small area plan (the density of the rezoning proposal may deviate up to 10 percent and remain in substantial conformance with the plan),

  2. The character and volume of the trip generation by the uses proposed by the rezoning are similar to those proposed by the small area plan, and

  3. All assumptions made in the small area plan traffic impact study remain generally valid.

NOTE: If the small area plan traffic impact analysis assumptions are no longer valid, the study may be updated and then used for a rezoning proposal within the plan area.

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Scope of Work Meeting for Rezoning Proposals

PROPOSALS THAT GENERATE LESS THAN 1,000 VEHICLE TRIPS PER PEAK HOUR The locality and/or the applicant may request a scope of work meeting with VDOT to discuss the required elements of a VDOT or the requirements of the local traffic impact analysis study.

VDOT will reply within 30 days of its receipt of the request and provide a date that is no more than 60 days from such receipt, including time and location for the meeting.

While not required, an applicant is encouraged to request a scope of work meeting in the event they intend to use pass-by and internal capture rates different than those addressed in the regulation, trip generation rates based upon local studies, or similar variances from the norms generally encountered by VDOT reviewers.

PROPOSALS THAT GENERATE 1,000 OR MORE VEHICLE TRIPS PER PEAK HOUR The locality and/or the applicant shall request a scope of work meeting be conducted with VDOT to discuss the preparation of the VDOT or local traffic impact analysis. Once contacted, VDOT will reply to the locality and the applicant, if applicable, within 30 days of such contact to schedule a meeting date that is no more than 60 days from such contact, time and location (see pages 28 and 59 on the Scope of Work Meeting).

At the meeting, the locality, applicant and VDOT will review the elements, methodology and assumptions to be used in the analysis, and identify any related local requirements.

The limits of the study area need to be defined at the scope of work meeting. The study’s geographic scope may be reduced or enlarged, as determined by VDOT in consultation with the locality and applicant, based upon the:

  • Layout of the local transportation network,
  • Geographical size of the development, and
  • Traffic volume on the existing network.

The study area should include any roadway that will experience a detrimental impact on traffic conditions (level of service) due to the additional trips generated by proposed development.

The applicant’s assumptions and expectations must be thoroughly discussed at the meeting so everyone leaves with a clear understanding of the overall parameters of the traffic impact analysis to be prepared and the deadlines for completion.

It is important to note that the conclusions from the scope of work meeting should not be considered “a contract”. As the VDOT or local TIA is being prepared, it may be necessary to revise various details of the TIA that were discussed at the meeting. To assure flexibility in the development of the TIA, the results of the initial scoping meeting may be adjusted if agreed upon by VDOT, the locality and applicant, if applicable.

Finally, the VDOT or local TIA submittal should identify the specifications of the study agreed to at the scope of work meeting and any adjustments approved during the course of the study.

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FLOWCHART: PREPARING A VDOT TRAFFIC IMPACT ANALYSIS (TIA)

Rezoning application will substantially affect No Regulations do not require transportation on state highways (see p. 23) TIA to be submitted to VDOT

Yes

Rezoning will generate less than Rezoning will generate 1,000 or 1,000 vehicle trips per peak hour more vehicle trips per peak hour

Applicant/locality would like to use a trip Yes generation methodology or rate that differs from that specified in the Regulations

No

Locality/applicant may request Locality/applicant shall request Scope of Work Meeting with VDOT Scope of Work Meeting with VDOT

Meeting is not Scope of work meeting is requested requested

VDOT replies in 30 days and schedules a meeting date within 60 days of the request

Applicant/consultant obtains Pre-Scope of Work Meeting Form from VDOT Web-site or District prior to the meeting and enters the relevant information Form not returned by deadline, Applicant/consultant returns Form to meeting may be VDOT 3 business days prior to meeting postponed

Conduct meeting to review VDOT or Local TIA specifications and assumptions

A VDOT or local TIA is prepared and submitted to locality to be included in rezoning package for transmittal to VDOT (Go to flow chart on p. 33)

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Forms: Scope of Work Meeting & Traffic Impact Analysis Preparation

The Appendix (page 79) contains several checklists and forms that can be used to make sure that all aspects of the proposed development are discussed. These forms and checklists are posted on the VDOT Traffic Impact Analysis Regulations website. They are available in an MS Word editable format so answers can be typed on the form or checklist. The District offices may also have them available.

PRE-SCOPE OF WORK MEETING FORM. The applicant completes this form and submits it to the VDOT District at least 3 business days prior to the scheduled meeting date. It used to collect background information on the applicant’s project and the initial traffic impact analysis assumptions proposed by the applicant or their designee.

It is important for the applicant to provide sufficient information to the locality and VDOT staff so that questions regarding geographic scope, alternate methodology, or other issues can be answered at the scoping meeting. This will allow VDOT to become familiar with the proposal and the traffic analysis information that will be needed prior to the meeting.

SCOPE OF WORK MEETING CHECKLISTS AND FORMS (For use at the meeting)

1. CHECKLIST: REQUIRED ELEMENTS OF A VDOT TRAFFIC IMPACT ANALYSIS.

This checklist is used to organize the discussion at the scope of work meeting about VDOT’s expectation on what should be included in the traffic impact analysis study and how it should be organized. The form is handed out at the scope of work meeting to make sure that the traffic impact analysis meets the regulations’ specifications.

  1. CHECKLIST: REQUIRED ELEMENTS OF A LOW VOLUME ROAD VDOT TIA. Used to organize the discussion at the scope of work meeting about the elements to be included in the traffic impact analysis for a proposed rezoning for a residential development with relatively low trip generation characteristics (see page 26).

  2. MEETING CONCLUSIONS: ADDITIONS/CHANGES TO THE ELEMENTS, METHODOLOGY, ASSUMPTIONS; SIGNATURE PAGE. Based on the scope of work meeting discussion, any additions to the VDOT required elements and changes to the methodology or standard assumptions approved by VDOT are listed on this form.

It needs to be signed by the applicant or their designee, a local government representative, and a VDOT representative.

VDOT EVALUATION OF THE SUBMITTAL CHECKLISTS. There are two checklists: one for a VDOT TIA study and one for a Low Volume Road TIA study.

VDOT review staff can use these forms to determine if the traffic impact analysis submitted by the applicant complies with the required elements and methodology specified in the regulations as well as any changes that were approved at the scope of work meeting.

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The Locality’s Rezoning Package Submittal 24VAC30-155-40.B. (page 37) presents the information to be included in the rezoning package that the locality sends to VDOT. One paper copy and one electronic copy are required.

Localities shall send the rezoning package to the Area Land Use Engineer in the District.

The rezoning package information is summarized in a checklist format on page 35 for use by localities and VDOT. The locality needs to make sure that the rezoning package is substantially complete (includes a traffic impact analysis study): either a local traffic impact statement or, if the local requirements for traffic statements have not been certified by VDOT, a VDOT traffic impact statement (see page 41 in the Traffic Impact Analysis chapter).

It is recommended that the locality include the rezoning package checklist (page 35) with their rezoning application forms so that the locality’s application is complete when all of the items on the checklist have been submitted to the locality.

The Rezoning Package Review Process 24VAC30-155-40.D.

The Area Land Use Engineer will coordinate the review of the submittal with the appropriate sections within the District Office. The District Transportation and Land Use Director or the Resident Engineer/Residency Administrator will supervise the review to assure the deadline is met (see the VDOT Administration of the Regulations chapter, page 66).

EXAMINE REZONING PACKAGE. Upon receipt of the rezoning package VDOT will evaluate it for substantial compliance with the Regulation’s submittal requirements. The timeline for VDOT’s review begins: either a 45 day or 120 day deadline.

45 DAY REVIEW DEADLINE. If VDOT determines that the rezoning package is complete (a Checklist is on page 35) and no revisions are necessary such that no meeting with the locality/applicant is needed to discuss the submission, VDOT shall provide written comments to the locality and rezoning applicant on the rezoning traffic impact analysis within 45 days of receipt of the package (see Written Comments on page 34).

120 DAY REVIEW DEADLINE. VDOT’s evaluation of the rezoning package (including the TIA study) may lead to the need for a meeting between the VDOT review staff, the local government staff, and rezoning applicant to discuss (i) an incomplete submittal or that the TIA study (ii) fails to document the expected impacts of the proposal and/or (iii) has not been prepared in accordance with best professional practice.

  • VDOT’s meeting request must be made within 45 days of VDOT’s receipt of the package and the meeting held within 60 days of receipt.
  • At the meeting, modifications to the rezoning traffic impact analysis to address any concerns or deficiencies and any missing submittal items will be discussed.
  • VDOT may also send to the rezoning applicant a written list of the modifications necessary to resolve deficiencies or concerns.
  • If the issues are not adequately addressed within 30 days of the meeting or sending the written list, VDOT may require resubmission.

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  • Within 120 days of receipt of the rezoning package, VDOT must provide:  Written comments to the locality and rezoning applicant on why the package and TIA study need to be formally resubmitted and the necessary revisions, or  Official written comments on key findings of the TIA study and transportation improvements recommended to mitigate any potential impacts caused by the development on state highways (see below and page 34 about Written Comments).

VDOT’S OFFICIAL WRITTEN COMMENTS ON THE REZONING TRAFFIC IMPACT ANALYSIS. The District’s comments on the proposed rezoning shall be based upon the comprehensive plan, regulations and guidelines of the Department, engineering and design considerations, adopted regional or statewide plans, and short and long term traffic impacts on and off site.

The Area Land Use Engineer will submit VDOT’s official comments on the rezoning traffic impact analysis to the locality. The comments include:

  • A transmittal letter (a sample letter is presented at the end of this document) and
  • A written report (see page 34) containing the results of VDOT’s evaluation of the traffic impact analysis prepared for the rezoning proposal.
  • A copy of the traffic impact analysis study will be attached to the comments.

NOTE: Key findings in the written report may be included within the body of the letter.

LOCALITY MAY TAKE ACTION IF DEADLINES ARE NOT MET. If VDOT’s official comments are not received within the above deadlines, the locality may choose to take action on the rezoning application. Again, the intent of the regulations is that VDOT’s review does not lengthen the local rezoning process.

LOCALITY TO INCLUDE VDOT'S COMMENTS IN THEIR OFFICIAL RECORD. The regulations (24VAC30-155-40.C, page 37) specify that the local government include VDOT’s official comments in the locality’s official public record on the rezoning application.

  • The local government can do so by placing VDOT’s official comments (transmittal letter and written report) and the traffic impact study in the rezoning case file and by referencing this information in the locality’s staff report on the rezoning proposal.
  • The report’s key findings and comments also should be included in the minutes of the Planning Commission and the governing body’s public hearings on the rezoning.

VDOT TO MAKE OFFICIAL COMMENTS AVAILABLE TO THE PUBLIC. VDOT must make its written comments available to the public. This can be accomplished by posting them on external LandTrack on the VDOT website (see page 77), providing a copy for public review at the locality’s planning office, and/or making a presentation to the locality at a public meeting.

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Written Report and Official Comments on the Rezoning Traffic Impact Analysis VDOT’s written report will summarize the key findings of the traffic impact analysis study. The report shall include comments on the accuracy of the methodologies, assumptions and conclusions presented in the traffic impact analysis.

The report may offer comments concerning transportation improvements that are recommended in the traffic impact analysis to mitigate any potential impacts caused by the proposed development on state highways and may offer additional recommendations to address such impacts.

The VDOT’s Access Management Regulations, 24VAC30-73-120, require VDOT to include comments as part of the TIA review on the development’s compliance with the access management requirements such as: the spacing (separation) of entrances, intersections and traffic signals; vehicular/pedestrian circulation between adjoining properties; sharing of entrances; and limiting entrance turning movements.

VDOT will advise the locality and the developer about other VDOT regulations that may apply as the development moves through other stages of the land development process and what changes may be needed to assure compliance.

Streets within the development that are planned for state maintenance will need to meet the Secondary Street Acceptance Requirements, including street connectivity rules and the Subdivision Street Design Guidelines, Appendix B1 in the Road Design Manual. The Land Use Permit Regulations apply to any work in the right-of-way including utilities, drainage, etc.

The above regulations and standards can be found on VDOT’s website under “Transportation and Land Use.”

Finally, if other travel modes such as bicycle, pedestrian, railway, and transit facilities either exist, are planned, or have a significant potential for use in the vicinity of the proposed development, VDOT’s report must provide recommendations for improvements that will facilitate their use. The locality’s transportation plan may provide guidance in this regard.

It is important to remember that VDOT’s report on rezoning traffic impact studies will help localities take advantage of the opportunities available during the rezoning process to resolve transportation issues that are not available later in the land development process.

NOVA District Plan Review: Minor Arterial (or Above) Impacts

§15.2-2222.1 of the Code requires NOVA District to specify by name and location any transportation facility having a functional classification of minor arterial or higher for which an increase in traffic volume is expected to exceed the capacity of such facility as a result of the proposed zoning submitted under the Traffic Impact Analysis Regulations. A table listing such facilities will be included as part of the comments presented to the locality and the Northern Virginia Transportation Authority and posted on the LandTrack public site.

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Rezoning Package Checklist* Traffic Impact Analysis Regulations: 24VAC30-155-40.B □ A COVER SHEET containing: □ Contact Information for the □ Locality, □ Developer (or owner), if applicable; □ Site Information □ Rezoning location, □ Highways adjacent to the site, □ Parcel number or numbers; □ Proposal Summary with the □ Development’s name, □ Size (acreage), □ Proposed zoning; □ Proposed types of land uses, including maximum number of lots or maximum business square feet, and □ A Statement regarding the proposal’s compliance with the comprehensive plan.

□ A LOCAL TRAFFIC IMPACT ANALYSIS OR, IF LOCAL REQUIREMENTS

FOR TRAFFIC STUDIES HAVE NOT BEEN CERTIFIED BY VDOT, A VDOT

TRAFFIC IMPACT STATEMENT. □ A CONCEPT PLAN of the proposed development. □ ANY PROFFERED CONDITIONS submitted by the applicant. □ FEES ­ □ For a locality or other public agency initiated proposal – No fee charged. □ For the initial or second review of a rezoning proposal, a single fee for both reviews will be determined by the number of vehicle trips generated per peak hour, as follows: □ Low Volume Road (24VAC30-155-40 A 1 c). - $250 □ All other submissions - $1,000 □ For a third or subsequent submission of a rezoning proposal that is requested by VDOT on the basis of the failure of the applicant to address deficiencies previously identified by VDOT, the fee is equal to the initial fee paid.

  • One paper copy and one electronic copy to be submitted.

This checklist is available on the VDOT Traffic Impact Analysis Regulations website in a MS Word editable format.

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Small Area Plan Rezoning Package Checklist* Traffic Impact Analysis Regulations: 24VAC30-155-40.C □ A COVER SHEET containing: □ Contact Information for the □ Locality, □ Developer (or owner), if applicable; □ Site Information □ Rezoning location, □ Highways adjacent to the site, □ Parcel number or numbers; □ Proposal Summary with the □ Development’s name, □ Size (acreage), □ Proposed zoning, and □ Proposed types of land uses, including maximum number of lots or maximum business square feet. □ A VDOT TRAFFIC IMPACT ANALYSIS STUDY prepared according to

24VAC30-155-60.

□ A LETTER THAT INCLUDES STATEMENTS CERTIFYING THAT: □ The assumptions made in the traffic impact study prepared for the small area plan remain generally valid; □ The rezoning proposal is in substantial conformance with the adopted small area plan. (A rezoning can have a deviation in density of 10 percent or less and remain in substantial conformance with the small area plan.); □ The character and volume of the trip generation by the proposed uses are similar to those proposed by the small area plan; and □ All other assumptions made in the traffic impact study prepared for the small area plan remain generally valid. □ ANY PROFFERED CONDITIONS submitted by the applicant. □ FEES - None

  • One paper copy and one electronic copy are to be submitted.

This checklist is available on the VDOT Traffic Impact Analysis Regulations website in a MS Word editable format.

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REGULATIONS

24VAC30-155-40. Rezoning.

A. Proposal submittal. The locality shall submit a package to VDOT within 10 business days of receipt of a complete application for a rezoning proposal if the proposal substantially affects transportation on state-controlled highways. All trip generation calculations used for the purposes of determining if a proposal meets the criteria shall be based upon the rates or equations published in the Institute of Transportation Engineers Trip Generation, 8th Edition, 2008, and shall not be reduced through internal capture rates. For redevelopment sites, trips currently generated by existing development that will be removed may be deducted from the total site trips that are generated by the proposed land use. However, no submission shall be required under this section if the rezoning proposal consists of no changes in allowable land use. Furthermore, no submission shall be required if the rezoning proposal results in lower maximum daily trip generation and no increase in maximum trip generation for AM Peak Hour of the adjacent street, PM Peak Hour of the adjacent street, and Weekend Peak Hour when compared to the hourly trip generation of land uses allowed by right under the current zoning, excepting governmental uses such as schools and libraries.

For the purposes of this section, a rezoning proposal shall substantially affect transportation on state-controlled highways if it meets or exceeds one or more of the following trip generation criteria.

  1. Within a jurisdiction in which VDOT has maintenance responsibility for the secondary highway system, if the proposal generates more than 5,000 vehicle trips per day at the site’s connection to a state-controlled highway. For a site that does not have an entrance onto a state-controlled highway, the site’s connection is assumed to be wherever the road network that the site connects with attaches to a state-controlled highway. In cases where the site has multiple entrances to highways, volumes on all entrances shall be combined for the purposes of this determination; or

  2. Within a jurisdiction in which VDOT does not have maintenance responsibility for the local highway system, if the proposal generates more than 5,000 vehicle trips per day and whose nearest property line is within 3,000 feet, measured along public roads or streets, of a connection to a state-controlled highway; or

  3. The proposal for residential rezoning generates more than 400 daily vehicle trips on a state-controlled highway, and, once the site generated trips are distributed to the receiving highway, the proposal’s vehicle trips on the highway exceed the daily traffic volume such highway presently carries. For the purposes of determining whether a proposal must be submitted to VDOT, the traffic carried on the state-controlled highway shall be assumed to be the most recently published amount measured in the last traffic count conducted by VDOT or the locality on that highway. In cases where the site has access to multiple highways, each receiving highway shall be evaluated individually for the purposes of this determination.

B. Required proposal elements. The package submitted by the locality to VDOT shall contain sufficient information and data so that VDOT may determine the location of the rezoning, its size, its effect on state-controlled highways, and methodology and assumptions used in the analysis of the effect. Submittal of an incomplete package shall be considered deficient in meeting the submission requirements of § 15.2-2222.1 of the Code of Virginia and shall be returned to the locality and the applicant, if applicable, identifying the deficiencies noted. A package submitted to VDOT shall consist of one paper copy and one electronic copy and include the following items:

1. A cover sheet containing

a. Contact information for locality and developer (or owner), if applicable;

b. Rezoning location, highways adjacent to site, and parcel number or numbers;

c. Proposal summary with development name, size, and proposed zoning; and

d. A statement regarding the proposal’s compliance with the comprehensive plan.

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  1. A local traffic impact statement or, if the local requirements for traffic statements contained in ordinances or policies have not been certified by VDOT, a VDOT traffic impact statement.

  2. A concept plan of the proposed development.

C. Rezoning proposals associated with small area plans. 1. A traffic impact statement prepared for a small area plan pursuant to 24VAC30-155-30 C, or initiated for a small area plan at the request of a locality prior to February 4, 2010, and that contains substantially the same elements as those of a VDOT traffic impact statement, shall serve as the traffic impact statement required pursuant to this section for any rezoning proposals developed in furtherance of the adopted small area plan and related comprehensive plan amendments provided the following:

a. That the small area plan package is accompanied by a cover letter that includes a statement that the assumptions made in the traffic impact statement prepared for the small area plan remain generally valid.

b. That the following are accurate

(1) The rezoning proposal is in substantial conformance with the adopted small area plan. A deviation in density must be greater than 10% to be considered no longer in substantial conformance with the adopted small area plan.

(2) The character and volume of the trip generation by the proposed uses are similar to those proposed by the small area plan.

(3) All other assumptions made in the traffic impact statement prepared for the small area plan remain generally valid.

  1. In instances where the assumptions made in the traffic impact statement prepared for the small area plan are no longer valid, the traffic impact statement may be updated. If the traffic impact statement is updated, it shall serve as the traffic impact statement required pursuant to this section for any rezoning proposals developed in furtherance of the adopted small area plan and related comprehensive plan amendments.

D. Review process. After formal submission of a rezoning proposal for review, VDOT may, pursuant to § 15.2-2222.1 of the Code of Virginia, request a meeting with the locality and rezoning applicant to discuss potential modifications to the proposal to address any concerns or deficiencies. The request must be made within 45 days of receipt by VDOT of the proposal. VDOT must provide written comments to the locality and the rezoning applicant within 45 days of VDOT’s receipt of the proposal if no meeting is scheduled or has been requested or within 120 days of the receipt of the proposal otherwise. VDOT shall not reject or require resubmission, if the package has been prepared in accordance with best professional practice and substantially documents the expected impacts of the proposal. If VDOT determines that (i) the package has not been prepared in accordance with best professional practice, (ii) the package fails to substantially document the expected impacts of the proposal, or (iii) the submission is substantially incomplete, VDOT may request of the applicant, in writing or at the above mentioned meeting, modifications to address concerns. If the concerns are not adequately addressed within 30 days of the transmission of such concerns, VDOT may require resubmission. VDOT shall conduct its review and provide official comments to the locality for inclusion in the official public record. The Department’s comments on the proposed rezoning shall be based upon the comprehensive plan, regulations and guidelines of the Department, engineering and design considerations, adopted regional or statewide plans, and short and long term traffic impacts on and off site. VDOT shall also make such comments available to the public. Nothing in this section shall prohibit a locality from acting on a rezoning proposal if VDOT’s comments on the submission have not been received within the timelines in this section.

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24VAC30-155-70. Departmental analysis.

After concluding its review of a proposed comprehensive plan or transportation plan or plan amendment, or rezoning, VDOT shall provide the locality and applicant, if applicable, with a written report detailing its analysis and when appropriate recommending transportation improvements to mitigate any potential adverse impacts on state-controlled highways. VDOT shall provide recommendations for facilitating other modes of transportation including but not limited to transit, bus, bicycle and pedestrian facilities or accommodations where such facilities or accommodations are planned or exist, or where such facilities have a significant potential for use. In addition, VDOT shall provide the locality and the applicant, if applicable, with preliminary recommendations regarding compliance with other VDOT regulations such as the Secondary Street Acceptance Requirements (24VAC30-92), the Access Management Regulations: Principal Arterials (24VAC30-72), and the Access Management Regulations: Minor Arterials, Collectors, and Local Streets (24VAC30-73).

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TRAFFIC IMPACT ANALYSIS

Introduction The impact of a proposed development on transportation system performance, whether it is small or large, depends on the number of trips generated by the proposed development, the location of the connection(s) to the transportation system, and the routes taken to and from the site.

This impact is quantified by preparing a traffic impact analysis study, called a traffic impact statement in the regulations and defined in the Definitions section 24VAC30-155-10 as “the document prepared in accordance with best professional practice and standards that assess the impact of a proposed development on the transportation system and recommends improvements to lessen or negate those impacts.”

Traffic impact analyses involve the evaluation of anticipated roadway conditions with and without the proposed development and recommend transportation improvements to offset both the impacts of the increase in future traffic volumes and the changes in traffic operations due to the development. The traffic impact analysis assists public officials and developers to balance the interrelationships between efficient traffic movements with necessary land access.

The complexities of a traffic impact analysis vary and depend upon the complexity of the proposed development, trip generation of the proposal, and the existing and future transportation network.

VDOT Regulations Involving Traffic Analysis It is important to differentiate between the Traffic Impact Analysis Regulation’s traffic impact statement (traffic impact analysis) and entrance permit traffic analysis specified in Access Management Regulations 24VAC-30-73.

The Traffic Impact Analysis Regulations provide rules and procedures for VDOT to evaluate traffic impact analyses for rezoning proposals that will substantially affect state-controlled highways (see the Table on page 24).

The traffic impact analysis study along with VDOT transportation related comments or recommendations will provide localities with reasonably accurate and reliable information that they can use to evaluate how rezoning proposals will affect the efficient operation of and public safety on state highways. By preparing a traffic impact analysis early in the local land development review process, when the rezoning proposal can be modified, any adverse impacts on the transportation network will be known early in the planning for a project.

On the other hand, the Access Management Regulations may require a detailed traffic analysis to be provided with an entrance permit application in order to document the effect of the proposed entrance and its related traffic on the operation of the highway to be accessed. Generally, the developer will file for the permit when ready to proceed with the construction of the development.

VDOT may require the applicant to prepare a traffic analysis to demonstrate a specific Level of Service for roadway segments and intersections along a site’s frontage or to address a specific operational concern. The goal is to make sure the proposed entrance does not cause undue

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interference with traffic movements, disruption to the fronting road, or cause safety problems.

Improvements to mitigate such conditions may be required by VDOT as a condition of the permit.

It is important to point out that a traffic analysis may be required by VDOT to review and approve an entrance permit even if a traffic impact analysis was not required under the TIA Regulations and there also will be cases where a study was submitted under the Regulations but additional traffic analysis is necessary to approve an entrance permit. For example, specific entrance locations and their design (radii, turn lane lengths, etc.) may not be known during the rezoning but will need to be addressed prior to the issuance of an entrance permit.

There will be cases, though, in which the TIA Regulations traffic impact analysis information is sufficiently detailed and up-to-date so that it also can be used for the traffic analysis needed for the issuance of an entrance permit pursuant to the Access Management Regulations.

Preparers and reviewers of traffic impact analyses should keep in mind that the data generated can be used to meet other needs that go beyond traditional transportation concerns. For example, traffic volume, composition, and speed information can be utilized in making recommendations regarding the placement and design of sound barriers.

Submittal of a Local Traffic Impact Statement The regulations now allow the submittal of a VDOT certified local traffic impact statement as part of the rezoning package required by the Regulations. A local traffic impact statement (traffic impact analysis study) is defined in the Definitions chapter on page 5 as

A traffic impact statement accepted or prepared by a locality pursuant to its land development approval process and whose requirements regarding content are set out in the locality’s ordinances or published policies, if such ordinances or policies have been reviewed and certified by VDOT as requiring acceptable standards of preparation and providing sufficient information to determine the current and future impacts of development proposals.

An applicant for a rezoning under the TIA Regulations can submit a traffic impact analysis study prepared according to locality requirements that are certified by VDOT. A developer, then, will not have to prepare a study that meets the requirements of the Regulations (a VDOT study) and one required by a locality. Once certified by VDOT, the local study can serve both purposes.

Local government staff can submit their traffic impact analysis requirements to the Area Land Use Engineer to determine if it meets VDOT’s certification standards. Basic criteria for the local requirements include: (i) they are in writing, (ii) are either within a local ordinance or are published - such as on the local government website, and (iii) will produce a study that provides sufficient information to determine the current and future impact of the rezoning proposal.

A rezoning applicant can check with the Area Land Use Engineer to see if a local or VDOT traffic impact statement needs to be submitted under the Regulations. If the locality has not established written traffic impact study criteria or they have not been certified by VDOT, then the study will be prepared according to the methodology and assumptions in the Regulations, as described later in this Chapter.

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Overview of the Requirements/Procedures for Preparing a VDOT Traffic Impact Analysis The Traffic Impact Analysis Regulations were developed to ensure that reliable and accurate information is made available to local decision makers and citizens. Traffic impact analysis findings can be used by citizens, the Planning Department, Planning Commission, and governing body during the decision-making process regarding rezoning proposals.

The regulations also provide the developer/applicant with a standard framework of assumptions, methodologies and scope of review for VDOT traffic impact analyses. 24VAC30-155-60 on p. 59 states that a VDOT traffic impact statement for a rezoning: assesses the impact of a proposed development on the transportation system and recommends improvements to lessen or negate those impacts. It shall (i) identify any traffic issues associated with access from the site to the existing transportation network, (ii) outline solutions to potential problems, (iii) address the sufficiency of the future transportation network, and (iv) present improvements to be incorporated into the proposed development.

The rezoning applicant is responsible for the assessment of the traffic impacts associated with a proposed development. The applicant is also responsible for all data collection efforts to prepare a traffic impact analysis. The local jurisdiction and VDOT serve in a review capacity.

The regulations establish the Required Elements (p. 46) to be included in a VDOT traffic impact analysis study (the components of the study, e.g. background information, analysis of existing conditions,) and the Methodology and Standard Assumptions (summarized on p. 51) for conducting the analysis (e.g. data collection, use of rates/equations for trip generation, level of service calculation). VDOT may approve changes to the methodology/standard assumptions based on discussion at a scope of work meeting when sufficient evidence is offered to justify the change.

Additional elements such as a speed study or crash history data near the site may be needed in the traffic impact analysis depending on the characteristics of a development’s site. Special criteria for a “low volume road submission” are discussed in the section below.

Upon receipt of a VDOT or local traffic impact analysis for a rezoning application, VDOT will evaluate the methodologies, assumptions and conclusions of the study. VDOT will then provide the locality with a written report that:

  • will summarize the key findings of the traffic impact analysis study,
  • will offer comments on its accuracy,
  • may include comments concerning transportation improvements that are recommended to mitigate potential impacts to state highways caused by the proposed development.

If VDOT determines the VDOT or local traffic impact statement

  • has not been prepared in accordance with best professional practice,
  • fails to substantially document the expected impacts of the proposal, or
  • is substantially incomplete

VDOT may request the applicant to make modifications to it to address concerns. If the concerns are not adequately addressed within 30 days, VDOT may require its resubmission and return it to the locality and the applicant with the deficiencies identified (see pages 31, 32, and 24VAC30-155-40 D on page 37). Please note that this means that VDOT must provide its comments on such inadequate studies more than 30 days prior to the statutory deadline for VDOT comments.

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Alternative Trip Generation Methodology for Mixed Use Development

VDOT has selected an alternative non-ITE trip generation methodology that is automatically approved by VDOT for use when a locality conducts a single traffic impact analysis for all parcels within a small area plan adopted as part of their comprehensive plan. This traffic impact analysis study can then be used for a rezoning proposed for a parcel located within the boundaries of the small area plan (see the Comprehensive Plan, Rezoning chapters).

It can also be applied when analyzing the trip generation for a mixed use development rezoning proposal when approved by VDOT at a scope of work meeting.

The alternate methodology or rate can be modified based upon local factors, if agreed to at a scope of work meeting (see the Scope of Work section, Rezoning Chapter on page 28).

The methodology, Mixed Use Trip Generation Model V 4.0, considers the trip reduction for mixed use development. It was developed by the San Diego Association of Governments (SANDAG), Fehr & Peers (consultants), and the U.S. EPA. The spreadsheet-based trip generation and reduction tool is well documented on the first page of the first sheet of the workbook and throughout the input sheet. The spreadsheet is available at on the TIA Regulations website.

The U.S. EPA website http://www.epa.gov/smartgrowth/mxd_tripgeneration.html offers background information and a variety of resources on mixed use development and its trip generation. A report on the Mixed Use Trip Generation Model is presented at http://www.sandag.org/uploads/publicationid/publicationid_1500_11604.pdf

Low Volume Road Submission The expectations for a VDOT traffic impact analysis study can be reduced for a proposed rezoning for a residential development with relatively low trip generation characteristics (more than 400 vehicle trips per day) and once the site generated trips are distributed to the receiving highway, the proposal’s vehicle trips exceed the daily traffic volume that the highway presently carries – a “low volume road submission” (24VAC30-155-40 A.1.c, pp. 26 and 37).

Such uses generally do not produce sufficient traffic to create traffic congestion problems and do not affect the highway network for a significant distance from the site. Instead the focus of the analysis is on the road fronting the development and the nearest intersection and how the proposed development can be accommodated to assure the safe operation of the highway.

The VDOT traffic impact analysis, therefore, can be less complicated. As a result, the VDOT traffic impact analysis study for such submissions will only need to address the following elements rather than everything in the “Required Elements” table on page 45:

 The elements contained in the Background Information portion of the Required Elements table, except the geographic scope/limits of the study area is limited to the highway fronting the proposed development and the closest intersection with a highway that has an average daily traffic volume higher than the fronting highway.

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 A safety inventory study of the roadway segment(s) between the site entrance to the nearest intersections with the higher traffic volume highways, to include such elements as:

  • Speed limit - Existing warning signs
  • Pavement and shoulder type - Pavement and shoulder width
  • Intersection sight distances - Horizontal and vertical alignments
  • Safe horizontal curve speeds - Sight distance
  • Distances to nearby existing entrances - Crash history in proximity to the site  Daily & peak hour traffic volumes presented on diagrams, with counts in an appendix:
  • For the fronting highway at the site,
  • At the highway’s intersections with the higher volume highway, and
  • For the higher volume highways at their intersection with the fronting highway.  All relevant elements in the Trip Generation portion of the Required Elements table.  Projected daily and peak hour of the generator traffic volumes assuming build-out of the proposal, presented on diagrams for the receiving highway:
  • At the site,
  • At the highway’s intersection with the higher volume highways, and
  • For the higher volume highways at their intersections with the receiving highway.  Delay and level of service analysis for the intersections of the receiving highway with the higher volume highways.  A comparison of the existing geometrics of the fronting highway under proposed build-out traffic conditions with the geometric standards, based upon functional classification and volume, contained in VDOT’s Road Design Manual.

Rezoning Consistent with Locality’s Comprehensive Plan

§15.2-2222.1(B) of the Code was amended in 2011 to require VDOT’s review of a rezoning proposal to be more limited in scope if the rezoning is consistent with a locality’s comprehensive plan that has been previously reviewed pursuant to the regulations. The regulations were changed effective December 31, 2011 to reduce the scope of traffic impact analysis study criteria for such rezoning proposals.

In this case, a VDOT traffic impact statement may be prepared in accordance with the “Less than 500 Site Generated Peak Hour Trips” category in the “Required Elements” table on page 45, regardless of actual projected trip generation, provided that:

 The rezoning proposal is in conformance with a locality’s adopted comprehensive plan that was reviewed in accordance with 24VAC30-155-30; and

 The review of the comprehensive plan included the submission to VDOT of a technical evaluation of the traffic impacts for anticipated development based on the future land use policies and map.

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Overview of the Required Elements of a VDOT Traffic Impact Analysis

A VDOT traffic impact analysis shall include at a minimum the elements shown in the Required Elements table presented on the next page with the data and analysis organized and presented in a manner acceptable to VDOT. This table is included in the regulations: 24VAC30-155-60.C.

However, the required elements and scope of a VDOT traffic impact analysis are dependent upon the scale and potential impact of the specific development proposal as determined by VDOT in its sole discretion.

For example, under “Analysis of Existing Conditions”, the characteristics of a site may lead VDOT to request that a speed study be conducted, or sight distance or crash history information be provided in the traffic impact analysis.

VDOT staff also has the discretion to add to or change the order of the elements as presented in the required elements table; provided that the analysis includes the information specified in the table. For example:

  • Additional analyses may be necessary for queuing, weaving, or sight distance.
  • The “Background Information” portion of the analysis also could identify the existing access to the site including any stub roads or other opportunities for inter-parcel connection.
  • The “Analysis of Future Conditions with Development” element requirement to forecast daily and peak hour of the generator traffic volumes on the highway network could be expanded to apply to each lane group.
  • When the type of development indicates a significant potential for walking, bike or transit trips on or off site, the VDOT traffic impact analysis shall estimate multimodal trips.

The site generated peak hour trips in the Required Elements table shall be based upon the gross vehicle trip generation of the site, less internal capture and mode split reductions, if applicable. All distances in the table are measured along roads or streets.

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REQUIRED ELEMENTS OF A TRAFFIC IMPACT ANALYSIS 24VAC30-155-60. C. 1. (excluding the footnotes)

Site Generated Peak Hour Trips Item Less than 500 500 to 999 1,000 or more

Background Information

List of all non­existent transportation Required Required Required improvements assumed in the analysis

Map of site location, description of the parcel, general terrain features, and Required Required Required location within the jurisdiction and region.

Within 2,000 feet of site Within 2,000 feet of site and any roadway on and any roadway on which which 50 or more of the To be determined by Description of geographic scope / 10% or more of the new new peak hour vehicle VDOT in consultation limits of study area. vehicle trips generated by trips generated by the with the locality the proposal are distributed proposal are distributed ­ – not to exceed two miles. not to exceed one mile.

Plan at an engineering scale of the Required Required Required existing and proposed site uses.

Description and map or diagram of Required Required Required nearby uses, including parcel zoning.

Description and map or diagram of Required Required Required existing roadways.

Description and map or diagram of programmed improvements to roadways, intersections, and other Required Required Required transportation facilities within the study area.

Analysis of Existing Conditions

Collected daily and peak hour of the generator traffic volumes, tabulated Required Required Required and presented on diagrams with counts provided in an appendix.

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Site Generated Peak Hour Trips Item Less than 500 500 to 999 1,000 or more

Analyses for intersections and roadways identified by VDOT.

Delay and Level of Service (LOS) Required Required Required are tabulated and LOS is presented on diagrams for each lane group.

When the type of development proposed would indicate significant potential for walking, bike or transit To be determined by trips either on- or off-site, analyses of Within 2,000 feet Within 2,000 feet VDOT in consultation pedestrian and bicycle facilities, and of site of site with the locality • bus route or routes and segment or segments, tabulated and presented on diagrams, if facilities or routes exist.

Speed Study • If requested by VDOT If requested by VDOT If requested by VDOT

Crash history near site • If requested by VDOT If requested by VDOT If requested by VDOT

Sight distance • If requested by VDOT If requested by VDOT If requested by VDOT

Analysis of Future Conditions Without Development

Description of and justification for the method and assumptions used to Required Required Required forecast future traffic volumes.

Analyses for intersections and roadways as identified by VDOT.

Delay and Level of Service (LOS) are Required Required Required tabulated and LOS is presented on diagrams for each lane group.

When the type of development proposed would indicate significant potential for walking, bike or transit To be determined by trips either on- or off-site, analyses VDOT in consultation of pedestrian and bicycle facilities, Within 2,000 feet Within 2,000 feet with the locality at the and bus route or routes and segment of site of site scope of work or segments tabulated and presented meeting • on diagrams, if facilities or routes exist or are planned.

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Site Generated Peak Hour Trips Item Less than 500 500 to 999 1,000 or more

Trip Generation

Site trip generation, with tabulated data, broken out by analysis year for multi-phase developments, and Required Required Required including justification for deviations from ITE rates, if appropriate.

Description and justification of internal capture reductions for mixed use developments and pass- Required Required Required by trip reductions, if appropriate, including table of calculations used.

Site Traffic Distribution and Assignment

Description of methodology used to distribute trips, with supporting data. Required Required Required

Description of the direction of approach for site generated traffic and diagrams showing the traffic Required Required Required assignment to the road network serving the site for the appropriate time periods.

Analysis of Future Conditions with Development •

Future background + At a minimum the site generated traffic, at future background + Forecast daily and peak hour of the Future background + each expected phase, at site generated traffic, at generator traffic volumes on the site generated traffic, build-out, and six years each expected phase, at highway network in the study area, at each expected after build-out, which build-out, and six years site entrances and internal phase and at build-out may be extended or after build-out; may be roadways, tabulated and presented or six years after start, reduced by VDOT in extended by VDOT in on diagrams. whichever is later. consultation with the consultation with the locality. locality.

Analyses for intersections and roadways identified by VDOT.

Delay and Level of Service (LOS) are Required Required Required tabulated and LOS presented on diagrams for each lane group.

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Site Generated Peak Hour Trips Item Less than 500 500 to 999 1,000 or more When the type of development proposed would indicate significant potential for walking, bike or transit To be determined by trips either on- or off-site, analyses of Within 2,000 feet Within 2,000 feet VDOT in consultation pedestrian and bicycle facilities, and bus of site of site routeor routesand segment or segments with the locality • tabulated and presented on diagrams, if facilities or routes exist or are planned.

Recommended Improvements

Description and diagram of the location, nature, and extent of proposed improvements, with Required Required Required preliminary cost estimates as available from VDOT.

Description of methodology used to calculate the effects of travel demand Required if TDM Required if TDM Required if TDM management (TDM) measures, if proposed proposed proposed proposed, with supporting data.

Analyses for all proposed and modified intersections in the study area under the forecast and site traffic. Delay, and Level of Service (LOS) are tabulated and LOS presented on diagrams for each lane group. For intersections expected to Required Required Required be signalized, MUTCD Signal Warrant analysis or ITE Manual for Traffic Signal Design, as determined by VDOT, presented in tabular form.

When the type of development proposed would indicate significant potential for walking, bike or transit trips either on- or off-site, analyses To be determined by Within 2,000 feet Within 2,000 feet of pedestrian and bicycle facilities, VDOT in consultation of site of site and bus route or routes and segment with the locality • or segments tabulated and presented on diagrams, if facilities or routes exist or are planned.

Conclusions

Clear, concise description of the Required Required Required study findings.

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FOOTNOTES (The footnotes are not part of the above 24VAC30-155-60.C.1. Regulation)

  • Analysis of pedestrian, bicycle, and/or transit facilities should be provided only in instances where such services are present in the area or are planned for the area, or if the development is of a type that can be expected to generate significant trips of the appropriate type. Generally speaking, isolated developments in rural or low density suburban areas will not have a need for pedestrian, bicycle, or transit analysis.

  • Speed studies may be necessary when there is reason to believe that operational or geometric conditions on a roadway result in speeds that vary considerably from the posted speed limits. In those situations, they should be requested when entrance construction is expected to occur in the short term (within a few years) and without a complete rebuilding of the roadway at the location of concern, as changes in local conditions can be expected to have an impact on the road’s operating speed.

If a speed study is not requested under the TIA regulations, it may still be required at the land use (entrance) permit stage in order to address specific concerns.

  • Crash history data and analysis should be requested if a particular location affected by a development’s traffic is suspected to have a higher crash rate than similar locations in the region and the development’s traffic may contribute to the problem. Crash history should not be requested if there is a project to address the crash problem already planned and that will be completed by the time the development is expected to be generating traffic.

  • Sight distance information and measurement or calculation is necessary at the land use permit stage of development. Substandard sight distance at locations has resulted in the need for developers to rebuild roadways, conduct extensive grading operations, or relocate planned entrances. Therefore, while generally not necessary at the rezoning stage, providing this information as early in the development process as possible will help the developer avoid unnecessary costs.

  • Analysis of Future Conditions with Development. How far into the future projections are required for analysis is based on trip generation. For sites generating less than 500 VPH, at build-out or 6 years after start - whichever is later is used; for 500-999 VPH, 6 years after build-out; for 1000+ VPH, 6 years after build-out, but the time may be extended in consultation with the locality.

The base date for the projection will depend on the type of development. The base date for a commercial development is typically the opening date, which unless phased, is at full build-out on opening date. However, with a residential development the opening date and full build-out can produce very different traffic conditions. Existing conditions are the base, but require analysis of opening, each phase, and build-out.

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Summary of the Methodology and Standard Assumptions for a VDOT Traffic Impact Analysis

The methodology and assumptions are grouped into twelve (12) main categories. The 12 categories are summarized below along with certain guidelines for their application. Regulatory changes over the last several years are indicated in bold.

These categories are described in more detail in the Regulations, 24VAC30-155-60. D. “Methodology and Standard Assumptions” presented at the end of this Chapter (p. 59).

A VDOT traffic impact analysis shall be prepared according to the methodology and assumptions specified in the regulations, or as may be agreed upon by VDOT based upon the results of a scope of work meeting. Changes proposed by the preparer to the methodology and assumptions established by this regulation may be approved by VDOT based on the preparer submitting sufficient evidence to justify the change, e.g. characteristics of a similar project.

A traffic impact statement accepted or prepared by a locality pursuant to its land development approval process and whose requirements regarding content are set out in the locality’s ordinances or published policies can substitute for the VDOT TIA if the local requirements have been reviewed and certified by VDOT as requiring acceptable standards of preparation and providing sufficient information to determine the current and future impacts of development proposals.

1. DATA COLLECTION.

Preparers shall collect traffic data in accordance with the identified study area. The count data shall include at a minimum, weekday 24-hour counts, and directional turning movement counts during AM and PM peak times of the day.

For some land use types, variations from the standard collection times and methodology may be necessary. For example, traffic information for most areas should be collected during “average” months and days (usually in the fall or spring), but when dealing with a development that mostly generates summer trips, summer traffic counts should be used.

NOTE: AASHTO’s A Policy on Geometric Design of Highways requires design for the 30th highest annual hourly vehicle volume, not the average hourly volume.

2. TRIP GENERATION.

Trip generation estimates for a proposed development shall be prepared using the 8th Edition of the Institute of Transportation Engineers (ITE) Trip Generation publication, unless the VDOT reviewer agrees to the use of alternate trip generation rates based upon other editions of ITE Trip Generation, alternate published guides, or local trip generation studies. Rezoning proposals shall assume the highest vehicle trip generating use allowable under the proposed zoning classification.

In determining which trip generation process (equation or rate) may be used, the preparer shall follow the guidance in the appropriate edition of the Trip Generation Handbook – except rates may be utilized if the criteria for the use of regression equations are not met Or, if using the 2nd Edition of the Trip Generation Handbook, the instructions in subpart D.2 of 24VAC30-155­ 60.

If the following do not apply, a rate based upon the study of similar local sites should be considered:

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d. At least three data points exist; e. Standard deviation less than 110% of weighted average rate; and f. Weighted average rate falls within data cluster in plot.

VDOT has selected a non-ITE trip generation methodology (Mixed Use Trip Generation Model V 4.0) that is approved for the use in preparation of small area plan traffic impact statements. It can also be applied when analyzing the trip generation for a mixed use development rezoning proposal when approved by VDOT at a scope of work meeting (see page 43 for information on this Model). Such alternate methodology or rate can be modified based upon local factors if agreed to at a scoping meeting.

NOTE: The ITE land use type for a development should be carefully chosen to best reflect the nature of the development, especially when several similar land use types are available.

VDOT is authorized to allow the use of trip generation rates from publications in addition to the ITE Trip Generation publication (see page 73 about this publication).

The use of ITE Trip Generation codes that have a small sample size are discouraged.

If the Trip Generation database has an insufficient number of data points, the analyst should collect local data and establish a local rate. Some examples include:

  • ITE LU 030 Truck Terminal
  • ITE LU 151 Mini-Warehouse
  • ITE LU 251 Senior Adult Housing - Detached (aka Age Restricted)
  • ITE LU 252 Senior Adult Housing - Attached (aka Age Restricted)

Use of the ITE Senior Housing Trip Rate should be based on a proffered condition having been approved during the rezoning of the property establishing that a deed restriction will be recorded limiting occupancy of the residential dwelling units to “housing for older persons” as defined in the Virginia Fair Housing Law and that no persons under the age of 19 shall reside in such housing.

The ITE Shopping Center Trip Rate should not include out-parcel pad site uses (usually businesses). The trips generated by such uses should be added to the Shopping Center Trip Rate to determine the total.

ITE rates from other editions may be used for the TIA if agreed to in a scoping meeting or equivalent. 10th and 11th Edition Trip Generation and the 3rd Edition of the ITE Trip Generation Manual will tend to give results more closely aligned with expected trips generated, especially in urban settings, but can be expected to under predict trips fairly frequently for multi-family low-rise land use and under predict more frequently than 8th and 9th Editions for general office land use in a suburban or urban context, so care must be taken when agreeing to accept 10th or 11th Edition rates.

3. INTERNAL CAPTURE AND PASS-BY TRIPS.

Internal capture rates consider site trips “captured” within a mixed use development, recognizing that trips from one land use can access another land use within a site development without having to access the adjacent street system. For office with retail use – use the smaller of 5% office or retail trips generated.

Pass-by trip reductions consider site trips drawn from the existing traffic stream on an adjacent street, recognizing that trips drawn to a site would otherwise already traverse the adjacent street regardless of the existence of the site. The reduction applies only to volumes on adjacent streets,

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not to ingress or egress volumes at entrances serving the proposed site. Unless otherwise approved by VDOT, the pass-by rates utilized shall be those reported in Trip Generation Handbook.

"Various internal capture rates are listed in the Regulations, 24VAC30-155-60. D. “Methodology and Standard Assumptions” (see page 62) and can be used in combination to provide greater flexibility to more accurately determine internal trips that do not impact adjacent streets. For VDOT TIA studies associated with small area plans, internal capture can also be estimated based on the methodology presented in ITE Trip Generation Handbook, 3rd Edition and the “Mixed Use Trip Generation Model V 4.0” (see page 43)."

NOTE: The intent of this section is to provide conservative estimates of trip reductions—the rates used in specific studies can be adjusted based upon agreement in a scoping meeting or the results of supporting studies.

The capture figures are “by right” and additional reductions in internal capture and pass-by are allowed with sufficient justification. Alternative internal capture and travel demand management methodologies can be considered in the scope of work meeting.

While internal capture and pass-by rates exceeding the standards set out in the regulation may be used with appropriate documentation, care must be taken in the application of each of these, as inappropriate use can have a significant impact on the analysis. Studies used to justify altered rates must be confirmed to have been done in areas with economic, geographic, and social similarity to the locality with the proposed development.

4. TRIP DISTRIBUTION.

Trip distribution shall be in accordance with logical regional travel patterns as suggested by existing highway directional split and intersection movements or population and destination site distribution. It should recognize the effects of street connectivity.

If more detailed information is available from trip origin/destination studies, marketing studies, or regional planning models, this may be used with VDOT’s approval.

5. PLANNING HORIZON.

In general, the analysis years shall be related to (i) the opening date of the proposed development, (ii) build-out of major phases of a multi-year development, (iii) long-range transportation plans, and (iv) other significant transportation network changes.

6. BACKGROUND TRAFFIC GROWTH.

Where regional transportation planning models are not available, geometric growth (or compound growth), based upon historical growth rates, shall generally be used for determining future background traffic levels where extensive traffic-count history is available and capacity constraint is not appropriate. This growth rate replicates “natural growth” and is typical for projecting urban growth. Natural growth of traffic can be adjusted consistent with traffic forecasts associated with previously submitted local land development projects within the study area.

NOTE: Approved but not yet constructed developments in the vicinity of the site should be included in the background traffic calculation.

7. FUTURE CONDITIONS.

Future conditions shall include background traffic growth, which takes into account additional vehicle trips and infrastructure changes related to approved but not yet constructed projects.

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8. LEVEL OF SERVICE CALCULATION.

Highways. Level of Service (LOS) analysis of highways shall use the techniques described in the Highway Capacity Manual (HCM) which may be supplemented by other capacity or delay methodologies. The 2013 Quality/Level of Service Handbook (Florida DOT) offers an example of a supplemental methodology.

SIDRA traffic software should be used for roundabouts (see page 58). Unless actual on-ground conditions dictate otherwise, preparers should use the following defaults when utilizing the Highway Capacity Software (HCS) or other approved programs when evaluating roadway components: a. Terrain – choose the appropriate terrain type. Most of the state will be level or rolling, but some areas may qualify for consideration as mountainous.

b. Twelve-foot wide lanes.

c. No parking or bus activity unless field conditions include such activity or unless the locality has provided VDOT with a written statement of intent for the services to be provided.

d. Peak hour factor by approach – calculate from collected traffic counts (requires at least a peak hour count in 15-minute increments). However, the use of peak hour factors lower than 0. 85 shall only be allowed if based upon the average of more than three peak hour counts.

For future conditions analysis, unless specific site conditions can be expected to create extreme peak hour factors, default peak hour factors between 0.92 and 1.00 should be used. e. Heavy vehicle factor – calculate from collected traffic (classification) counts or obtain from VDOT count publications. For future conditions analysis with development traffic, the existing heavy vehicle factor should be adjusted based upon the nature of the traffic being generated by the development. f. Area type – non-center of business district.

Bicycle or Pedestrian. If significant potential for bicycle or pedestrian trips exists, the traffic impact analysis shall include current and future service level analyses at build-out for existing or proposed bicycle and pedestrian accommodations. Bicycle accommodations would include bike lanes, paved shoulders, and off-street bicycle paths. HCM or similar methodologies can be used in well-developed urban situations, while service level concepts would be more appropriate in areas that do not have an established and well-used pedestrian network.

Two good sources of information on bicycle and pedestrian level of service analysis are:

  • The Bicycle Compatibility Index: A Level of Service Implementation Manual (FHWA)
  • Bicycle and Pedestrian Level of Service Performance Measures and Standards for Congestions Management Systems Transportation Research Record 1538 (TRB)

Bus Service. Analysis shall be provided for all bus service with routes that have or will have a bus station or stop within 2,000 feet of the proposal. The study shall evaluate any potential increased demand for bus use due to the proposal and may consider the benefits of dedicated bus lanes for more frequent and rapid service.

24VAC30-155-60 C.8 of the regulations specifies use of the 2003 Transit Capacity and Quality of Service Manual, 2nd Edition for conducting the quality of service analysis for bus service.

This Manual was updated in 2013 resulting in the Transit Capacity and Quality of Service Manual 3rd Edition. It may be used for conducting the quality of service analysis for bus service if approved by VDOT at a scope of work meeting. It incorporates the results of new research on

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transit capacity and quality of service that has occurred in the ten years since the 2nd Edition was published including computational methods for evaluating a variety of performance measures related to transit operations and quality of service and presents a new multimodal transit level of service measure.

  • Transit Capacity and Quality of Service Manual 2nd Edition (TRB).
  • Transit Capacity and Quality of Service Manual 3rd Edition (TRB).

NOTE: Examples of standard assumptions for LOS at signalized intersections include (i) minimum “yellow/all red” of six seconds; (ii) minimum “green” time for a movement of six or seven seconds; and (iii) all left turns treated as “protected” left turns in the traffic impact analysis on roadways with speed limits of 45 mph or higher rather than as a permissive left turn.

However, these assumptions may vary by VDOT District.

9. TRIP REDUCTION AND PEDESTRIAN AND BICYCLE ACCOMMODATIONS.

The preparer of the traffic impact analysis may reduce the number of vehicle trips generated by the proposal in the traffic impact analysis for pedestrian and bicycle accommodations. A preparer may only used this trip reduction if the criteria summarized below (including the existence of appropriate accommodations, and required service level) are met.

This reduction shall be based upon the percentages allowed for in the regulation; provided that the total number of reductions for pedestrian and bicycle accommodations shall not exceed 500 vehicle trips per peak hour of the generator, unless approved by VDOT. For example, the trip limitation and methodology can be adjusted based upon the results of a scoping meeting.

Pedestrian Accommodations. Defined as a sidewalk, pedestrian path, or multi-use trail.

Where a pedestrian service level of A exists, vehicle trips per peak hour of the generator may be reduced by 4.0% for those portions of the development within a 2,000-foot radius of the connections between the proposed development and the adjoining network; a service level of B, a 3.0% reduction; a service level of C, a 1.5% reduction for the portion of the development noted above. These reductions may only be taken if:

a. Pedestrian facility coverage in a 2,000-foot radius of the connections to the proposed development is on or along at least 80% of the road network; b. The pedestrian facilities inside and outside the development provide reasonably direct access to traffic generators; and c. There are at least two of the 10 major land use classifications, as defined in ITE Trip Generation, within the 2,000-foot radius.

Bicycle Accommodations. Defined as (i) a street with a design speed of 25 MPH or less that carries 400 vehicles per day or less, (ii) on-street bike lanes, (iii) a pedestrian accommodation, (iv) paved shoulders of roadways that are not part of the designated traveled way for vehicles and are at least two feet wide, or (v) exclusive and shared off-street bicycle paths.

Where a bicycle service level of A exists, vehicle trips per day may be reduced by 3.0%; service level of B, a 2.0% reduction; service level of C, a 1.0% reduction. These reductions may only be taken if: a. Bicycle accommodations within a 2,000-foot radius of the connections to the proposed development exist on or along at least 80% of the road network; and b. The bicycle accommodations inside and outside the development provide reasonably direct access to traffic generators; and

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c. There are at least two of the 10 major land use classifications, as defined in ITE Trip Generation, within the 2,000-foot radius.

The trip reductions for traffic impact analysis prepared for small area plans (see the Comprehensive Plan chapter page 12) and for mixed use development rezoning proposals may be based on the non-ITE trip generation methodology approved by VDOT (see page 43) and are not subject to the limitations or requirements above.

NOTE: The regulations allow the trip reduction for pedestrian and bicycle accommodations within 2,000 feet of where the proposed pedestrian walkway or bicycle path will connect to existing pedestrian or bicycle facilities. A 2,000 ft radius is specified as a reasonable distance that pedestrians or bicyclists may travel from the development before deciding to use a vehicle.

It is on the perimeter of a development where pedestrian and bicycle activity can reduce the use of vehicles on state highways and therefore trip reductions should be awarded for accommodating and encouraging such activity. Pedestrian and bicycle accommodations within a larger development, though, do not reduce vehicular trips onto the highway and therefore will not reduce a development’s external trip generation.

VDOT has selected a non-ITE trip generation methodology that is approved for use in preparing small area plan traffic impact analysis as well as for mixed use development rezoning proposals based on the results of a scope of work meeting (see page 43 for more information). In the event that the VDOT selected alternative trip generation rates are used, care must be taken to not “double-count” vehicle trip reductions, since the studied location’s rates may already take these trip reductions into account.

Finally, in terms of bicycle accommodations trip reductions, the peak hour vehicle trip reduction due to bicycles would generally be the same as the daily trip reductions.

10. MODAL SPLIT AND TRIP REDUCTION.

If a proposal is located within 1/2 mile of a transit station, excluding bus stops and stations, as measured along roadways that have pedestrian accommodations or bicycle accommodations, reasonable vehicle trip reductions may be made with VDOT’s approval.

When a proposal is located more than 1/2 mile but less than two miles from a transit stop, excluding bus stops and stations, with bicycle parking accommodations, additional bicycle modal split reductions may be utilized. The analysis of capacity of the transit parking accommodations shall be included when such trip reductions are used.

If a proposal is located within 1/4 mile of a bus stop or station as measured along roadways that have pedestrian or bicycle accommodations to the bus stop or station where the segment and route service levels are C or higher, reasonable vehicle trip reductions may be made with VDOT’s approval.

Multi-modal facilities with parking more than 1/4 mile from the proposed development can be expected to divert vehicle trips (and shorten their length) rather than eliminate them.

Since ITE Trip Generation estimates the number of vehicle trips that can be expected, any other reductions in trips due to demand management measures must be carefully considered before being allowed and should be supported by studies of similar cases.

In the event that VDOT’s approved site-specific, non-ITE alternative trip generation rates are used, care must be taken to not “double-count” vehicle trip reductions, since the studied location’s rates

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may already take these trip reductions into account.

11. SIGNAL WARRANT ANALYSIS.

Traffic signal warrant analysis shall be performed in according to the procedures in the Manual on Uniform Traffic Control Devices or the ITE Traffic Signal Timing Manual).

NOTE: VDOT is the final authority regarding the installation of new traffic signals or the expansion of the number of approaches to existing signals. If a site meets the signal warrants it does not guarantee that the signal is appropriate or that VDOT should and will approve the installation of a traffic signal. See IIM-TE-387 for more information.

12. RECOMMENDED IMPROVEMENTS.

Recommendations made in the traffic impact analysis for improvements to transportation facilities shall comply with the geometric standards in VDOT’s Road Design Manual.

Crash History and Analysis If a study of the crash history is required, the roadway segments or intersections that are identified should be compared to the overall crash record with particular attention to severe crash density and rates. For longer segments, corridors should be divided into sections of similar configuration and environments (e.g., cross-section, terrain, adjacent land-use/driveway density).

A summary of the following types of crash cause-related data for the entire segment or by section based on knowledge of the area should be provided:

  • Collision Type
  • Driver Action
  • Driver Condition
  • Driver Visibility
  • Driver Sobriety
  • Surface and Light Conditions

The analysis should be a trial and error refinement of the most important causal factors.

Histograms or counts of the total crashes, deaths plus injuries, and collision types (summing to total crashes) should be presented for each section of the crash analysis.

Review of the predominant collision types plotted by section around the critical sections may reveal additional length and details to be considered for further investigation, so this should be kept in mind when defining the areas that need to be studied in the crash history portion of the TIA.

Traffic Analysis Software There are a number of software packages available for analyzing intersection treatments, modeling traffic flow, estimating accident probabilities, estimating the traffic carrying ability of roadways, and traffic signal optimization. The most recent version should be used.

HCM and/or HCS. The Highway Capacity Manual (HCM) is widely used in the transportation.

Highway Capacity Software (HCS) is the computerized implementation of the procedures contained in the HCM. HCS measures the capacity of freeways, rural and suburban highways, and urban streets. It is a tool for analyzing existing facilities and for the planning/design of improved or future facilities.

PC-WARRANTS is a comprehensive warrant analysis software tool supporting standards for both the 2000 and 2003 Manual on Uniform Traffic Control devices.

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SYNCHRO PLUS SIMTRAFFIC is a suite of software applications including Synchro, SimTraffic & Trip Generation. Synchro is a macroscopic analysis and optimization tool which supports both the HCM’s 2000 & 2010 methodologies and has a microscopic simulation tool for animation of arterial networks. TripGen is a tool that calculates trip generation based on ITE’s Trip Generation Manual, including pass-by and internal capture.

SIDRA INTERSECTION is an advanced macroscopic traffic evaluation tool used for the assessment of alternative intersection treatments in terms of capacity, level of service and a wide range of performance measures, including delay, queue length, stops for vehicles and pedestrians, fuel consumption, pollutant emissions, and operating cost. SIDRA INTERSECTION should only be used to analyze roundabouts not signalized intersections.

TSIS-CORSIM is a corridor-level, microscopic simulation model package; it applies interval-based simulation to describe traffic operations and includes NETSIM (for surface streets systems) and FRESIM (for freeway systems) models. Each vehicle is individually tracked through the network, and operational measures of effectiveness are collected on every vehicle.

The variation of each vehicle’s behavior is simulated to reflect real-world operations.

VISSIM is a micro-simulation tool that allows the user to display and visualize complex traffic flow in a clear graphical way. VISSIM is part of the PTV Vision Transport modeling suite.

This software provides a number of parameters that allow for close calibration to local conditions. Desired speed behavior, technical abilities of the type of vehicle, and signal control logics that reflect the local control methods are a few of the elements reproduced in a microscopic traffic simulator.

The VDOT Traffic Engineering Division’s Traffic Operations and Safety Analysis Manual (on the VDOT website) provides valuable information to assist in selecting the most appropriate traffic analysis software for projects of different sizes and scopes.

Software not included in the above list may still be acceptable for use in the preparation of traffic impact analyses if the VDOT reviewer has access to this software and agrees to its use.

Assistance regarding the acceptability or use of other software may be obtained from the:

  • Traffic Operations Engineering Division for traffic simulation/traffic signal analysis software,
  • Transportation and Mobility Planning Division for regional planning models or pedestrian and transit models, or
  • Transportation Research Council in Charlottesville for all types of models.

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REGULATIONS

24VAC30-155-60. VDOT Traffic Impact Statement.

A. A VDOT traffic impact statement (VTIS) assesses the impact of a proposed development on the transportation system and recommends improvements to lessen or negate those impacts. It shall (i) identify any traffic issues associated with access from the site to the existing transportation network, (ii) outline solutions to potential problems, (iii) address the sufficiency of the future transportation network, and (iv) present improvements to be incorporated into the proposed development.

If a VTIS is required, data collection shall be by the locality, developer, or owner, as determined by the locality and the locality shall prepare or have the developer or owner prepare the VTIS. If the locality prepares the VTIS it shall provide a copy of the complete VTIS to the applicant when one is provided to VDOT. The completed VTIS shall be submitted to VDOT.

The data and analysis contained in the VTIS shall be organized and presented in a manner acceptable to the department and consistent with this regulation.

B. Scope of work meeting.

  1. For proposals that generate less than 1,000 vehicle trips per peak hour of the generator representatives of the locality, the applicant, or the locality and the applicant may request a scope of work meeting with VDOT to discuss the required elements of a VTIS for any project and VDOT shall reply to such request within 30 days of its receipt of such a request and provide a date that is no more than 60 days from such receipt, time and location for such a scope of work meeting to both the locality and the applicant, if applicable.

  2. For proposals that generate 1,000 or more vehicle trips per peak hour of the generator representatives of the locality and applicant, if applicable, shall hold a scope of work meeting with VDOT to discuss the required elements of a VTIS. Once a locality or applicant has contacted VDOT regarding the scheduling of a scope of work meeting VDOT shall reply to both the locality and the applicant, if applicable, within 30 days of such contact and provide a date that is no more than 60 days from such contact, time and location for such a meeting.

At a scope of work meeting pursuant to this section, the locality, the applicant and VDOT shall review the elements, methodology and assumptions to be used in the preparation of the VTIS, and identify any other related local requirements adopted pursuant to law. The results of the initial scoping meeting may be adjusted in accordance with sound professional judgment and the requirements of this regulation if agreed upon by VDOT, the locality, and applicant, if applicable.

C. Required elements. The required elements and scope of a VTIS are dependent upon the scale and potential impact of the specific development proposal being addressed by the VTIS as determined by VDOT in its sole discretion.

  1. At a minimum, the VTIS shall include the elements shown in the table below. The site generated peak hour trips in the table below shall be based upon the gross vehicle trip generation of the site less internal capture and transit mode split reductions, if applicable. When the type of development proposed would indicate significant potential for walking, bike or transit trips either on- or off-site, the VTIS shall estimate multimodal trips. All distances in the table below shall be measured along roads or streets.

See the table on page 46: Required Elements of a Traffic Impact Analysis.

Notwithstanding the geographic scope noted above, the geographic scope of the study noted above may be reduced or enlarged based upon layout of the local transportation network, the

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geographical size of the development, and the traffic volume on the existing network, as determined by VDOT in consultation with the locality and the applicant, if applicable. Typically, analysis will be conducted for any roadway on which the additional trips generated by the proposal have a materially detrimental impact on traffic conditions. The analysis presented in the VTIS need not include all roadway and roadway segments located within the geographic scope of the study as determined by VDOT.

  1. A VTIS for a development proposal that only meets the low volume road submission criterion (24VAC 30-155-40 A 3) shall, at a minimum, consist of the following elements, unless otherwise directed by VDOT.

a. All elements contained in the Background Information portion of the above table, except the geographic scope/limits of study area is limited to the highway fronting the proposed development and the closest intersection, in each direction if applicable, of that highway with a highway that has an average daily traffic volume higher than the fronting highway.

b. A roadway safety inventory study of the roadway segment or segments between the site entrance to the nearest intersections with the higher traffic volume highways, to include such elements as, but not limited to, speed limit, existing warning signs, pavement and shoulder type, pavement and shoulder width, intersection sight distances, and safe horizontal curve speeds.

c. Daily and peak hour traffic volumes presented on diagrams, with counts provided in an appendix, for the fronting highway at the site, at the highway’s intersections with the higher volume highway, and for the higher volume highways at their intersection with the fronting highway.

d. All relevant elements contained in the Trip Generation portion of the above table.

e. Projected daily and peak hour of the generator traffic volumes assuming build-out of the proposal, presented on diagrams for the receiving highway at the site, at the highway’s intersection with the higher volume highways, and for the higher volume highways at their intersections with the receiving highway.

f. Delay and level of service analysis for the intersections of the receiving highway with the higher volume highways.

g. A comparison of the existing geometrics of the fronting highway under proposed build-out traffic conditions with the geometric standards, based upon functional classification and volume, contained in the Road Design Manual, 2011 (VDOT).

  1. A VTIS for a rezoning proposal may be prepared in accordance with the “Less than 500 Site Generated Peak Hour Trips” category in the table above, regardless of actual projected trip generation, provided that:

a. The rezoning proposal is in conformance with a locality’s adopted comprehensive plan that was reviewed in accordance with 24VAC30-155-30; and

b. The review of the comprehensive plan included the submission to VDOT of a technical evaluation of the traffic impacts for anticipated development based on the future land use policies and map.

D. Methodology and standard assumptions. A VTIS shall be prepared based upon methodology and assumptions noted below or as may be agreed upon by VDOT based upon the results of a scope of work meeting held by VDOT pursuant to this section.

  1. Data collection.

Preparers shall collect traffic data in accordance with the identified study area. The count data shall include at a minimum, weekday 24-hour counts, and directional turning movement counts during AM and PM peak times of the day. The 24-hour counts shall include vehicle classification

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counts. With approval of VDOT, data collected by the transportation professional preparer within the last 24 months may be used, likewise for data from the VDOT count program.

The preparer shall monitor traffic operations during data collection to ensure extraneous events such as vehicle crashes or special event traffic do not affect integrity of count data. Preparers collecting data for utilization in traffic impact studies shall normally avoid data collection during the following instances:

a. Holidays or times of the year when the traffic patterns are deemed to be unrepresentative of typical conditions, unless required by VDOT or the locality, or both.

b. Summer months if school or schools in proximity.

c. Fridays and weekends unless required by VDOT or the locality, or both.

d. Other times of the year contingent upon existing adjacent land use activities.

e. During times of inclement weather.

  1. Trip generation.

Estimates of trip generation by a proposed development shall be prepared using the Institute of Transportation Engineers Trip Generation, 8th Edition, 2008, unless VDOT agrees to allow the use of alternate trip generation rates based upon alternate published guides or local trip generation studies. VDOT shall at all times after July 1, 2011, have at least one non-ITE trip generation methodology or alternative rate approved for the use in preparation of small area plan traffic impact statements pursuant to 24VAC30-155-30 C that recognizes the benefits of reduced vehicle trip generation and vehicle miles traveled from developments that meet the criteria for a small area plan pursuant to this regulation. Such alternate methodology or rate can be modified based upon local factors if agreed to at a scoping meeting. Rezoning proposals shall assume the highest vehicle trip generating use allowable under the proposed zoning classification. In determining which trip generation process (equation or rate) may be used, the preparer shall follow the guidance presented in the Trip Generation Handbook, Second Edition – an ITE Recommended Practice, 2004, which is summarized here, except rates may be utilized if the criteria for the use of regression equations are not met. Regression equations to calculate trips as a result of development shall be utilized, provided the following is true: a. Independent variable falls within range of data; and

b. Either the data plot has at least 20 points; or

c. R2 is greater than 0.75, equation falls within data cluster in plot and standard deviation greater than 110% of weighted average rate.

If the above criteria are not met, then the preparer can use average trip rates, though if the following do not apply a rate based upon the study of similar local sites should be considered: d. At least three data points exist;

e. Standard deviation less than 110% of weighted average rate; and

f. Weighted average rate falls within data cluster in plot.

  1. Internal capture and pass-by trips. a. Internal capture rates consider site trips “captured” within a mixed use development, recognizing that trips from one land use can access another land use within a site development without having to access the adjacent street system. Mixed use developments include a combination of residential and non-residential uses or a combination of non­ residential uses only. Internal capture allows reduction of site trips from adjacent intersections and roadways. For traffic impact statements prepared for small area plans pursuant to 24VAC30-155-30 C the internal capture rate or rates may be based on the non-ITE trip generation methodology approved by VDOT. For ITE-based methodologies, unless

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otherwise approved by VDOT, the following internal capture rates should be used if appropriate:

(1) Residential with a mix of non-residential components - use the smaller of 15% of residential or 15% non-residential trips generated.

(2) Residential with office use - use the smaller of 5.0% of residential or 5.0% of office trips generated.

(3) Residential with retail use - for AM peak hour, use the smaller of 5.0% residential or 5.0% retail trips generated; for PM peak hour, use the smaller of 10% residential or 10% retail trips generated; for 24-hour traffic, use the smaller of 15% residential or 15% retail trips generated.

(4) Hotel/motel with office use - use 15% of hotel/motel trips, unless the overall volume of the office traffic is more than the overall volume of hotel/motel traffic use in which case use the smaller of 10% of the hotel/motel traffic or the office traffic.

(5) Multiuse development with more than five million square feet of office and retail ­ internal capture rate should be determined in consultation with and approval of

VDOT.

(6) Office with retail use – use the smaller of 5% office or retail trips generated

(7) Some combination of the above, if approved by VDOT.

b. Pass-by trip reductions consider site trips drawn from the existing traffic stream on an adjacent street, recognizing that trips drawn to a site would otherwise already traverse the adjacent street regardless of existence of the site. Pass-by trip reductions allow a percentage reduction in the forecast of trips otherwise added to the adjacent street from the proposed development. The reduction applies only to volumes on adjacent streets, not to ingress or egress volumes at entrances serving the proposed site. Unless otherwise approved by VDOT, the pass-by rates utilized shall be those reported in Trip Generation Handbook, Second Edition – an ITE Recommended Practice, 2004. For traffic impact statements prepared for small area plans pursuant to 24VAC30-155-30 C, the pass-by trip reductions may be based on the non-ITE trip generation methodology approved by VDOT.

  1. Trip distribution.

In the absence of more detailed information, trip distribution shall be in accordance with logical regional travel patterns as suggested by existing highway directional split and intersection movements or population and destination site distribution and shall recognize the effects of increased street connectivity if such streets meet the requirements of the Secondary Street Acceptance Requirements (24VAC30-92). If more detailed information is available from trip origin/destination studies, marketing studies, or regional planning models, this may be used to distribute trips upon approval of VDOT.

  1. Planning horizon.

In general, the analysis years shall be related to (i) the opening date of the proposed development, (ii) build-out of major phases of a multi-year development, (iii) long-range transportation plans, and (iv) other significant transportation network changes. The preparer should establish the planning horizon in consultation with and subject to the acceptance of

VDOT.

  1. Background traffic growth.

Unless directed by VDOT, geometric growth (or compound growth), based upon historical growth rates, shall generally be used for determining future background traffic levels where extensive traffic-count history is available and capacity constraint is not appropriate. This growth rate

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replicates “natural growth” and is typical for projecting urban growth. Natural growth of traffic can be adjusted consistent with traffic forecasts associated with previously submitted local land development projects within the study area.

  1. Future conditions.

For the purpose of the VTIS, future conditions shall include background traffic and additional vehicle trips anticipated to be generated by approved but not yet constructed or improved projects.

  1. Level of service calculation.

Level of service (LOS) analysis for highways shall utilize the techniques described in the Highway Capacity Manual, 2010 (TRB). Neither the intersection capacity utilization method nor the percentile delay method may be used in the traffic impact calculations of delay and level of service. Preparers shall consult with VDOT on which traffic analysis software package is to be used to conduct the LOS calculations. The results shall be tabulated and displayed graphically, with levels of service provided for each lane group for each peak period. All data used in the calculations must be provided along with the results of the capacity analysis. Any assumptions made that deviate from the programmed defaults must be documented and an explanation provided as to why there was a deviation. Electronic files used for the analysis shall be provided to VDOT as a digital submission (e.g. .hcs, .sy6, .inp, .trf files), along with the printed report. If intersections analyzed are in close proximity to each other so that queuing may be a factor, VDOT may require the inclusion of an analysis with a micro simulation model. Unless actual on-ground conditions dictate otherwise, preparers should use the following defaults when utilizing the Highway Capacity Software (HCS) or other approved programs when evaluating roadway components:

a. Terrain – choose the appropriate terrain type. Most of the state will be level or rolling, but some areas may qualify for consideration as mountainous.

b. Twelve-foot wide lanes.

c. No parking or bus activity unless field conditions include such parking or bus activity or unless the locality has provided VDOT with a written statement of intent for the services to be provided.

d. Peak hour factor by approach – calculate from collected traffic counts (requires at least a peak hour count in 15-minute increments). However, the use of peak hour factors lower than 0.85 shall only be allowed if based upon the average of more than three peak hour counts. For future conditions analysis, unless specific site conditions can be expected to create extreme peak hour factors, default peak hour factors between 0.92 and 1.00 should be used.

e. Heavy vehicle factor – calculate from collected traffic (classification) counts or obtain from VDOT count publications. For future conditions analysis with development traffic, the existing heavy vehicle factor should be adjusted based upon the nature of the traffic being generated by the development.

f. Area type – non-center of business district.

The VTIS shall identify any existing or proposed bicycle and pedestrian accommodation that would be affected by the proposal. For the purposes of this subsection, a bicycle accommodation is defined as on-street bike lanes, paved shoulders of roadways that are not part of the designated traveled way for vehicles, or exclusive and shared off-street bicycle paths.

For the purposes of this subsection, a pedestrian accommodation is defined as sidewalks, intersection treatments and exclusive, or shared off-street trails or paths. If significant potential for bicycle or pedestrian trips exists, the VTIS shall include current and future service level analyses at build-out for existing or proposed bicycle and pedestrian accommodations. When the proposal requires or includes improvements or modifications to the roadway, bicycle or

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pedestrian accommodations the VTIS shall analyze the impacts of such improvements and modifications on bicycle and pedestrian accommodations and service levels, and provide recommendations for mitigation of adverse impacts.

The VTIS shall provide analysis for all bus service with routes that have, or will have a station or stop within 2,000 feet of the proposal. The VTIS shall evaluate and discuss potential for increased demand for bus use due to the proposal, addressing whether such increases will result in longer dwell time at stops or increase the need for buses on a route. The quality of service analysis for bus service shall be determined in accordance with the Transit Capacity and Quality of Service Manual, 2nd Edition, 2003, (TRB). The VTIS shall provide both route and segment quality of service. The VTIS may consider the benefits of dedicated bus lanes for more frequent and rapid service. The VTIS shall provide recommendations for mitigation of adverse impacts where adverse impacts are expected to the quality of service to bus service. If an analysis of pedestrian quality or level of service is required for calculation of the bus quality of service, the preparer shall use a methodology approved by VDOT.

  1. Trip reduction, and pedestrian and bicycle accommodations.

When a proposal meets the criteria listed below the preparer of the VTIS may reduce the number of vehicle trips generated by the proposal in the VTIS analysis in accordance with this subsection.

Notwithstanding the percentages below, the total number of reductions used by a preparer in accordance with this subsection shall not exceed 500 vehicle trips per peak hour of the generator unless otherwise approved by VDOT. The trip reductions for traffic impact statements prepared for small area plans pursuant to 24VAC30-155-30 C may be based on the non-ITE trip generation methodology approved by VDOT and are not subject to limitations or requirements of this subdivision.

a. Pedestrian accommodations. For the purposes of this subsection, a pedestrian accommodation is defined as a sidewalk, pedestrian path, or multi-use trail. Where a pedestrian service level of A exists, vehicle trips per peak hour of the generator may be reduced by 4.0% for those portions of the development within a 2,000-foot radius of the connections between the proposed development and the adjoining network. Where a pedestrian service level of B exists, vehicle trips per peak hour of the generator may be reduced by 3.0%; where a pedestrian service level of C exists, vehicle trips per peak hour of the generator may be reduced by 1.5% for the portion of the development noted above.

These reductions may only be taken if

(1) Pedestrian facility coverage in a 2,000-foot radius of the connections to the proposed development is on or along at least 80% of the road network;

(2) The pedestrian facilities inside and outside the development provide reasonably direct access to traffic generators; and

(3) There are at least two of the 10 major land use classifications, as defined in ITE Trip Generation, 8th Edition, 2008, within the 2,000-foot radius.

b. Bicycle accommodations. For the purposes of this subsection, a bicycle accommodation is defined as a street with a design speed of 25 MPH or less that carries 400 vehicles per day or less, on-street bike lanes, a pedestrian accommodation, paved shoulders of roadways that are not part of the designated traveled way for vehicles and are at least two feet wide, or exclusive and shared off-street bicycle paths. Where a bicycle service level of A exists, vehicle trips per day may be reduced by 3.0%. Where a bicycle service level of B exists, vehicle trips per day may be reduced by 2.0%. Where a bicycle service level of C exists, vehicle trips per day may be reduced by 1.0%. These reductions may only be taken if:

(1) Bicycle accommodations within a 2,000-foot radius of the connections to the proposed development exist on or along at least 80% of the road network;

(2) The bicycle accommodations inside and outside the development provide reasonably direct access to traffic generators; and

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(3) There are at least two of the 10 major land use classifications, as defined in ITE Trip Generation, 8th Edition, 2008, within the 2,000-foot radius.

  1. Modal split and trip reduction.

All vehicle trip reductions used in the VTIS pursuant to this subsection are subject to the approval of VDOT.

a. If a proposal is located within 1/2 mile along roadways, pedestrian or bicycle accommodations of a transit station, excluding bus stops and stations, reasonable vehicle trip reductions of vehicle trips generated by the proposal may be made with approval of VDOT. The preparer shall submit documentation to justify any such vehicle trip reductions used with the VTIS. When a proposal is located more than 1/2 mile but less than two miles from a transit stop, excluding bus stops and stations, with bicycle parking accommodations, additional bicycle modal split vehicle trip reductions may be utilized. The analysis of capacity of the parking accommodations shall be included in the VTIS when such trip reductions are used.

b. If a proposal is located within 1/4 mile along roadways, pedestrian or bicycle accommodations of a bus stop or station where the segment and route service levels are C or higher, reasonable vehicle trip reductions of vehicle trips generated by the proposal may be made with the approval of VDOT. The preparer shall submit documentation to justify any such vehicle trip reductions used with the VTIS.

c. Transit and bus modal split data from similar developments within the geographic scope of the VTIS or one mile of the proposal, whichever is greater, shall be collected if the VTIS vehicle trip reductions are used pursuant to this subsection and similar developments exist within the geographic scope of the VTIS or one mile of the proposal, whichever is greater.

  1. Signal warrant analysis.

Traffic signal warrant analysis shall be performed in accordance with the procedures set out in the Manual on Uniform Traffic Control Devices, 2003, revised 2007, or ITE Manual of Traffic Signal Design, 1998, as determined by VDOT.

  1. Recommended improvements.

Recommendations made in the VTIS for improvements to transportation facilities shall be in accordance with the geometric standards contained within the Road Design Manual, 2011

(VDOT).

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VDOT ADMINISTRATION OF THE REGULATIONS

VDOT Roles in Land Development

The entire land development process encompasses many different disciplines within VDOT and can involve participation from various levels within the agency – from the Residencies to District Offices to the central office divisions. VDOT has two main roles, regulatory and advisory, in land development. The regulatory role includes:

  • Issuing permits for work performed within VDOT's right-of-way including commercial entrances, traffic data collection.
  • Controlling the location, number, design, and spacing of entrances, crossovers, and intersections.
  • Regulating the development of subdivision streets intended to be included in the secondary system.

VDOT’s traditional advisory role involves assisting local governments at their request in their transportation planning and land development regulatory roles. §15.2-2222.1 of the Code (page 5) and the Traffic Impact Analysis Regulations expanded VDOT’s advisory role.

State law requires localities to submit comprehensive plans, plan amendments, and traffic impact analysis packages for rezoning applications that meet certain trip generation criteria to VDOT for review. VDOT, then, must provide the local government with official comments that includes a written report on VDOT’s key findings on the documents. The regulations establish deadlines for VDOT’s response to assure that this review does not extend the local approval process.

In performing this work, VDOT operates in its advisory role: the locality makes the final decision on comprehensive plans and rezoning proposals. The findings from VDOT’s analysis are provided for the information of the local government decision makers, the local government staff, and the general public.

Many localities, though, will not approve a site plan or subdivision plat until the transportation aspects of the project have been approved by VDOT (and by other public agencies) as being in compliance with agency regulations and standards.

Once a land development project enters the permitting stage, VDOT operates under its regulatory role with direct authority to control access to the highway right-of-way, as set out in Title 33.2 – Highways and Other Surface Transportation Systems

The land development project will need to meet the pertinent regulations and standards in the Access Management Regulations, Secondary Street Acceptance Requirements, Land Use Permit Regulations, and the Road Design Manual - available on the VDOT website under “Transportation and Land Use.”

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VDOT Organization With over 57,000 miles of roads, Virginia operates the third-largest state-maintained highway system in the country, behind Texas and North Carolina. In 2014 VDOT was responsible for  1,118 miles of interstate highways,  8,111 miles of primary highways, and  48,305 miles of secondary roads.

VDOT’s land use/land development review program is administered through the nine District Offices (see the VDOT District Offices website). The program consists of traffic impact analysis review, rezoning, site plan review, subdivision plan review and construction, and permitting processes.  Each District has a Transportation and Land Use Director (or equivalent position) who oversees VDOT’s land development review process.  Area Land Use Engineers, reporting to the Director, are located in local offices in the residencies as the first point of contact for local government staff and developers for the above program services.  District Planners are also generally involved in tasks dealing with the transportation elements of comprehensive plans and Chapter 527 TIA reviews.  District Traffic Engineers are involved in traffic signal justification review and also sometimes involved in the review of Chapter 527 TIAs.

Due to the amount and complexity of development activity in Northern Virginia localities, VDOT’s Northern Virginia District has Transportation and Land Use Directors and their review staff assigned by counties: Fairfax/Arlington, Prince William, and Loudoun.

District Office Responsibilities The District Office and its Area Land Use Engineers serve as the clearinghouse for requests to hold a scope of work meeting on traffic impact analysis studies and for comprehensive plan and rezoning proposal packages submitted by local jurisdictions in accordance with §15.2-2222.1 of the Code and the Traffic Impact Analysis (TIA) Regulations.

COMPREHENSIVE PLAN The Transportation and Land Use Director or, in districts where the District Planner does not report to the Transportation and Land Use director, the District Planner is responsible for:

  • Coordinating the provision of technical assistance at the request of a local government in the preparation of the transportation plan portion of the comprehensive plan (see p 8).
  • Preparing at a locality’s request cost estimates for road and transportation improvements recommended by the comprehensive plan (§15.2-2223 of the Code).
  • Coordinating the review of, and preparing written reports with recommendations on, comprehensive plan and plan amendment packages submitted under the TIA Regulations.

  • Coordinating the review of locality transportation plans during their development process, and after their adoption, on their consistency with VTrans, the Six-Year Improvement

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Program, and specific route locations of the CTB. See Local/State Plan and Program Consistency on the VDOT website.

The Comprehensive Plan chapter (page 7) provides a detailed discussion of these activities, including a Process Chart (page 10) illustrating the steps specified in the regulations for VDOT’s review of a comprehensive plan package and a checklist of the information the locality needs to include in its plan package submittal.

The chapter also offers a section on the Comprehensive Plan review process rules (page 14) that covers such details as the deadline for requesting a meeting with the locality, what constitutes VDOT’s official comments and written report on the plan package, and the amount of time VDOT has to provide the results of its analysis to the locality. Sample letters for sending the official comments to a locality are presented in the Appendix.

VDOT & LOCAL TRAFFIC IMPACT ANALYSIS STUDIES; REZONING PROPOSALS The Traffic Impact Analysis chapter in this document provides a detailed discussion on all aspects of the preparation of VDOT traffic impact analyses for rezoning proposals. The District Office is also responsible for certifying local traffic impact statement requirements as acceptable for complying with the provisions of the regulations (see page 41).

Application forms and VDOT checklists are presented in the Appendix to help assure that the traffic impact analysis that is submitted meets the intent of the TIA Regulations. A TIA that is deemed to be incomplete will not be accepted and will be returned to the locality.

The District Office is responsible for making sure that VDOT complies with the regulation’s submission rules and review deadlines for rezoning packages. To assist in this regard, this document includes a chapter on Review of Rezoning Proposals (page 21). It includes a flow chart illustrating the steps in the regulations for VDOT’s review of rezoning proposals and a checklist on the information the locality is required to submit to VDOT.

This chapter also offers sections on the review process rules (page 31) that cover such details as what constitutes VDOT’s official comments and written report on the rezoning submission and the amount of time VDOT has to forward the results of its analysis to the locality. Sample letters for sending the official comments to a locality are in the Appendix.

ADMINISTRATIVE RESPONSIBILITIES Tasks that are carried out to assure the efficient administration of the regulations include:

  1. SCOPE OF WORK MEETING ON A REZONING SUBMITTAL. Arrangements are made for scope of work meetings to discuss a traffic impact analysis. VDOT will coordinate with the locality and the applicant to find a suitable date, time and location.

  2. RECORD KEEPING. The LandTrack data base management system is used to handle record keeping for comprehensive plan and rezoning submittals according to the regulations. More information is presented in the LandTrack chapter on page 74.

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  1. FEE. Determine that the correct review fee has been submitted. Payment must be received before VDOT’s review can begin. Details on the review fees established by the regulations are presented in the Fee Schedule chapter on page 70.

  2. COMPLETENESS. Examine the submittal to make sure it is substantially complete such that the information required by the regulations has been provided. The checklists referenced on the previous page will help with this task. Return incomplete or deficient submittal packages to the locality and identify what information or data is missing that is required by the regulations.

  3. DATE OF RECEIPT. Record the date of receipt for a complete package and calculate the deadline per the regulations when written comments must be provided back to the locality.

  4. EVALUATION OF THE SUBMITTAL. Take the necessary steps to provide a thorough evaluation of the plan or the VDOT or local traffic impact analysis study for a rezoning.

Depending on the complexity of the submittal, the analysis may involve other sections within the District such as Location & Design. In certain instances the Regional Traffic Engineer may be asked to assist in this regard.

The Central Office may have contracted with on-call transportation engineering consultants to help the District staff evaluate rezoning traffic impact analysis studies and provide reports on their findings. See the section below.

7. OFFICIAL COMMENTS TO THE LOCALITY; AVAILABLE TO THE PUBLIC.

Submit VDOT’s final comments and written report on the key findings of VDOT’s evaluation of a comprehensive plan or plan amendment, or a rezoning traffic impact analysis study to the local government and make the comments available to the general public. Information on the contents of a written report is presented at the end of the comprehensive plan and the rezoning chapters (page 16 and 34).

VDOT Central Office Technical Assistance There will be occasions when the District Office may need to contact the Central Office on:

  • The interpretation of the regulations.
  • Questions on changes to the regulations and the enabling statute.

  • Questions relating to locality transportation plan consistency with VTrans, SYIP, or the location of state highways.

  • Related VDOT land development regulations such as the Access Management Regulations and Secondary Street Acceptance Requirements.
  • Use of LandTrack.

  • Availability and use of on-call consultants to assist the Districts with workload peaks and the more complicated transportation engineering analysis.

These inquiries should be made to the Office of Land Use. Contact information is available on VDOT’s internal and external websites.

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FEE SCHEDULE

Overview of the Fees 24VAC30-155-80 of the regulations establishes the criteria for determining VDOT’s fees for the review of comprehensive plans and rezoning applications submitted in accordance with the Traffic Impact Analysis Regulations. The fee structure is based on the maximum charge allowed by §15.2-2222.1 F. of the Code (page 5) and the Virginia Transportation Research Council’s study of VDOT’s costs to provide these services.

Key policies for administering the fee schedule are listed below

  • A set fee of $1,000 is established for a Comprehensive Plan review and a Rezoning Proposal review, except a “Low Volume Road Submission.”

  • The fee for a rezoning low volume road submission is based on the number of adjusted vehicle trips generated per peak hour by the proposed development, not gross ITE rates.

A lower fee ($250) is established to reflect VDOT’s reduced administrative review time for the less complicated low volume road VDOT traffic impact statement. See pages 26 and 37 for details on this submission type.

  • No charge for VDOT’s review of a comprehensive plan, plan amendment, or rezoning application that is initiated by a local government or public agency.

  • No fee shall be charged for the review of a rezoning submission for property within the boundaries of a locally adopted small area plan that includes a VDOT traffic impact analysis study submitted according to 24VAC30-155-40 C.1 (see pages 12, 27, and 37).

  • No fee shall be charged for VDOT’s review of a citizens' organization or neighborhood association that proposes comprehensive plan amendments through its local planning commission or local governing body. (§15.2-2222.1 F. of the Code)

  • A check for the fee must be included in the submission package and made payable to “Treasurer of Virginia.”

The fee covers VDOT’s initial review of the submittal and a second review to evaluate changes made in response to VDOT’s comments. If a third or subsequent submission is requested by VDOT because the applicant failed to address deficiencies previously identified by VDOT, then these submissions will be charged a fee as if a new submittal.

An applicant or locality may appeal VDOT’s finding that a submitted package failed to address deficiencies previously identified by VDOT. The appeal is filed with the District Administrator.

The comprehensive plan checklist and rezoning package checklist include an item on the appropriate fees (see pages 16 and 35).

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REGULATIONS

24VAC30-155-80. Fees.

A. Locality initiated proposals. No fee shall be charged for review of any comprehensive plan, comprehensive plan amendment or rezoning proposal initiated by a locality or other public agency.

B. Proposals containing a traffic impact statement as described in subdivision C 1 of 24VAC30-155-40. No fee shall be charged for the review of a rezoning submission that properly includes a traffic impact statement submitted under subdivision C 1 of 24VAC30-155-40.

C. All other proposals. Any package submitted to a locality by an applicant that will be subject to VDOT review pursuant to this chapter shall include any required payment in a form payable directly to VDOT.

  1. For initial or second review of all comprehensive plans, comprehensive plan amendments, and transportation plans submitted to VDOT for review, not initiated on behalf of the locality, there shall be a fee of $1,000 charged to the applicant. This fee shall be paid upon submission of a plan to VDOT for review.

  2. For initial or second review of rezoning proposals accompanied by a traffic impact statement not initiated on behalf of the locality, there shall be a single fee for both reviews determined by the number of adjusted vehicle trips generated per peak hour, as follows:

Submission made due to 24VAC30-155-40 A 3 (Low volume road criterion) - $250

All other submissions - $1,000

The fee shall be paid upon submission of a package to VDOT for review.

  1. For a third or subsequent submission pursuant to subdivisions 1 or 2 of this subsection, that is requested by VDOT on the basis of the failure of the applicant to address deficiencies previously identified by VDOT, the applicant shall be required to pay an additional fee as though the third or subsequent submission were an initial submission and requiring the fees identified above. An applicant or locality may appeal to the district administrator a determination by VDOT that a submitted package failed to address deficiencies previously identified by VDOT.

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SUMMARY TABLE: TIA REGULATION REQUIREMENTS

Process Threshold Review Process Fee

 Application submitted to VDOT for review  $1000 covers first and  5,000 VPD on state and comment second review: third or highways, or Comprehensive Plan and more reviews $1000  VDOT may request a meeting with the Plan Amendments  Major change to locality within 30 days  No fee if initiated by (including small area future transportation  Review to be completed in 90 days or locality or public agency. plans) infrastructure or later if mutually agreed facilities  No fee for citizens' NOTE: When a comprehensive plan revision organization or and rezoning proposal are being considered neighborhood association concurrently for the same geographical proposing plan area, then only a rezoning TIA package is amendments. required.

Residential  400 VPD AND Scope of work meeting with VDOT to  For first & second review: discuss preparation of TIA study: Rezoning $250 - Low Volume Rd Low Volume exceeds the current Road traffic volume on a  Rezoning to generate less than 1000 $1000 – All other Submission state highway VPH*: applicant/locality may request submissions meeting  For third or more review:  5,000 VPD on state  Rezoning to generate 1000 or more VPH: All Other highways, applicant/locality shall request meeting Same fee as initial Land Uses submission including or TIA study & rezoning package submitted residential to VDOT for review & comment:  No fee if initiated by  5,000 VPD on locality locality or public agency Package complete; no revisions needed maintained streets  No fee if using a VDOT AND within 3000 feet  45 days for VDOT’s review and written TIA prepared for a small of a state highway comments to locality area plan Package incomplete or revisions needed NOTE:  VDOT request to meet with the locality & No submission is applicant within 45 days to discuss required if the rezoning concerns or deficiencies in TIA study will generate less daily traffic, and no increase  Within 60 days of receipt meeting is held in existing AM/PM peak  VDOT may also send written list of hour traffic, when concerns or deficiencies compared to the trip  If concerns/deficiencies not addressed generation of land uses within 30 days of meeting or sending allowed by right under comments, VDOT may require the current zoning of the resubmission property, except governmental uses.  Review to be completed in 120 days

NOTE: The scope of the VDOT TIA study may be more limited if the rezoning conforms to a comprehensive plan reviewed per the regulations; and VDOT’s plan review included an evaluation of the traffic impacts for anticipated development based on the future land use policies/ map

  • VPD = vehicles per peak hour

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REFERENCE DOCUMENTS

A list of publications is provided that will be useful to local government staff, developers, land owners, transportation consultants, and VDOT review staff in the administration of the Traffic Impact Analysis Regulations.

For proposals generating 1000 VPH or more the locality and/or applicant shall hold a Scope of Work Meeting with VDOT.

REGULATIONS

Documents Incorporated by Reference (24VAC30-155)

Requests for information pertaining to the availability and cost of any of these publications should be directed to the address indicated below the specific document. Requests for documents available from VDOT may be obtained from VDOT’s division and representative indicated; however, VDOT documents may be available over the Internet at www.vdot.virginia.gov.

Highway Capacity Manual, 2010 Trip Generation, 8th Edition, 2008 Transportation Research Board Institute of Transportation Engineers 500 Fifth Street NW 1627 Eye Street, NW Washington, DC 20001 Suite 600 Washington, DC 20006 ITE Manual of Traffic Signal Design, 1998 Institute of Transportation Engineers Manual on Uniform Traffic Control Devices for 1627 Eye Street, NW Streets and Highways, Effective 2003, Suite 600 Revised 2007 Washington, DC 20006 Federal Highway Administration Superintendent of Documents Transit Capacity and Quality U.S. Government Printing Office of Service Manual, 2nd Edition, 2003 PO Box 371954 Transportation Research Board of the Pittsburgh, Pennsylvania 15250 National Academies Keck Center of the National Academies Transportation Research Board Trip Generation Handbook, Second 500 Fifth Street, NW Edition – an ITE Recommended Practice, Washington, DC 20001 2004 Institute of Transportation Engineers Road Design Manual, 2011 1627 Eye Street, NW VDOT Suite 600 1401 E. Broad Street Washington, DC 20006 Richmond, Virginia 23219

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LANDTRACK: VDOT’s TRACKING SYSTEM FOR TRAFFIC IMPACT ANALYSIS REGULATION SUBMITTALS LandTrack Data Base Management System for VDOT Staff

LandTrack is VDOT’s internal electronic tracking & data base management system for Traffic Impact Analysis Regulations submittals.

This system will track VDOT’s receipt and processing of traffic analysis studies submitted by localities associated with rezoning applications. LandTrack also will perform the same functions on VDOT’s analysis of how local government comprehensive plan and plan amendments could affect the existing transportation network.

LandTrack provides a system for VDOT staff:  To track VDOT’s receipt, processing, and response on rezoning and comprehensive plan submissions.  To monitor the status of a submittal.  To store the TIA study, other submittal documents, and VDOT’s official comments and written report on key findings.  To maintain statewide records on VDOT’s regulatory activities.

It can be accessed via the Inside VDOT website under Project Development, Transportation and Mobility Planning Division, Links, LandTrack. On the top left corner of the LandTrack Home page is a “Help” tab where a detailed Users Manual and On-Line Help is provided. Both “Help” items provide instructions on assigning LandTrack user status to District staff that will be entering submissions. Each District has one or more “Super Users” that can add (or remove) staff that will be using LandTrack.

On the next page is the form for organizing information to enter into LandTrack. It is available on the VDOT TIA Regulations web page in a MS Word editable format.

74 Administrative Guidelines August 2022

LANDTRACK INFORMATION SHEET

This sheet is a summary of information relating to a submission made in accordance with the requirements of the Traffic Impact Analysis Regulations (24VAC30-155).

Submission Details Project Name ___ Locality’s Project ID __ VDOT District ___ Jurisdiction ___ Locality Contact __ TIA Preparer _______

Location

Route Number Street Name Principal Rte ADT ___ ____ ______

___ ____ ______

___ ____ ______

___ ____ ______

___ ____ ______

Site Details Submission Type  Comprehensive Plan Review  Zoning TIA Review

Chapter 527 Submission Yes No

Facility Type  Commercial - Banks/Drug Store  Commercial - Superstore  Commercial - Cinema  Commercial - Gas Station  Commercial - Fast Food Restaurant  Commercial - Sit Down Restaurant  Commercial - Grocery Store  Mixed Use - Commercial/Residential  Commercial - Health/Fitness Center  Residential - Mixed Type  Commercial - Industrial  Residential - Multi Family  Commercial - Mixed Type  Residential - Single Family  Commercial - Office  Residential - Townhouse  Commercial - Other  Local Policy Change  Commercial - Shopping Center

Acreage __ Residential Units __ Commercial Sq Ft __ VPH (net) _ VPD (net) _____

Page 1 of _____

75 Administrative Guidelines August 2022

Principal Parcel ID ______ Doubles Road VPD Yes No

Other Parcel ID(s) ___ ___

___ ___

___ ___

___ ___

Payment

Fee Waived Yes No Reason for Waiver ___

Payment Included Yes No Payment Type Check Money Order

Check # ___ Check Holder ____

Payment Amount ___ Received From ____

Tracking

Date Received by Locality __ Locality’s Requested Due Date ______

Comments __________












(Include any further comments on additional sheets)

Submission Number (for second and subsequent submissions) ____

Page 2 of ___

76 Administrative Guidelines August 2022

LandTrack on the VDOT Website for the General Public

A version of LandTrack is presented on the external VDOT website for use by the general public: http://www.virginiadot.org/projects/landuse.asp.

The “external” LandTrack provides information on VDOT’s review of the transportation impacts of comprehensive plans and rezoning proposals submitted to VDOT by local governments according to the Traffic Impact Analysis Regulations. It has been designed to be user-friendly, with easy to understand instructions for searching for submittals.

LandTrack will be of particular interest to:  Developers with rezoning proposals under review by VDOT  Transportation consultants that have prepared a traffic impact analysis  Local government land development and transportation planning staff  Local government governing bodies and planning commissions  Property owners in proximity to a rezoning proposal

By accessing the system on the VDOT website, the public can:  Monitor the status of VDOT’s review,  Examine the traffic impact analysis study on the rezoning proposal, and  Read VDOT’s official comments and written report detailing the results of its evaluation on the impact the development will have on state highways in the community.

Similar information is available on VDOT’s review of local comprehensive plans.

77 Administrative Guidelines August 2022

In addition, the LandTrack web page provides general information on the LandTrack system and the Chapter 527 regulations, including an internet link to the VDOT Land Development web page where the regulations and the Administrative Guidelines manual can be found.

A “Help” button is included that contains a telephone number for contacting VDOT about problems using the system as well as a “Feedback” button that offers an email form for the public to send any comments about LandTrack to VDOT.

LandTrack also will allow the public to monitor VDOT’s efficiency in processing submittals according to the review deadlines established by state law.

For example, the Dashboard gauge on the home page shows the number of completed Chapter 527 reviews statewide and by District. It indicates how well VDOT is doing in completing the reviews: early, on-time, or late. Every submittal within the system indicates the deadline for VDOT to complete its review along with the actual date of completion.

Creating the LandTrack system for the general public demonstrates VDOT’s commitment to providing transparency to its regulatory activities which can lead to a better understanding of VDOT programs and VDOT’s efforts to administer the programs in the most efficient and effective manner.

78 Administrative Guidelines August 2022

APPENDIX

A. PRE-SCOPE OF WORK MEETING FORM: Information provided by the rezoning applicant prior to the meeting on the project and the initial traffic impact analysis base assumptions*

B. SCOPE OF WORK MEETING CHECKLISTS AND FORMS

  1. Checklist: Required Elements of a VDOT Traffic Impact Analysis Study*
  2. Checklist: Required Elements of “Low Volume Road” VDOT Traffic Impact Analysis Study*
  3. Meeting Conclusions: Additions/Changes to the Elements, Methodology, Assumptions; Signature Page.

C. VDOT TIA STUDY EVALUATION CHECKLISTS

  1. Checklist: Evaluation of the Submitted VDOT TIA Study*
  2. Checklist: Evaluation of the Submitted Low Volume Road VDOT TIA Study*

D. SAMPLE TRANSMITTAL LETTERS TO A LOCALITY Two letters are included that offer suggested language for communicating with the locality on the results of VDOT’s evaluation of a proposed rezoning’s traffic impact analysis or of a comprehensive plan or amendment. 1. Rezoning Application 2. Comprehensive Plan or Plan Amendment

E. CHANGES TO THE REGULATIONS EFFECTIVE DECEMBER 31, 2011

  • The forms and checklists are available on the VDOT Traffic Impact Analysis Regulations website in a MS Word editable format so answers can be typed on the form or checklist.

79Administrative Guidelines Page 1

PRE-SCOPE OF WORK MEETING FORM Information on the Project and the Traffic Impact Analysis Base Assumptions

The applicant is responsible for entering the relevant information and submitting the form to VDOT and the locality no less than three (3) business days prior to the meeting. If a form is not received by this deadline, the scope of work meeting may be postponed.

Contact Information Consultant Name: Tele: E-mail: Developer/Owner Name: Telephone: E-mail:

Project Information Project Name: Locality/County: Project Location: (Attach regional and site specific location map) Submission Type: Comp Plan □ Rezoning □ Project Description: (Including details on the land use, acreage, phasing, access location, etc. Attach additional sheet if necessary) Proposed Use(s): (Check all that apply; attach Residential □ Commercial □ Mixed Use □ Other □ additional pages as needed) Residential Use(s) Square Feet or Other Variable: Number of Units: ___ 1.___ 2._____

3.__ 4._ ITE LU Code(s)

1.__ 2. _ Other Uses

3. _ 4.__ ITE LU Code(s)

  1. _ 2. _ Commercial Use(s) ITE LU Code(s): 3.__ 4._

1.__ 2.__ Independent Variable(s)

  1. __ 4.__ 1.__ 2. _

Total Peak Hour Trip Less than 100 □ 100 - 499 □ 500 - 999 □ 1,000 or more □ Projection

It is important for the applicant to provide sufficient information to the locality and VDOT staff so that questions regarding geographic scope, alternate methodology, or other issues can be answered at the scoping meeting.Administrative Guidelines Page 2

Traffic Impact Analysis Assumptions

Study Period Existing Year: __ Build-out Year: _ Design Year: ___

North: South: Study Area Boundaries (Attach map) East: West: External Factors That Could Affect Project (Planned road improvements, other nearby developments) Consistency With Comprehensive Plan (Land Use, Transportation Plan) Available Traffic Data (Historical, forecasts)

Road Name: ___ Road Name: __ Trip Distribution (Attach Sketch) Road Name: __ Road Name: _____

Peak Period for Study □ AM □ PM □ SAT Annual Vehicle Trip Growth Rate: Peak Hour of the Generator

  1. 6.

  2. 7.

Study Intersections and/or Road Segments 3. 8. (Attach additional sheets as necessary)

  1. 9.

  2. 10.

Trip Adjustment Internal allowance: □ Yes □ No Pass-by allowance: □ Yes □ No Factors Reduction: __% trips Reduction: _% trips

Software Methodology □ Synchro □ HCS □ SIDRA □ CORSIM □ Other ___

Traffic Signal Proposed or Affected Analysis software to be used, progression speed, cycle length

It is important for the applicant to provide sufficient information to the locality and VDOT staff so that questions regarding geographic scope, alternate methodology, or other issues can be answered at the scoping meeting.Administrative Guidelines Page 3

Improvement(s) Assumed or to be Considered

Background Traffic Studies Considered

□ Master Development Plan (MDP) □ Generalized Development Plan (GDP) Plan Submission □ Preliminary/Sketch Plan □ Other Plan type

□ Queuing analysis □ Actuation/Coordination □ Weaving analysis Additional Issues to be □ Merge analysis □ Bike/Ped Accommodations □ Intersection(s) addressed □ TDM Measures □ Other _______

NOTES on ASSUMPTIONS: ____________ ___________ _____________ ________________



SIGNED: _____ DATE: ______ Applicant or Consultant

PRINT NAME: _____ Applicant or Consultant

It is important for the applicant to provide sufficient information to the locality and VDOT staff so that questions regarding geographic scope, alternate methodology, or other issues can be answered at the scoping meeting.Administrative Guidelines December 2018

Traffic Impact Analysis Regulations

24VAC30-155

SCOPE OF WORK MEETING

CHECKLISTS AND FORMS

Page

  1. Checklist: Required Elements of a VDOT Traffic Impact Analysis Study …………………2

  2. Checklist: Required Elements of a Low Volume Road VDOT Traffic Impact Analysis…....7

  3. Scope of Work Meeting Conclusions: Additions/Changes to the Elements, Methodology, Standard Assumptions; and Signature Page……………………………………………….... 8

1Administrative Guidelines December 2018

SCOPE OF WORK MEETING CHECKLIST

REQUIRED ELEMENTS OF A VDOT TRAFFIC IMPACT ANALYSIS STUDY

Site Generated Peak Hour Trips Item• Less than 500 500 to 999 1,000 or more

Background Information

List of all non-existent transportation Required Required Required improvements assumed in the analysis

Map of site location, description of the parcel, general terrain features, and Required Required Required location within the jurisdiction and region.

Within 2,000 feet of site and Within 2,000 feet of site anyroadwayon which 50 or andanyroadwayonwhich To bedetermined by Description of geographic scope / limits more of the new vehicle 10% or more of the new VDOT in of study area. peak hour trips generated by vehicle trips generated by consultation with the the proposal aredistributed ­ the proposalaredistributed locality not to exceed one mile. –not toexceed two miles.

Plan at an engineering scale of the Required Required Required existing and proposed site uses.

Description and map or diagram of Required Required Required nearby uses, including parcel zoning.

Description and map or diagram of Required Required Required existing roadways.

Description and map or diagram of programmed improvements to roadways, intersections, and other Required Required Required transportation facilities within the study area.

Analysis of Existing Conditions

Collected daily and peak hour of the generator traffic volumes, tabulated Required Required Required and presented on diagrams with counts provided in an appendix.

2Administrative Guidelines December 2018

Site Generated Peak Hour Trips Item• Less than 500 500 to 999 1,000 or more

Analyses for intersections and roadways identified by VDOT.

Delay and Level of Service (LOS) are Required Required Required tabulated and LOS is presented on diagrams for each lane group.

When the type of development proposed would indicate significant potential for walking, bike or transit To be determined trips either on- or off-site, analyses of Within 2,000 feet Within 2,000 feet by VDOT in pedestrian and bicycle facilities, and of site of site consultation with bus route or routes and segment or the locality • segments, tabulated and presented on diagrams, if facilities or routes exist.

If requested by Speed Study • If requested by VDOT If requested by VDOT VDOT

If requested by Crash history near site • If requested by VDOT If requested by VDOT VDOT

If requested by Sight distance • If requested by VDOT If requested by VDOT VDOT

Analysis of Future Conditions Without Development •

Description of and justification for the method and assumptions used to forecast Required Required Required future traffic volumes.

Analysesfor intersectionsand roadways as identified by VDOT. Delay and Level of Required Required Required Service (LOS) are tabulated and LOS is presentedondiagrams for each lane group.

When the type of development proposed would indicate significant potential for To be determined walking, bike or transit trips either on-or by VDOT in off-site, analyses of pedestrian and Within 2,000 feet Within 2,000 feet consultation with bicycle facilities, and bus route or routes of site of site the locality at the and segment or segments tabulated and scope of work presented on diagrams, if facilities or meeting • routes exist or are planned.

3Administrative Guidelines December 2018

Site Generated Peak Hour Trips Item• Less than 500 500 to 999 1,000 or more

Trip Generation

Site trip generation, with tabulated data, broken out by analysis year for multi-phase developments, and Required Required Required including justification for deviations from ITE rates, if appropriate.

Description and justification of internal capture reductions for mixed use developments and pass-by trip Required Required Required reductions, if appropriate, including table of calculations used.

Site Traffic Distribution and Assignment

Description of methodology used to distribute trips, with supporting data. Required Required Required

Description of the direction of approach for site generated traffic and diagrams showing the traffic assignment to the Required Required Required road network serving the site for the appropriate time periods.

Analysis of Future Conditions With Development •

At a minimum the Future background + site future background + Future background + site generated traffic, at each site generated traffic, Forecast daily and peak hour of the generated traffic, at each expected phase, at build- at each expected generator traffic volumes on the expected phase and at out, and six years after phase, at build-out, highway network in the study area, site build-out or six years build-out, which may be and six years after entrances and internal roadways, after start, whichever is extended or reduced by build-out; may be tabulated and presented on diagrams. later VDOT in consultation extendedbyVDOTin with the locality consultation with the locality Analyses for intersections and roadways identified by VDOT. Delay and Level of Service (LOS) are Required Required Required tabulated and LOS presented on diagrams for each lane group.

4Administrative Guidelines December 2018

Site Generated Peak Hour Trips Item• Less than 500 500 to 999 1,000 or more When the type of development proposed would indicate significant potential for walking, bike or transit trips either on-or To be determined off-site, analyses of pedestrian and Within 2,000 feet Within 2,000 feet by VDOT in bicycle facilities, and bus route or routes of site of site consultation with and segment or segments tabulated and the locality • presented on diagrams, if facilities exist or are planned.

Recommended Improvements

Description and diagram of the location, nature, and extent of proposed Required Required Required improvements, with preliminary cost estimates as available from VDOT.

Description of methodology used to calculate the effects of travel demand Required if TDM Required if TDM Required if TDM management (TDM) measures, if proposed proposed proposed proposed, with supporting data.

Analyses for all proposed and modified intersections in the study area under the forecast and site traffic. Delay, and Level of Service (LOS) are tabulated and LOS presented on diagrams for each lane group. For intersections Required Required Required expected to be signalized, MUTCD Signal Warrant analysis or ITE Manual for Traffic Signal Design, as determined by VDOT, presented in tabular form.

When the type of development proposed would indicate significant potential for walking, bike or transit To be determined trips either on- or off-site, analyses of Within 2,000 feet Within 2,000 feet by VDOT in pedestrian and bicycle facilities, and of site of site consultation with bus route or routes and segment or the locality • segments tabulated and presented on diagrams, if facilities or routes exist or are planned.

Conclusions

Clear, concise description of the Required Required Required study findings.

5Administrative Guidelines December 2018

Footnotes

  • Analysis of pedestrian, bicycle, and/or transit facilities should be provided only in instances where such facilities, services are present in the area or are planned for the area, or if the development is of a type that can be expected to generate significant trips of the appropriate type.

Generally speaking, isolated developments in rural or low density suburban areas will not have a need for pedestrian, bicycle, or transit analysis.

  • Speed studies may be necessary when there is reason to believe that operational or geometric conditions on a roadway result in speeds that vary considerably from the posted speed limits. In those situations, they should be requested when entrance construction is expected to occur in the short term (within a few years) and without a complete rebuilding of the roadway at the location of concern, as changes in local conditions can be expected to have an impact on the road’s operating speed.

If a speed study is not requested under the TIA regulations, it may still be required at the land use (entrance) permit stage in order to address specific concerns.

  • Crash history data and analysis should be requested if a particular location affected by a development’s traffic is suspected to have a higher crash rate than similar locations in the region and the development’s traffic may contribute to the problem. Crash history should not be requested if there is a project to address the crash problem already planned and which will be completed by the time the development is expected to be generating traffic.

  • Sight distance information and measurement or calculation is necessary at the land use permit stage of development. Substandard sight distance at locations has resulted in the need for developers to rebuild roadways, conduct extensive grading operations, or relocate planned entrances. Therefore, while generally not necessary at the rezoning stage, providing this information as early in the development process as possible will help the developer avoid unnecessary costs.

  • Analysis of Future Conditions With Development. How far into the future projections are required for analysis is based on trip generation. For sites generating less than 500 VPH, at build-out or 6 years after start (whichever is later) is used; for 500-999 VPH, 6 years after build-out; for 1000+ VPH, 6 years after build-out, but the time may be extended in consultation with the locality.

The base date for the projection will depend on the type of development. The base date for a commercial development is typically the opening date, which unless phased, is at full build-out on opening date. However with a residential development, the opening date and full build-out can produce very different traffic conditions. Existing conditions are the base, but require analysis of opening, each phase, and build-out.

6Administrative Guidelines December 2018

SCOPE OF WORK MEETING CHECKLIST

REQUIRED ELEMENTS OF A “LOW VOLUME ROAD” TIA

Residential development with low trip generation (400 vehicle trips per day) generally does not affect the highway network very far from the site. The focus of the analysis is on the road fronting the development and the nearest intersection.

The traffic impact analysis study for such submissions will need to address the following elements: □ Executive Summary: Site location and study area; description of the proposed development; conclusions; recommendations. □ All elements contained in the Background Information portion of the Required Elements table, except the geographic scope/limits of the study area is limited to the highway fronting the proposed development and the closest intersection with a highway that has an average daily traffic volume higher than the fronting highway. □ A roadway safety inventory study of the roadway segment or segments between the site entrance to the nearest intersections with the higher traffic volume highways, to include such elements as:

  • Speed limit - Existing warning signs
  • Pavement and shoulder type - Pavement and shoulder width
  • Intersection sight distances - Horizontal and vertical alignments
  • Safe horizontal curve speeds - Sight distance
  • Distances to nearby existing entrances - Crash history in proximity to the site □ Daily and peak hour traffic volumes presented on diagrams, with counts provided in an appendix:
  • For the fronting highway at the site,
  • At the highway’s intersections with the higher volume highway, and
  • For the higher volume highways at their intersection with the fronting highway. □ All relevant elements in the Trip Generation portion of the Required Elements table. □ Projected daily and peak hour of the generator traffic volumes assuming build-out of the proposal, presented on diagrams for the receiving highway:
  • At the site,
  • At the highway’s intersection with the higher volume highways, and
  • For the higher volume highways at their intersections with the receiving highway. □ Delay/level of service analysis for the receiving highway intersections with the higher volume highways. □ A comparison of the existing geometrics of the fronting highway under proposed build-out traffic conditions with the geometric standards, based upon functional classification and volume, contained in VDOT’s Road Design Manual. □ Description and diagram of the location, nature, and extent of the proposed improvements, with preliminary cost estimates as available from VDOT. □ Clear, concise description of the study findings.

7Administrative Guidelines December 2018

SCOPE OF WORK MEETING CONCLUSIONS

ADDITIONS TO THE VDOT REQUIRED ELEMENTS, CHANGES TO THE

METHODOLOGY OR STANDARD ASSUMPTIONS, AND SIGNATURE PAGE

Any additions to the VDOT Required Elements or changes to the Methodology or Standard Assumptions due to special circumstances that are approved by VDOT: ___________












The applicant will contact VDOT and the locality prior to the preparation of the traffic impact analysis study in the event there are any substantial changes in the existing conditions that will affect the scope of the study.

AGREED: _____ DATE: ______ Applicant or Consultant

PRINT NAME: _____ Applicant or Consultant

SIGNED: ______ DATE: ______ VDOT Representative

PRINT NAME: _____ VDOT Representative

SIGNED: ______ DATE: ______ Local Government Representative

PRINT NAME: _____ Local Government Representative

8Administrative Guidelines December 2018

Traffic Impact Analysis Regulations

24VAC30-155

VDOT TIA STUDY EVALUATION CHECKLISTS

Page

  1. Checklist: Evaluation of the Submitted VDOT Traffic Impact Analysis Study…………………………………………………..……………….. 2

  2. Checklist: Evaluation of the Submitted Low Volume Road Traffic Impact Analysis Study………………………………………………..................……………….. 5

1Administrative Guidelines December 2018

VDOT CHECKLIST EVALUATION of the SUBMITTED VDOT TRAFFIC IMPACT ANALYSIS

ITEM PROVIDED OR NOT APPLICABLE (NA)•

Verify Use of Methodology and Standard Assumptions in Regulations (or Changes Approved at Scope of Work Meeting)

Verify any Additions to Required Elements Approved at Scope of Work Meeting

Introduction and Summary

Purpose of report and study objectives

Executive Summary: Site location and study area; description of the proposed development; conclusions; recommendations.

Background Information

List of all non-existent transportation improvements assumed in the analysis

Map of site location, description of the parcel, general terrain features, and location within the jurisdiction and region.

Comprehensive plan recommendations for the subject property

Current and proposed zoning of the subject property

Description of geographic scope / limits of study area.

Plan at an engineering scale of the existing and proposed site uses.

Description and map or diagram of nearby uses, including parcel zoning.

Description and map or diagram of existing roadways.

Description and map or diagram of programmed improvements to roadways, intersections, and other transportation facilities within the study area.

Analysis of Existing Conditions

Collected daily and peak hour of the generator traffic volumes, tabulated and presented on diagrams with counts provided in an appendix.

Analyses for intersections and roadways identified by VDOT. Delay and Level of Service (LOS) are tabulated and LOS is presented on diagrams for each lane group.

2Administrative Guidelines December 2018

ITEM PROVIDED OR NOT APPLICABLE (NA)•

When the type of development proposed would indicate significant potential for walking, bike or transit trips either on- or off-site, analyses of pedestrian and bicycle facilities, and bus route(s) and segment(s), tabulated and presented on diagrams, if facilities or routes exist.

Speed Study

Crash history near site

Sight distance

Analysis of Future Conditions Without Development

Description of and justification for the method and assumptions used to forecast future traffic volumes.

Analyses for intersections and roadways as identified by VDOT. Delay and Level of Service (LOS) are tabulated and LOS is presented on diagrams for each lane group.

When the type of development proposed would indicate significant potential for walking, bike or transit trips either on- or off-site, analyses of pedestrian and bicycle facilities, and bus route(s) and segment(s) tabulated and presented on diagrams, if facilities or routes exist or are planned.

Trip Generation

Site trip generation, with tabulated data, broken out by analysis year for multi-phase developments, and including justification for deviations from ITE rates, if appropriate.

Description and justification of internal capture reductions for mixed use developments and pass-by trip reductions, if appropriate, including table of calculations used.

Site Traffic Distribution and Assignment

Description of methodology used to distribute trips, with supporting data.

Description of the direction of approach for site generated traffic and diagrams showing the traffic assignment to the road network serving the site for the appropriate time periods.

Analysis of Future Conditions With Development

Forecast daily and peak hour of the generator traffic volumes on the highway network in the study area, site entrances and internal roadways, tabulated and presented on diagrams.

Analyses for intersections and roadways identified by VDOT. Delay and Level of Service (LOS) are tabulated and LOS presented on diagrams for each lane group.

3Administrative Guidelines December 2018

ITEM PROVIDED OR NOT APPLICABLE (NA)•

When the type of development proposed would indicate significant potential for walking, bike or transit trips either on- or off-site, analyses of pedestrian and bicycle facilities, and bus route(s) and segment(s) tabulated and presented on diagrams, if facilities exist or are planned.

Recommended Improvements

Description and diagram of the location, nature, and extent of proposed improvements, with preliminary cost estimates as available from VDOT.

Description of methodology used to calculate the effects of travel demand management (TDM) measures, if proposed, with supporting data.

Analyses for all proposed and modified intersections in the study area under the forecast and site traffic. Delay, and Level of Service (LOS) are tabulated and LOS presented on diagrams for each lane group. For intersections expected to be signalized, MUTCD Signal Warrant analysis or ITE Traffic Signal Timing Manual, as determined by VDOT, presented in tabular form.

When the type of development proposed would indicate significant potential for walking, bike or transit trips either on- or off-site, analyses of pedestrian and bicycle facilities, and bus route(s) and segment(s) tabulated and presented on diagrams, if facilities or routes exist or are l d Conclusions

Clear, concise description of the study findings.

NOTES:_____________









SIGNED: ______ DATE: __ VDOT Representative

PRINT NAME: _______

4Administrative Guidelines December 2018

VDOT Representative

5Administrative Guidelines December 2018

VDOT CHECKLIST EVALUATION of the SUBMITTED “LOW VOLUME ROAD”

VDOT TRAFFIC IMPACT ANALYSIS

ITEM PROVIDED OR NOT APPLICABLE (NA)•

Verify Use of Methodology and Standard Assumptions in Regulations (or Changes Approved at Scope of Work Meeting)

Verify any Additions to Elements Approved at Scope of Work Meeting

Summary

Executive Summary: Site location and study area; description of the proposed development; conclusions; recommendations.

Background Information

All elements contained in the Background Information portion of the Required Elements table:

  • Except the geographic scope/limits of the study area is limited to the highway fronting the proposed development and

  • The closest intersection with a highway that has an average daily traffic volume higher than the fronting highway.

Roadway Safety Inventory Study

A roadway safety inventory study of the roadway segment or segments between the site entrance to the nearest intersections with the higher traffic volume highways, to include such elements as:

  • Speed limit

  • Existing warning signs

  • Pavement and shoulder type

  • Pavement and shoulder width

  • Intersection sight distances

6Administrative Guidelines December 2018

ITEM PROVIDED OR NOT APPLICABLE (NA)•

  • Horizontal and vertical alignments

  • Safe horizontal curve speeds

  • Sight distance

  • Distances to nearby existing entrances

  • Crash history in proximity to the site

Daily and Peak Hour Traffic Volumes

Daily and peak hour traffic volumes presented on diagrams, with counts provided in an appendix:

  • For the fronting highway at the site,

  • At the highway’s intersections with the higher volume highway, and

  • For the higher volume highways at their intersection with the fronting highway.

Trip Generation

All relevant elements in the Trip Generation portion of the Required Elements table.

Projected Daily and Peak Hour Volumes Assuming Build-Out

Projected daily and peak hour of the generator traffic volumes assuming build-out of the proposal, presented on diagrams for the receiving highway:

  • At the site,

  • At the highway’s intersection with the higher volume highways, and

  • For the higher volume highways at their intersections with the receiving highway.

Intersection Level of Service Analysis

Delay and level of service analysis for the intersections of the receiving highway with the higher volume highways.

Geometrics of the Fronting Highway

A comparison of the existing geometrics of the fronting highway under proposed build-out traffic conditions with the geometric standards, based upon functional classification and volume, contained in the Road Design Manual (24VAC30-155-100).

7Administrative Guidelines December 2018

ITEM PROVIDED OR NOT APPLICABLE (NA)•

Recommended Improvements

Description and diagram of the location, nature, and extent of the proposed improvements, with preliminary cost estimates as available from VDOT.

Conclusions

Clear, concise description of the study findings.

NOTES:_____________









SIGNED: ______ DATE: __ VDOT Representative

PRINT NAME: _______ VDOT Representative

8Administrative Guidelines December 2018

Traffic Impact Analysis Regulations

24VAC30-155

SAMPLE TRANSMITTAL LETTERS TO A LOCALITY

Two letters offer suggested language for communicating with the locality on the results of VDOT’s evaluation of a proposed rezoning’s traffic impact analysis or the evaluation of a locality’s comprehensive plan or amendment.

  1. Rezoning Application

  2. Comprehensive Plan or Plan AmendmentAdministrative Guidelines December 2018

SAMPLE TRANSMITTAL LETTER TO A LOCALITY Rezoning Application

County Administrator or City Manager County or City Street Address City, Virginia Zip Code

Dear

In accordance with §15.2-2222.1 of the Code of Virginia and the Virginia Traffic Impact Analysis Regulations, 24VAC30-155, a traffic impact analysis was prepared by ____ on the rezoning application for the proposed development project entitled___ submitted by _______[applicant].

We have evaluated this traffic impact analysis and prepared a report that summarizes the key findings and includes our comments on the accuracy of the methodologies, assumptions and conclusions presented in the analysis. [If appropriate add “VDOT’s report also includes comments on improvements to the transportation system that are recommended to mitigate the effects of the traffic that will be produced by the proposed development project”].

Both our report and comments and the traffic impact analysis are attached to assist the Planning Director, the Planning Commission and/or the Board of Supervisors (City or Town Council) in their decision-making process regarding the proposed development.

I am available at your convenience to meet with you, the Planning Director, the Planning Commission, and the Board of Supervisors (City or Town Council) to discuss the findings of our analysis and our comments and answer any questions. I also would appreciate the opportunity to present our comments on the key findings from the traffic impact analysis study at any public meeting on the above referenced project.

Finally, I ask that you arrange to have VDOT’s official comments included in the official public records (meeting minutes, staff report) on the proposed project and to have this letter, our comments and report, and the traffic impact analysis study placed in the case file for the rezoning application. VDOT will make these documents available to the general public through various means such as posting them on our website.

Sincerely,

cc: Director of Planning Rezoning ApplicantAdministrative Guidelines December 2018

SAMPLE TRANSMITTAL LETTER TO A LOCALITY Comprehensive Plan or Plan Amendment

County Administrator or City Manager County or City Street Address City, Virginia Zip Code

Dear

In accordance with the Virginia Traffic Impact Analysis Regulations, 24VAC30-155, your proposed comprehensive plan [comprehensive plan amendment] was submitted to the Virginia Department of Transportation (VDOT) for review on ____ because it was anticipated that the plan would create a substantial impact or substantial change to the existing transportation network of state highways.

We have evaluated the comprehensive plan [comprehensive plan amendment] and prepared a report and written comments on the results of our evaluation. The report presents a summary of our key findings as well as detailed comments on the future transportation improvements that will be needed to support the current and planned development of the locality. [We also have included cost estimates for the transportation improvements referenced in our report.]

Our report and comments are attached to assist the Planning Director, the Planning Commission and the Board of Supervisors (City or Town Council) in their decision-making process regarding the comprehensive plan [comprehensive plan amendment].

I am available at your convenience to meet with you, the Planning Director, the Planning Commission, and the Board of Supervisors (City or Town Council) to discuss our report and written comments and answer any questions. I also would appreciate the opportunity to present the results of our evaluation at any public meeting on the comprehensive plan [comprehensive plan amendment].

Finally, I ask that you arrange to have VDOT’s official comments included in the locality’s official public records (meeting minutes, staff report) and to have both this letter and VDOT’s report and written comments placed in the official file for the comprehensive plan [comprehensive plan amendment]. VDOT will make these documents available to the general public through various means such as posting them on our website.

Sincerely,

cc: Director of PlanningAdministrative Guidelines December 2018

CHANGES TO THE REGULATIONS DECEMBER 31, 2011

Adoption of a Mixed Use Trip Generation Model During 2011, VDOT selected an alternative non-ITE trip generation methodology that is automatically approved for use when a locality conducts a single traffic impact analysis for all parcels within a small area plan that is part of the comprehensive plan. This traffic impact analysis study can then be used for a rezoning proposed for a parcel within the boundaries of the small area plan.

It can also be used for a mixed use development when approved by VDOT at a scope of work meeting. The methodology, Mixed Use Trip Generation Model V 4.0, considers the trip reduction for mixed use development (see page 43 in the Traffic Impact Analysis chapter).

Revisions Required by 2011 General Assembly Legislation

SITE PLANS, SUBDIVISION PLATS EXEMPT FROM TIA REGULATIONS. The 2011 General Assembly amended §15.2-2222.1 so that effective July 1, 2011, localities were no longer required to submit site plans and subdivision plats to VDOT for review if they will substantially affect transportation on state highways. The provisions in the regulations that applied to these land development documents have been deleted.

REZONING THAT IS CONSISTENT WITH A VDOT TIA REGULATION REVIEWED COMPREHENSIVE PLAN. §15.2-2222.1 was amended to require VDOT’s review of a rezoning proposal to be more limited in scope if it is consistent with a locality’s comprehensive plan that has been previously reviewed pursuant to the regulations. The regulations have been amended to reduce the scope of traffic impact analysis study criteria for a rezoning proposal that conformed to a comprehensive plan reviewed by VDOT during which anticipated traffic impacts of the plan were evaluated based on the future land use map (see page 44).

Chapter 870 Changes to the Regulations Chapter 870 of the 2011 Acts of Assembly directed VDOT to review and adopt appropriate revisions to the regulations. Multiple methods were used to collect public input. An Advisory Committee was established with representatives from localities, engineering firms, land development groups, and growth management organizations. The Committee discussed issues of concern, reviewed public comments, and recommended revisions. The changes were adopted by VDOT’s Commissioner on November 3 and became effective December 31, 2011.

INCREASED TRIP GENERATION THRESHOLDS FOR REZONING SUBMITTALS.

State law requires VDOT to review rezoning proposals that will substantially affect transportation on state highways. The submittal threshold for rezoning proposals has been raised to concentrate on larger developments of a more regional scale.

The trip generation threshold requiring the submittal of a rezoning proposal to VDOT is increased from 100 peak hour trips for residential and 2,500 daily trips for other land uses to a new 5,000 vehicle trips per day threshold for all land uses. For residential developments on low volume roads, the trip generation threshold increased from 200 VPD to 400 VPD (see pages 23– 26).Administrative Guidelines December 2018

LOCAL TRAFFIC IMPACT STATEMENT. A rezoning applicant will now be able to submit a traffic impact analysis study prepared according to locality requirements that are certified by VDOT as meeting acceptable standards of professional practice. A developer will not have to prepare separate traffic impact studies according to a locality’s and VDOT’s requirements. Once certified by VDOT, the local study can serve both purposes. For a TIA submittal, if the locality has not established traffic impact study criteria, then the study will be prepared according to the methodology and assumptions in the regulations (see Local Traffic Impact Statement on page 41).

REZONING SUBMITTAL NOT REQUIRED BASED ON USES ALLOWED UNDER CURRENT ZONING OF PROPERTY. The regulations do not apply to a rezoning proposal, even if the proposal meets one of the above thresholds, if the rezoning will generate less daily traffic, and no increase in the existing hourly traffic, when compared to the trip generation of land uses allowed by right under the current zoning of the property, except governmental uses.

For example, if currently zoned residential and the property is proposed to be rezoned to allow a neighborhood type shopping center and the commercial use would generate less than or equal to the traffic that could be produced by a subdivision or an apartment complex of a density that would be allowed under the current zoning, then the commercial rezoning proposal would be exempt from the regulations (see Exemptions in Rezoning Chapter on page 26).

DEADLINE ESTABLISHED TO SCHEDULE A SCOPING MEETING. VDOT staff shall schedule a meeting with the locality and the developer to discuss the preparation of a traffic impact study on a rezoning within 60 days of being contacted. This deadline helps assure that the arrangements for a scoping meeting on a rezoning proposal are handled in a timely manner (see Scope of Work Meeting on page 28).

TRAFFIC IMPACT ANALYSIS METHODOLOGY REVISED. The methodology was evaluated based on three years of experience in its application as well as new concepts and best practices in traffic impact analysis. As a result of this evaluation, certain criteria and standards are revised in the methodology and standard assumptions for preparing a VDOT traffic impact analysis study (see page 51).

NEW CRITERIA FOR DETERMINING WHEN VDOT CAN REQUIRE A REZONING PACKAGE RESUBMISSION. VDOT shall not reject or require resubmission if a rezoning package has been prepared in accordance with best professional practice and substantially documents the expected impacts of the proposal.

VDOT shall provide the rezoning applicant the opportunity and time to make modifications to information submitted under the regulations before VDOT staff return the package to the locality and require its formal resubmission.

Revisions to submittals will be accommodated in a manner so the implementation of the regulations does not unnecessarily extend the local development review process (see Rezoning Package Review Rules on page 31).Administrative Guidelines December 2018

Revision Required by 2017 General Assembly Legislation

The 2017 General Assembly amended §15.2-2222.1 so that effective July 1, 2017, as part of its response to a TIA submission, NOVA District must specify by name and location any transportation facility having a functional classification of minor arterial or higher for which an increase in traffic volume is expected to exceed the capacity of such facility as a result of the proposed plan or amendment submitted under the Traffic Impact Analysis Regulations..Administrative Guidelines December 2018

Appendix F: NOVA DISTRICT REVIEW

Several requirements unique to Planning District 8 have been added to and are now included in §15.2-2222.1 of the Code. Because of these additional review requirements, the District has outlined the following submittal process instructions.

 NoVA District Land Use Directors (or designated Area Land Use Engineer) to receive and log the comprehensive plan amendment or rezoning application in LandTrack.  Forward a copy to the District Transportation Planning and Investment Director, and Northern Region Operations Director.  District staff will assess the impacts of the proposed change to the existing and future transportation infrastructure and will identify transportation facilities within the study area having a federal functional classification of minor arterial or above based on the 2014 functional classification map at the following link: http://www.arcgis.com/home/webmap/viewer.html?webmap=3eca6c9adb6649c988d98 734f85baddb  District staff will assess if the increase in traffic volume is expected to exceed the capacity of the facility with functional classification of Minor Arterial or above using a check list and the traffic study provided  The findings in the form of a check list or table listing the name and location of facilities with functional classification of Minor Arterial or above for which traffic volume exceeds capacity will be included in comments submitted to the locality and the Northern Virginia Transportation Authority (NVTA). The comments will also be posted online on the LandTrack Public site.

Virginia Recreational Access Program GuideDoc ID: Recreational

Original: 10,584 words
Condensed: 7,171 words
Reduction: 32.2%

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Recreational Access Program Guide

Administered by the Virginia Department of Transportation Local Assistance Division

Copyright 2014, Commonwealth of Virginia

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For further information, contact

VDOT Manager Virginia Department of Transportation

or

Local Assistance Division Virginia Department of Transportation 1401 East Broad Street Richmond, Virginia 23219 (804) 786-2746 http://www.virginiadot.org/business/local-assistance.asp

For information on qualifications for designating a recreational area, contact

Virginia Department of Conservation and Recreation 203 Governor Street, Suite 326 Richmond, Virginia 23219 (804) 786-4379

For information on qualifications for designating a historic site, contact

Virginia Department of Historic Resources

2801 Kensington Avenue Richmond, Virginia 23221 (804) 367-2323

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RECREATIONAL ACCESS PROGRAM GUIDE Table of Contents

Page

I. PURPOSE ............................................................................................................. 1

II. DEFINITIONS ...................................................................................................... 1 A. Adequate Access ......................................................................................................... 1 B. Recreational Area........................................................................................................ 1

C. Historic Site ................................................................................................................ 1 D. Focal Point .................................................................................................................. 2 E. Eligible Project Cost ................................................................................................... 2

III. ELIGIBLE PROJECTS ........................................................................................ 2 F. General ........................................................................................................................ 2

B. Recreational Access Roadways .................................................................................. 3 C. Recreational Access Bikeways ................................................................................... 4

IV. ROLES AND RESPONSIBLITIES ........................................................................ 5 D. The Local Government ............................................................................................... 5 B. State Agency Designation and Recommendation ....................................................... 5

C. The VDOT Manager ................................................................................................... 5 D. The District Administrator .......................................................................................... 6 E. The Director of Local Assistance Division ................................................................. 6 F. The Commonwealth Transportation Board (CTB) ..................................................... 6

V. PROJECT IMPLEMENTATION .......................................................................... 7

A. Application .................................................................................................................. 7 B. Approval ..................................................................................................................... 8 C. The State Environmental Review Process (SERP) ..................................................... 9 D. Projects Administered by VDOT .............................................................................. 10 E. Projects Administered by Others .............................................................................. 11 F. Time Frame for Application / Approval Process ...................................................... 12

VI. LIMITATIONS ................................................................................................... 12

G. Maximum Allocation ................................................................................................ 12 B. Funds Not To Be Anticipated ................................................................................... 13 C. Time Limits for Establishment of Recreational / Historic Facility ........................... 13 D. Improvements to Existing Roads .............................................................................. 14 E. Towns ........................................................................................................................ 14

VII. ACCEPTANCE INTO SYSTEM ......................................................................... 14

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List of Appendices

Appendix

Statutory Authority ..................................................................................................................... A

Commonwealth Transportation Board Recreational Access Fund Policy ............................. D

Example - Local Government Resolution Request for ............................................................. C

New Roadway or Existing Roadway Improvement ............................................................ C - 1 Combined Recreational Access Road and Bikeway ........................................................... C - 2

Bikeway .............................................................................................................................. C - 3 Towns Maintaining Own Streets ................................................................................................ D

Certification Form for State Funded Projects ........................................................................... E

Flow Chart – Recreational Access Project Request & Development Process ......................... F

Checklist........................................................................................................................................ G

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RECREATIONAL ACCESS PROGRAM GUIDE

I. PURPOSE The Recreational Access Program is a state-funded program intended to assist in providing adequate access to or within public recreational areas and historic sites operated by the Commonwealth of Virginia, or by a local government or authority. Federal sites are not eligible.

Recreational Access funds, with the appropriate designation and concurrence of the Director of Conservation and Recreation or the Director of Historic Resources, are allocated by the Commonwealth Transportation Board (CTB) in accordance with its policy revised February 20, 2008 (see Appendix D). While projects may qualify under either recreational or historic categories, the area may have both recreational and historic qualities. It is recommended that localities consult with both DCR and DHR to ensure the access project design takes all values into account when requesting funding under this program. These funds may be used for financing the construction or improvement of secondary or local system roads within all counties and cities and certain towns that are part of the Urban System, hereinafter referred to as eligible localities.

This guide describes the requirements, limitations and procedures for obtaining and utilizing Recreational Access funds.

II. DEFINITIONS

A. Adequate Access

Road: “Adequate Access” means a road from the nearest adequate publicly maintained road to the entrance of the recreational or historic facility, or to the entrance of the first parking area within such facility serving a major focal point. This may require construction of a new road, improvement of an existing road, or a combination of the two.

Bikeway: “Adequate Access” means a bikeway from the nearest existing or planned bikeway accommodation to the entrance of the recreational or historic site, or to the entrance of the first bicycle parking/storage area within such facility serving a major focal point. The bikeway may be located adjacent to an access road, or it may be constructed on a separate right of way.

B. Recreational Area

A recreational area is referenced as recreational facility operated by a state agency, a locality, or an authority representing two or more localities. Federal facilities are not eligible.

C. Historic Site

A site having historical significance operated by a state agency, a locality, or an authority representing two or more localities. The historical nature of such sites may be of local interest and it is not necessary that they be included in the National Register of Historic

Places or the Virginia Landmarks Register. Federal sites are not eligible.

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D. Focal Point

Within a recreational area or historic site, a distinct development area that warrants road or bikeway access not provided by existing facilities. For example, if an existing park is developed in phases and a new camping or ball field area is proposed for an area not accessible by the existing internal road, then that new focal point would be eligible for Recreational Access Program funding.

E. Eligible Project Cost

“Eligible Project Cost” means the allowable costs for which Recreational Access Program funds may be utilized. This includes the reasonable costs of preliminary engineering and surveying associated specifically with the project design and actual construction cost of a roadway built to VDOT standards for accommodating the projected traffic. Any pedestrian or bikeway accommodation deemed necessary for the project is eligible for funding. Bikeways may be multi-use in design and are funded separately according to the Section 33.1-223 of the Code of Virginia (Section 33.2-1510, effective October 1, 2014) (also referenced as Appendix A within this guide). However, pedestrian-only accommodation must be funded out of the roadway allocation. Excluded are items such as environmental studies and permits, obtaining right-of-way and relocation of utilities.

Optional roadway features other than those covered by this program may be included in a

project, provided that the costs of these features are borne by others.

Costs incurred prior to allocation by the CTB are not reimbursable.

III. ELIGIBLE PROJECTS F. General

Construction, reconstruction, maintenance and improvement of roads and bikeways are eligible for Recreational Access funding. A road or bikeway constructed with Recreational Access funds must serve a publicly developed recreational area or historic site operated by a state agency, a locality, or a local authority (not a federal facility). No access road or bikeway may be constructed, reconstructed, maintained or improved on privately owned property.

Development of the site to be served by the road or bikeway must be complete or in progress, or assurance must be provided that such development will be initiated, typically, within 6 months to a year of the request. In addition, the site must be designated as a public recreational or historic area by the Director of the appropriate state agency responsible for such, and that Director must recommend construction of the access project.

The program may provide, as deemed necessary, access to the site's entrance or to a logical focal point within the site. An access road and bikeway may be combined as one project.

It must be shown that the cost of constructing the access project is justified by the anticipated volume and type of traffic to be generated by the recreational or historic

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attraction. Evidence of sufficient public demand to support construction of the access project must also be provided.

Costs incurred in the development, design or construction of a proposed Recreational Access project prior to the allocation of funds by the CTB are not eligible for reimbursement through this program. Right of way acquisition and adjustment of utilities costs are not eligible for reimbursement at any time and must be funded by the applicant or from sources other than those administered by the Virginia Department of

Transportation. The State Environmental Review Process (SERP) is required to be completed for all state funded construction projects estimated to cost more than $500,000.

However, it is often necessary to initiate this environmental study prior to funding being approved for the project in order to facilitate the development plans for the recreational or historic area.

B. Recreational Access Roadways

Several important considerations should be kept in mind when proposing a Recreational Access road. Among these are:

  1. Logical termini and alignment - The road should be located to provide the most direct, cost-effective access to the recreational area or historic site. It should end either at the entrance to the area or at the main focal point within its boundaries (e.g., parking lot, information center, administration building, camping area). The first point at which visitors would leave their vehicle generally defines the focal point.

If the existing road system does not provide adequate access to the recreational area/historic site, the application must separately address the two specific segments involved: the proposed improvement to the existing road leading to the

recreational facility and the proposed access project within the recreational area itself.

A road alignment which would open adjacent land to residential or commercial development should be avoided. If the Recreational Access road must traverse privately owned property, efforts should be made to impose restrictions on such development through appropriate means such as zoning or deed restrictions. Also to be avoided, if possible, are alignments which involve railroad crossings or bridges.

  1. Design - Standards for a new or improved roadway will vary according to the type and amount of traffic it is projected to accommodate. (Please refer to the Virginia Department of Transportation’s (VDOT) Road Design Manual for guidance on these standards.) Additional width for turn movements may be included in program funding if fully warranted and documented.

A design speed of 30 mph is normal for park roads, but a higher or lower design speed may be considered if justification is provided.

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A minimum right of way necessary to accommodate the proposed access project’s design in accordance with VDOT’s Road Design Manual must be provided at no cost to the Department.

  1. Acceptance into Primary, Secondary or Local System - New roadways, upon completion, are opened to public use and are accepted into the appropriate system for maintenance. Recreational Access roads are normally designated as part of either the secondary or local road system, according to their location. In all counties except Arlington and Henrico, and in towns not maintaining their own road systems, these roads may be added to the secondary system of state highways. In cities and in towns receiving maintenance payments, and in the counties of Arlington and Henrico, the roads are taken into the road systems of these localities.

In a few exceptional instances, it has been deemed appropriate to designate the new access roadway as part of the primary system of state highways.

Recreational Access roads are expected to be open to public use at all times. In certain cases, they may be closed during specified hours for security purposes. If maintained as part of the primary or secondary state highway system, a permit for closure must be issued by the Department of Transportation.

No fee may be charged for the use of a roadway constructed with Recreational Access funds.

C. Recreational Access Bikeways

Recreational Access bikeways, because of their special nature, warrant additional considerations:

  1. Purpose - A Recreational Access bikeway is intended to serve the same purpose as an access road. That is, to provide appropriate bicycle access to a recreational or historic site, not to provide a recreational facility in itself. Like the access road, it should end at a logical focal point, normally the first place cyclists could park their bikes.

  2. Concept - A bikeway may be combined with a road as a single project, or it may be constructed as a separate access project. If a bikeway access project is requested to be constructed, but not adjacent to the roadway, it will be established on a separate right of way, which must be provided at no cost to the Department and maintained by the locality or state agency as a public right of way.

  3. Design - The design of the bikeway access project must be in accordance with the Department's standards for bikeways (please reference the current Road Design Manual for bicycle facility guidelines).

  4. Maintenance - A bikeway built within the right of way of an access road will be maintained as part of the road. Independent bikeways constructed outside the right of way limits of an access road must be regulated and maintained by the authority, agency or locality maintaining the site which they serve.

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  1. Zoning - A zoning ordinance, in accordance with §33.1-223 (§33.2-1510, effective October 1, 2014) and §15.2-2280 of the Code of Virginia, must be in effect and the corridor for the proposed bikeway access appropriately classified.

IV. ROLES and RESPONSIBLITIES

A. The Local Government

Application for Recreational Access Program funds may be made only by the governing body of the county, city or town in which the access road or bikeway project is to be constructed. The local government serves as the coordinator for all Recreational Access applications. After reviewing the application and consulting with the VDOT Manager, the locality will officially request the Recreational Access Program allocation with the appropriate locality resolution. Sample resolutions are found in Appendix C. For state operated facilities such as state parks, or for facilities operated by an authority, the state agency or authority may assume some of the responsibilities for preparing the application; however, the local government will be expected to provide a resolution in request of the project and funding.

B. State Agency Designation and Recommendation 1. Virginia Department of Conservation and Recreation

Upon receipt of a request for Recreational Access Program funding for access to a public recreational facility, VDOT will consult with the Director of the Department of Conservation and Recreation. It is also recommended that the locality forward information pertaining to the recreational facility to be accessed to the Director of the Department of Conservation and Recreation at 203 Governor Street, Suite 326, Richmond, Virginia. 23219.

  1. Virginia Department of Historic Resources

Upon receipt of a request for Recreational Access Program funding for access to a public historic site, VDOT will consult with the Director of the Department of Historic Resources. It is also recommended that the locality forward information pertaining to the recreational facility to be accessed to the Director of the Department of Historic Resources at 2801 Kensington Avenue, Richmond, Virginia 23221.

C. The VDOT Manager

The VDOT Manager as referenced in this guide is the department employee responsible for administration of the Recreational Access Program for that locality. The VDOT Manager will provide guidance to the locality in preparing a resolution requesting funding, in preparing sketches and cost estimates for requested road improvements, in initiating the

SERP process, if required, and in assembling a file with information necessary for review by other offices of VDOT, and other pertinent state agencies.

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The VDOT Manager will determine the cost of constructing the proposed road or bikeway. (Recreational Access funds may not be used for the acquisition of right of way or the adjustment of utilities, and these costs must be funded by the recipient or from other available sources. Likewise, all costs above the maximum Recreational Access allocation and any costs considered ineligible for program funding must be borne by the recipient.)

The VDOT Manager will review the entire assembly and resolve any apparent problems before forwarding the request and recommendation to the District Administrator.

D. The District Administrator

The District Administrator or designee will verify road design standards and cost estimates, and will forward the assembly of information with a recommendation to the Director of the Local Assistance Division.

E. The Director of Local Assistance Division

The Director of Local Assistance will coordinate review of the application with appropriate VDOT offices and DCR for access to recreational areas or with DHR for access to historic sites. A site visit may be scheduled if deemed necessary. A recommendation will be requested from the Director of DCR or the Director of DHR indicating whether the development constitutes an appropriate use of funds and whether it is recommended that an allocation be made. The applicant will be contacted if any details remain unresolved or if the proposed facility or access project requires modification to meet eligibility criteria. After all prerequisites have been met for a viable project the Director of Local Assistance may recommend approval to the CTB.

If a locality or state agency desires to administer the project and the Department of Transportation concurs, the Local Assistance Division will prepare an appropriate state funded project administration agreement covering respective responsibilities, schedules and payment of costs. Any cost incurred or contract executed prior to CTB approval of the

project will not be eligible for funding from the Recreational Access Program.

F. The Commonwealth Transportation Board (CTB)

The CTB, upon consideration of a complete application, may allocate funds for the requested access project. Contingencies which must be satisfied will be specified in the language of the CTB’s allocation resolution. This allocation is for the exclusive purpose of financing the eligible costs actually incurred in constructing the specific access facility. The date of the allocation is the date the CTB approves the project and funding amount by resolution. All project information must be received by the VDOT Manager with sufficient time for review. The complete assembly of information and documentation for the project request, accompanied by the recommendation of the VDOT Manager, should be submitted to the Local Assistance Division approximately 30 days prior to the CTB meeting. The CTB usually meets the third Thursday of each month.

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Recreational Access Program funds will be authorized for expenditure or reimbursement when all contingencies of the CTB’s allocation have been satisfied.

V. PROJECT IMPLEMENTATION

A. Application

Application for Recreational Access Funds may be made only by the governing body of the county, city or town in which the access road or bikeway is to be provided or maintained.

The following preliminary steps should be observed in developing an application:

  1. Develop a plan for the recreational area or historic site to the extent that, if it is not already established, its cost has been estimated and funding for its construction or

expansion has been a.) appropriated, b.) included in an approved capital improvement plan, or c.) anticipated for a future year's capital improvement plan. Adequate assurance must be provided that the facilities will be developed and operational at the approximate time the access project is proposed for completion.

  1. Contact the Department of Conservation and Recreation or the Department of Historic Resources for a preliminary opinion as to whether or not the proposed recreational area or historic site meets its criteria for official designation as such. This designation is a requisite for Recreational Access funding.

  2. Contact the Department of Transportation's VDOT Manager. The VDOT Manager, for the locality, is the primary liaison between the Department and the applicant from

the preliminary phase through project completion and should be consulted at an early stage for advice and assistance. The locality may request that the Department provide the design for the road. If the locality designs the Recreational Access facility, it must ensure that the road or bikeway design conforms to VDOT standards. Construction of the facility may be administered by the Department of Transportation or by the applicant through a project administration agreement.

Once the plan for development and funding of the recreational area or historic site is established and the preliminary road or bikeway design has been completed, the formal application process may be initiated. The following actions and documentation are required of the applicant:

  1. Make an official request for Recreational Access funds by resolution of the local governing body. If a proposed access facility is located within more than one locality, a separate resolution will be required from each locality. Likewise, if the proposed facility is to be located in a town which does not maintain its own streets, the request from the Town Council should be concurred in by a separate resolution of the county Board of Supervisors. The local government must also provide a resolution for an allocation for access to a facility to be developed by a state agency, Sample resolutions are included in Appendix C.

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  1. Submit the following information to the VDOT Manager: a. Original or certified copy of resolution from the local governing body requesting Recreational Access funds for the project. The resolution must contain a guarantee to provide right of way and adjustment of utilities, if required, at no cost to the Recreational Access Fund.

b. Site plan of recreational or historical area, showing proposed access road or bikeway. c. Description of existing and/or proposed recreational or historical area facilities. d. Estimated volume and type of traffic to be generated by the recreational or historic area.

e. Amount and status of funding for construction, development or improvement of the recreational or historic area to be served by the proposed access facility (documentation of appropriation in current year, inclusion in capital improvement plan for future year, etc.). f. Description of the proposed access facility (design standards, location).

The VDOT Manager will determine the cost of constructing the proposed road or bikeway. (Recreational Access funds may not be used for the acquisition of right of way or the adjustment of utilities, and these costs must be funded by the applicant or from other available sources. Likewise, all costs above the maximum Recreational Access allocation and any costs considered ineligible for program funding must be borne by the applicant.)

The VDOT Manager will review the entire assembly and resolve any apparent problems before sending it forward.

B. Approval

The VDOT Manager will forward the request for funds with a recommendation through the District Administrator to the Director of Local Assistance.

  1. The District Administrator will review the application assembly for completeness, determine whether the proposed facility's location, scope and design are appropriate, and confirm the accuracy of cost estimates. The application will then be forwarded to the Director of Local Assistance with a recommendation from the District Administrator as to whether or not the proposed facility should be provided with

Recreational Access funds.

  1. The Director of Local Assistance will coordinate review of the application between the Department of Transportation and the Department of Conservation and Recreation or the Department of Historic Resources. A site visit may be conducted, either jointly or independently, by both agencies. The applicant will be contacted if any details remain unresolved or if the proposed facility requires modification to meet eligibility criteria. If either agency finds that the proposal is not in accordance with the Recreational Access Program's intent or otherwise fails to meet its basic qualifications, the applicant will be notified.

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  1. If all requirements are met, formal designation and approval of the access project will be requested from the Director of the Department of Conservation and Recreation for a recreational area or from the Director of the Department of Historic Resources for a historic area. Subsequent to this action, a recommendation for funding will be prepared by the Director of Local Assistance for consideration by the Commonwealth Transportation Board. The Board may allocate funds for the project, subject to contingencies that are specified in the Board's resolution. The applicant will be notified of the Transportation Board's official action on the request. Upon allocation, the project is subject to all rules of design, right of way, scheduling for advertisement,

bidding and construction of other similar projects administered by the Department of Transportation.

  1. If a county, city or town desires to administer the project and the Department of Transportation concurs, the Department will prepare an appropriate project administration agreement covering respective responsibilities, schedules and payment of costs. Any cost incurred or contract executed prior to CTB approval of the project will not be considered eligible for Recreational Access Program funding.

  2. Expenditure of funds will be authorized by the Department when all contingencies of the Board's resolution have been satisfied. No program funding will be authorized until assurance is provided that the recreational area or historic site will be open for public use at approximately the same time that the access project is completed.

Once an access road or bikeway is completed and undergoes final inspection, it is taken into the appropriate system for maintenance (state primary, state secondary or local) as indicated on page 14, paragraph VII . A bikeway constructed on separate right of way is the maintenance responsibility of the locality or authority operating the site which it serves.

C. The State Environmental Review Process (SERP) A memorandum of agreement (MOA) was executed by the Secretary of Natural Resources and the Secretary of Transportation on July 31, 1991. This document requires that

the state natural and historic resource agencies be provided an opportunity to comment on state funded road projects at the earliest stage of development. The SERP ensures that state resource agency views and interests will be considered in the project development process from concept through construction. The MOA for SERP was created pursuant to §10.1-1188 of the Code of Virginia, (Article 2, Environmental Impact Reports of State Agencies).

SERP is required for all state funded construction projects estimated to cost more than $500,000.

The SERP process will take approximately 60 days to complete. The time necessary for completion of the SERP and any environmental commitments or regulatory clearances that are required by law must be anticipated in the project’s development schedule. Therefore, the locality and VDOT Manager must work together in determining the viability of each proposed Recreational Access project with respect to the development schedule proposed for

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the project. The VDOT Manager may initiate the SERP process once the locality provides the location information and requests SERP initiation. The locality will be notified once the SERP is complete and informed of any environmental commitments or regulatory clearances necessary.

Where projects are to be administered by the locality requesting Recreational Access Program funds, the locality is directed to Chapter 15 Environmental Requirements (SERP 15.3) in the Locally Administered Projects (LAP) Manual if the project is estimated to cost more than $500,000.

Additional information regarding environmental requirements can be found on the following VDOT website:

http://www.virginiadot.org/business/environmental_requirements_for_state_funded_projects.asp

Regardless of the applicability of SERP, recipients of Recreational Access Program funding are responsible for complying with all applicable state and/or federal environmental laws, regulations, etc. Compliance is documented on the Certification Form (see Appendix E)

D. Projects Administered by VDOT

  1. When funding for an Recreational Access project is approved by the CTB, the project is deemed viable. However, it is subject to many of the same applicable project development requirements as other state funded projects administered by VDOT. .
  2. The locality provides the project scope information to the VDOT Manager for a determination of SERP applicability based on the $500,000 threshold. The recipient of the Recreational Access Program allocation is responsible for obtaining any necessary state/federal permits as well as complying with other applicable state/federal environmental laws. Compliance is documented on the Project Certification form (see Appendix E).

  3. The VDOT manager provides documentation of the dedicated right of way for the project to the District Right of Way Manager. The District forwards this information and its recommendation to VDOT’s Right of Way and Utilities Division Director, who certifies that right of way and utility adjustments for the project have been obtained at no cost to the Recreational Access Program fund. The provision of

unencumbered right of way by the locality includes completion of any extensive environmental studies and required mitigation of existing environmental conditions.

  1. The Local Assistance Division prepares a project administration agreement between a county, city, or town or state agency and VDOT if: 1) the project requires environmental studies or permits; 2) the project requires the provision of right of way;
  2. the project requires matching funds; or, 4) the project includes ineligible project costs. The agreement specifies responsibilities and payment of costs. Such agreement

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is subject to review and concurrence by the Office of the Attorney General prior to its execution by the appropriate party and VDOT management.

  1. The locality or state agency, where applicable, provides payment to the VDOT manager for any required matching funds, ineligible project costs, or eligible projects in excess of the Recreational Access allocation prior to the project being authorized for construction. The VDOT manager forwards this payment to the Local Assistance Division, which will ensure that it is credited to the project.

  2. The expenditure of funds for the project may be authorized by VDOT only after all contingencies of the CTB’s resolution have been met.

  3. A VDOT-administered project must be authorized with all necessary funding in place before the project may be advertised or constructed.

  4. Once a project is authorized, the VDOT manager will coordinate all aspects of the construction of VDOT-administered projects.

E. Projects Administered by Others

  1. When funding for a Recreational Access project is approved by the CTB, the project is deemed viable. However, it is subject to the same requirements as other state funded, locally administered projects as described in the Locally Administered Projects Manual. Projects administered under this program are approved by the CTB at the time of the allocation by resolution.

  2. The Local Assistance Division prepares a project administration agreement between a county, city, or town or, if applicable, the state agency and VDOT if the locality wishes to administer the Recreational Access project itself. The project administration agreement requires adherence to state procurement regulations in the administration of the project’s construction, and specifies responsibilities, schedules, and payment of costs. VDOT strongly recommends its standard project administration agreement for state funded projects be used for all projects that are not administered by VDOT. If a custom agreement is used such agreement is subject to review and concurrence by the

Office of the Attorney General prior to its execution by a local governing body, or the applicable state agency and VDOT management.

The project administration agreement is the contract that authorizes the locality or state agency to perform any work that can be reimbursed from VDOT funds and must be executed prior to authorizing work. Any cost incurred or contract executed by a local governing body, its agent or, if applicable, the state agency, prior to project approval and allocation by the CTB, will not be reimbursed through the Recreational Access Program, unless otherwise agreed to by the Director of Local Assistance.

  1. The VDOT manager provides documentation of the dedicated right of way for the project to the District Right of Way Manager. The District forwards this information and its recommendation to VDOT’s Right of Way and Utilities Division Director,

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who certifies that right of way and utility adjustments for the project have been obtained at no cost to the Recreational Access Program fund. The provision of unencumbered right of way by the locality, or state agency, if applicable, includes completion of any extensive environmental studies and required mitigation of existing environmental conditions.

  1. The expenditure of funds for the project will be approved by VDOT only after all contingencies of the Transportation Board’s resolution have been met.

  2. A project that is to be administered by others must be authorized with funding approved for expenditure before VDOT will reimburse a locality or state agency for eligible costs attributed to the construction of the project. Appropriate documentation of costs and billing information must be provided by the locality or state agency administering the project.

  3. The VDOT manager will monitor the construction of projects administered by the locality or another state agency and will notify the Local Assistance Division when the construction is started and completed

F. Time Frame for Application / Approval Process

An initial request from a local governing body for Recreational Access Program funding usually takes four to six months to reach approval by the CTB. Meeting the conditions of CTB approval often requires another two or more months. It should also be noted that a number of different local and state governmental officials and bodies will review each request, some of which, including the CTB, meet once each month.

Steps in preparing and approving project administration agreements (if necessary), conducting environmental and historical reviews, advertising for bids, awarding a contract, and constructing the road will require varying lengths of time. Sixty days should be allowed to complete the SERP (State Environmental Review Process), if applicable, as well as completing any environmental additional studies required by state/federal laws and obtaining necessary permits. The SERP process (see page 9, paragraph C), if required, must be completed prior to any land disturbance activity. Planning ahead for an access road project is important.

VI. LIMITATIONS

G. Maximum Allocation

The Recreational Access Program is funded through an annual appropriation. Up to $3 million may be available annually for the program. Applications are considered on a first come, first served basis.

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Funding limitations for qualified projects have been established by statute, and they are as follows:

  1. Roads

State Facility - Not more than $400,000 may be allocated for an access road project to any facility operated by a state agency.

Local Facility - Not more than $250,000 may be allocated for an access road project to any facility operated by a locality or authority, with an additional $100,000 if matched on a dollar-for-dollar basis by the locality or authority from other than highway sources.

  1. Bikeways

State Recreational Area or Historic Site - Not more than $75,000 may be allocated for a bikeway project to a facility operated by a state agency.

Local Recreational Area or Historic Site - Not more than $60,000 may be allocated for a bikeway project to a facility operated by a locality or authority, with an additional $15,000 if matched on a dollar-for-dollar basis by the locality or authority from other than highway sources.

B. Funds Not To Be Anticipated

It is intended that Recreational Access Program funds be requested as reasonably needed by the localities of the state and state agencies, but that these funds not be anticipated from year to year. It is expected that these funds will either provide sufficient funding to ensure the completion of the access project requested and necessary, or additional funding must be

provided from other sources prior to the project being initiated.

C. Time Limits for Establishment of Recreational / Historic Facility In order to ensure the most effective use of the limited funds available for the program, allocations made for road improvements or bikeways are expected to be

committed by contract or otherwise under construction within two years from the date of CTB approval. Allocations for projects that are not actively under way within two years of project approval by the CTB may be deallocated to fund new projects unless the Director of Local Assistance grants an exception due to unusual circumstances. At the end of 22 months following the allocation, if the proposed improvements to serve facilities at the recreational area or historic site have not been initiated, the locality shall submit a written explanation of the status of the project and reason for delay if an extension of time is needed. Nothing precludes the locality from reapplying for an allocation in the future once the plans for economic development are more imminent.

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D. Improvements to Existing Roads

Where an existing road constitutes a portion of the secondary system of state highways or is part of the road system of the locality in which it is located, Recreational Access funds may be used to upgrade the existing road only to the extent required to meet the needs of traffic generated by the new or expanding establishment. Additionally, where access to an eligible recreational or historic area is via an existing road that can be determined inadequate for providing safe and efficient movement of the type of traffic generated by the site or that this traffic conflicts with the surrounding road network to the extent that it poses a safety hazard to the general public, consideration may be given to funding additional improvements.

Such projects must be requested by resolution of the local governing body and will be evaluated on case-by-case basis. The VDOT Regional Traffic Engineer may be requested to evaluate and provide a recommendation on such requests. However, turn lanes, signal lights or crossover improvements are not usually warranted as stand-alone projects and no primary highway may be improved with these funds. When a project is established to improve an existing road to serve a designated public recreational or historic area, Recreational Access funds will provide for improvements to the focal point of the recreational or historic area’s facilities.

E. Towns

Towns maintaining their own streets and receiving maintenance payments under §33.1-41.1 of the Code of Virginia (§33.2-319, effective October 1, 2014) shall be treated for purposes of this program as independent entities (for a list of these towns, see Appendix D).

Towns whose streets are maintained as a part of the secondary system of highways will

be considered as part of their respective county.

VII. ACCEPTANCE INTO SYSTEM New roadways, upon completion, are opened to public use and are to be accepted into the appropriate system for maintenance. In all counties except Arlington and Henrico, and in towns

not maintaining their own road systems, these roads will be added to the secondary system of state highways. In cities and towns receiving maintenance payments, and in the counties of Arlington and Henrico, these roads are to be taken into the road system of these localities. It is acceptable for owners or operators of park facilities, for security purposes, to gate access roads and close during certain hours. Gating may be permitted if acceptable under authority of the responsible local VDOT office.

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Statutory Authority

Code of Virginia

October 2014 Recreational Access Program Guide Appendix A

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October 2014 Recreational Access Program Guide Appendix B

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Appendix B

Commonwealth Transportation Board Policy

October 2014 Recreational Access Program Guide Appendix B

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October 2014 Recreational Access Program Guide Appendix C

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Commonwealth Transportation Board Recreational Access Fund Policy

October 2014 Recreational Access Program Guide Appendix D

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October 2014 Recreational Access Program Guide Appendix B

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Example - Local Government Resolution Request for funding for a New Roadway or Existing Roadway Improvement

BOARD OF SUPERVISORS/

CITY OR TOWN COUNCIL

Date __

At a regularly scheduled meeting of the [NAME of locality] [select (City/Town Council or County Board of Supervisors)] held on [month and day], 20[##], on a motion by [Board or Council member name], seconded by [Board or Council member name], the following resolution was adopted by a vote of [#] to [#]:

WHEREAS, the [name of park facility / historic area] is owned and is to be developed by the [(County/City/Town of [name of locality] or name of state agency, e.g., Department of Conservation and Recreation] as a [recreational/historic] facility serving the residents of [name of county/city/town] and adjoining localities; and

* choose one from the following two paragraphs that applies *** WHEREAS, the property on which this facility [is/will be] located has no access to a public street or roadway and will require the construction of a new roadway which will connect to [name of road] [Route ####]; and

WHEREAS, the existing public road network does not provide for adequate access to this facility and it is deemed necessary that improvements be made to [name of road] [Route ####];

and

WHEREAS, the procedure governing the allocation of recreational access funds as set forth in Section 33.2-1510 of the Code of Virginia requires joint action by the Director of the [Department of Conservation and Recreation / Department of Historic Resources] and the Commonwealth Transportation Board; and

WHEREAS, a statement of policy agreed upon between the said Director and Board approves the use of such funds for the construction of access roads to publicly-owned recreational or historical areas; and

WHEREAS, the [Board/Council] has duly adopted a zoning ordinance pursuant to Article 7 (Section 15.2-2280 et seq), Chapter 22, Title 15.2 of the Code of Virginia; and

WHEREAS, it appears to this [Board/Council] that all requirements of the law have been met to permit the Director of the [Department of Conservation and Recreation / Department of Historic Resources] to designate the [name of park facility / historic area] as a public [recreational facility / historic area] and further permit the Commonwealth Transportation Board to provide funds for access to this public recreation/historical area in accordance with Section 33.2-1510 of the Code of Virginia; and

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WHEREAS, the [Board/Council] agrees, in keeping with the intent of Section 33.2-405 of the Code of Virginia, to use its good offices to reasonably protect the aesthetic or cultural value of this road leading to or within areas of historical, natural or recreational significance; and

WHEREAS, the County/City/Town] of [name of locality] acknowledges that no land disturbance activities may occur within the limits of the proposed access project without the permission of the Department of Transportation as a condition of the use of the Recreational Access Fund.

WHEREAS, the County/City/Town]of [name of locality] hereby guarantees that the necessary environmental analysis, mitigation, and fee simple right of way for this improvement, and utility relocations or adjustments, if necessary, will be provided at no cost to the Virginia Department of Transportation; and

NOW, THEREFORE BE IT RESOLVED, that the [Board of Supervisors / City/Town Council] of [name of locality] hereby requests the Director of the [Department of Conservation

and Recreation / Department of Historic Resources] to designate the [name of park facility /historic area] as a [public recreational area / historic area] and to recommend to the Commonwealth Transportation Board that recreational access funds be allocated for an adequate access road to serve said [park / historical] area; and

BE IT FURTHER RESOLVED, that the Commonwealth Transportation Board is hereby requested to allocate the necessary recreational access funds to provide a suitable access road as hereinbefore described.

BE IT FURTHER RESOLVED, that the [County Administrator or City/Town Manager and/or his designee(s) be authorized to act on behalf of the [Board of Supervisors, City/Town Council]to execute any and all documents necessary to secure the funding sought through the Recreational Access Program up to, but not exceeding, $ state funds.

* use the following paragraph if the project is for a new road *** BE IT FURTHER RESOLVED THAT: The [NAME of locality] [select (City/Town Council or County Board of Supervisors)] hereby agrees that the new roadway so constructed will be added to and become a part of the [select "road system of the (City/Town) of (name of locality)" if locality maintains its own road system) OR (select "secondary system of highways", if the locality does not maintain its own road system)].

Chairman

ATTEST

Town/City Manager / County Administrator

October 2014 Recreational Access Program Guide Appendix C - 1

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Example – Local Government Resolution Request for funding for a Combined Recreational Access Road and Bikeway

BOARD OF SUPERVISORS/

CITY OR TOWN COUNCIL

Date __

At a regularly scheduled meeting of the [NAME of locality] [select (City/Town Council or County Board of Supervisors)] held on [month and day], 20[##], on a motion by [Board or Council member name], seconded by [Board or Council member name], the following

resolution was adopted by a vote of [#] to [#]

WHEREAS, the [name of park facility / historic area] is owned and is to be developed by the [(County/City/Town of [name of locality] or name of state agency, e.g., Department of Conservation and Recreation] as a [recreational / historic] facility serving the residents of [name of county/city/town] and adjoining localities; and

* choose one from the following two paragraphs that applies *** WHEREAS, the property on which this facility [is/will be] located has no access to a public street or roadway and will require the construction of a new roadway which will connect to [name of road] [Route ####]; and

WHEREAS, the existing public road network does not provide for adequate access to this facility and it is deemed necessary that improvements be made to [name of road] [Route ####]; and

WHEREAS, the procedure governing the allocation of recreational access funds as set forth in Section 33.2-1510 of the Code of Virginia requires joint action by the Director of the [Department of Conservation and Recreation / Department of Historic Resources] and the Commonwealth Transportation Board; and

WHEREAS, the procedure governing the allocation of recreational access funds as set forth in Section 33.2-1510 of the Code of Virginia requires joint action by the Director of the [Department of Conservation and Recreation / Department of Historic Resources] and the Commonwealth Transportation Board; and

WHEREAS, a statement of policy agreed upon between the said Director and Board approves the use of such funds for the construction of access facilities to publicly-owned recreational or historical areas; and

WHEREAS, the [Board/Council] has duly adopted a zoning ordinance pursuant to Article 7 (Section 15.2-2280 et seq), Chapter 22, Title 15.2 of the Code of Virginia; and

WHEREAS, it appears to this [Board/Council] that all requirements of the law have been met to permit the Director of the [Department of Conservation and Recreation / Department of Historic Resources] to designate the [name of park facility / historic area] as a public [recreational facility / historic area] and further permit the Commonwealth Transportation Board to provide funds

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for access to this public recreation/historical area in accordance with Section 33.2-1510 of the Code of Virginia; and

WHEREAS, the [Board/Council] agrees, in keeping with the intent of Section 33.2-405 of the Code of Virginia , to use its good offices to reasonably protect the aesthetic or cultural value of this road leading to or within areas of historical, natural or recreational significance; and

WHEREAS, the [County/City/Town] of [name of locality] acknowledges that the State Environmental Review Process (SERP) must be completed prior to any construction activity on this project as a condition of the use of the Recreational Access Fund.

WHEREAS, the County/City/Town] of [name of locality] hereby guarantees that the necessary environmental analysis, mitigation, and fee simple right of way for this improvement, and utility relocations or adjustments, if necessary, will be provided at no cost to the Virginia Department of Transportation; and

NOW, THEREFORE BE IT RESOLVED, that the [Board of Supervisors / City/Town Council] of [name of locality] hereby requests the Director of the [Department of Conservation and Recreation / Department of Historic Resources] to designate the [name of park facility /

historic area] as a [public recreational area / historic area] and to recommend to the Commonwealth Transportation Board that recreational access funds be allocated for an adequate access road to serve said [park / historical] area; and

BE IT FURTHER RESOLVED, that the Commonwealth Transportation Board is hereby requested to allocate the necessary recreational access funds to provide a suitable access road and bikeway as hereinbefore described.

BE IT FURTHER RESOLVED, that the[County Administrator or City/Town Manager and/or his designee(s) be authorized to act on behalf of the [Board of Supervisors, City/Town Council]to execute any and all documents necessary to secure the funding sought through the Recreational Access Program up to, but not exceeding, $ state funds.

* use the following paragraph if the project is for a new road and bikeway (combined) *** BE IT FURTHER RESOLVED, that the[NAME of locality] [select (City/Town Council or County Board of Supervisors)]hereby agrees that the new roadway including the bikeway so constructed will be added to and become a part of the [select "road system of the (City/Town) of (name of locality)" if locality maintains its own road system) OR (select "secondary system of highways", if the locality does not maintain its own road system)].

Chairman

ATTEST

Town/City Manager / County Administrator

October 2014 Recreational Access Program Guide Appendix C - 2

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Example – Local Government Resolution Request for funding for a Bikeway

BOARD OF SUPERVISORS/

CITY OR TOWN COUNCIL

Date __

At a regularly scheduled meeting of the [NAME of locality] [select (City/Town Council or

County Board of Supervisors)] held on [month and day], 20[##], on a motion by [Board or Council member name], seconded by [Board or Council member name], the following resolution was adopted by a vote of [#] to [#]:

WHEREAS, the [name of park facility / historical area] is owned and is to be developed by the [(County/City/Town of [name of locality] or name of state agency, e.g., Department of Conservation and Recreation] as a [recreational / historic] facility serving the residents of [name of county/city/town] and adjoining localities; and

WHEREAS, the facility is in need of adequate bicycle access; and

WHEREAS, the procedure governing the allocation of recreational access funds as set forth in Section 33.2-1510 of the Code of Virginia requires joint action by the Director of the [Department of Conservation and Recreation / Department of Historic Resources] and the Commonwealth Transportation Board; and

WHEREAS, a statement of policy agreed upon between the said Director and Board approves the use of such funds for the construction of access facilities to publicly-owned recreational or historical areas; and

WHEREAS, the [Board/Council] has duly adopted a zoning ordinance pursuant to Article 7 (Section 15.2-2280 et seq), Chapter 22, Title 15.2 of the Code of Virginia; and

WHEREAS, it appears to this [Board/Council] that all requirements of the law have been met to permit the Director of the [Department of Conservation and Recreation / Department of Historic Resources] to designate the [name of park facility / historic area] as a public [recreational facility / historic area] and further permit the Commonwealth Transportation Board to provide funds for access to this public recreation/historical area in accordance with Section 33.2-1510 of the Code of Virginia; and

WHEREAS, the right of way of the proposed bicycle access is provided by the [County/City/Town]] of [name of locality] at no cost to the Virginia Department of Transportation; and

October 2014 Recreational Access Program Guide Appendix C - 3

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* use the following paragraph if bikeway project constructed outside roadway right of way or for bikeway project within the jurisdiction of a locality maintaining its own road system *** WHEREAS, this [Board/Council] acknowledges that, pursuant to the provisions of Section 33.2-1510 of the Code of Virginia, this bikeway, once constructed, shall be regulated and maintained by the [County/City/Town/Operating Authority].

WHEREAS, the County/City/Town] of [name of locality] acknowledges that the State Environmental Review Process (SERP) must be conducted on this project as a condition of the use of the Recreational Access Fund.

NOW, THEREFORE BE IT RESOLVED, that the [Board of Supervisors or City/Town Council] of [name of locality] hereby requests the Director of the [Department of Conservation and

Recreation / Department of Historic Resources] to designate the [name of park facility or historic area] as a public [recreational / historic] area and to recommend to the Commonwealth Transportation Board that recreational access funds be allocated for a bikeway to serve said [recreational / historic] area; and

BE IT FURTHER RESOLVED, that the Commonwealth Transportation Board is hereby requested to allocate the necessary Recreational Access Program funds to provide a suitable bikeway as hereinbefore described.

BE IT FURTHER RESOLVED, that the [County Administrator or City/Town Manager and/or his designee(s) be authorized to act on behalf of the [Board of Supervisors, City/Town Council] to execute any and all documents necessary to secure the funding sought through the Recreational Access Program up to, but not exceeding, $ state funds.

(SEAL) Chairman

ATTEST

Town/City Manager / County Administrator

October 2014 Recreational Access Program Guide Appendix C - 3

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Cities and Towns Maintaining Own Streets Under the Urban System

City Town Town Alexandria Abingdon Leesburg Bedford Altavista Luray Bristol Ashland Marion Buena Vista Berryville Narrows Charlottesville Big Stone Gap Orange Chesapeake Blacksburg Pearisburg Colonial Heights Blackstone Pulaski Covington Bluefield Purcellville Danville Bridgewater Richlands Emporia Broadway Rocky Mount Fairfax Chase City Saltville Falls Church Chincoteague Smithfield Franklin Christiansburg South Boston Fredericksburg Clifton Forge South Hill Galax Colonial Beach Strasburg Hampton Culpeper Tazewell Harrisonburg Dumfries Vienna Hopewell Elkton Vinton Lexington Farmville Warrenton Lynchburg Front Royal Wise Manassas Grottoes Woodstock Manassas Park Herndon Wytheville Martinsville Lebanon Newport News Norfolk Norton Petersburg Poquoson Portsmouth Radford Richmond Roanoke Salem Staunton Suffolk Virginia Beach Waynesboro Williamsburg Winchester

October 2014 Recreational Access Program Guide Appendix D

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Certification Form for State Funded Projects

Project Number: UPC

This certification form is to be used to certify adherence to all applicable laws and regulations pertaining to locally administered state funded projects. This certification form will not be used for projects utilizing any federal funds. The signature at the bottom will certify that >INSERT LOCAL GOVERNMENT NAME< has met the following requirements for state funded projects. VDOT may perform project audits to verify compliance with this certification. False or inaccurate statements identified by VDOT or other state regulatory agencies may result in the requirement to return state aid and/or other penalties as allowed by State law.

Initials Certification Statement Check applicable statement: For highways maintained by the LPA, project plans have been designed in accordance with AASHTO standards and signed and sealed by a Virginia registered P.E. in accordance with DPOR;

OR For highways which will be operated and maintained by VDOT, project plans have been designed in accordance with VDOT Standards and that VDOT has reviewed the plans in accordance with the agreed upon schedule and all necessary design variances/waivers have been attained and the plans have been signed and sealed by a Virginia registered P.E. in accordance with DPOR.

All required regulatory agency coordination has been made and applicable permits or approvals have been acquired.

Where VDOT will operate and maintain the highway, that the LPA has performed appropriate due diligence to identify environmental hazards on new right of way and to the best of our knowledge, any existing environmental hazards have been identified and mitigated or a plan for mitigation during construction has been made.

Project was developed in accordance with State laws and regulations governing public involvement so that adequate and appropriate public notice and opportunity for public comment was provided.

All right of way has been obtained and that the LPA has legal right of entry onto each and every parcel for the advertisement and construction of the referenced Project.

The LPA has complied with the Code of Virginia requirements pertaining to relocations and the acquisition of real property.

All affected utilities have been relocated or companies authorized to relocate their facilities. If not, they are included as in-plan work to be performed by the road contractor.

The project was advertised in accordance with the Virginia Public Procurement Act and that the advertisement package included all appropriate EEO provisions.

All environmental regulations as are applicable to local government capital improvement projects and as required by State or federal laws applicable to non federal-aid projects have been met or provisions to meet continuing requirements during construction have been made. >INSERT LOCAL GOVERNMENT NAME< acknowledges that failure to fulfill its legal obligations associated with those requirements identified in this certification may result in project delays and/or delays or forfeiture of State reimbursements. >INSERT LOCAL GOVERNMENT NAME< further acknowledges that obligations associated with those requirements identified in this certification may be subject to audit by VDOT or State oversight agencies. _____ Local Government Manager (City Manager, County Administrator, City Engineer or County Director of Public Works or designated authority to sign) _____ Date cc: Project file VDOT Project Coordinator VDOT Local Assistance Director October 2014 Recreational Access Program Guide Appendix E

[TABLE 32-1] Initials | Certification Statement | Check applicable statement: For highways maintained by the LPA, project plans have been designed in accordance with AASHTO standards and signed and sealed by a Virginia registered P.E. in accordance with DPOR;

OR For highways which will be operated and maintained by VDOT, project plans have been designed in accordance with VDOT Standards and that VDOT has reviewed the plans in accordance with the agreed upon schedule and all necessary design variances/waivers have been attained and the plans have been signed and sealed by a Virginia registered P.E. in accordance with DPOR. | All required regulatory agency coordination has been made and applicable permits or approvals have been acquired. | Where VDOT will operate and maintain the highway, that the LPA has performed appropriate due diligence to identify environmental hazards on new right of way and to the best of our knowledge, any existing environmental hazards have been identified and mitigated or a plan for mitigation during construction has been made. | Project was developed in accordance with State laws and regulations governing public involvement so that adequate and appropriate public notice and opportunity for public comment was provided. | All right of way has been obtained and that the LPA has legal right of entry onto each and every parcel for the advertisement and construction of the referenced Project. | The LPA has complied with the Code of Virginia requirements pertaining to relocations and the acquisition of real property. | All affected utilities have been relocated or companies authorized to relocate their facilities. If not, they are included as in-plan work to be performed by the road contractor. | The project was advertised in accordance with the Virginia Public Procurement Act and that the advertisement package included all appropriate EEO provisions. | All environmental regulations as are applicable to local government capital improvement projects and as required by State or federal laws applicable to non federal-aid projects have been met or provisions to meet continuing requirements during construction have been made.

[/TABLE]

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Flow Chart – Recreational Access Project Request & Development Process

 Contacts local VDOT Manager with proposed development plans Locality  Contacts DCR for recreational areas or DHR* for historic sites and provides appropriate information to that office  Requests funds by resolution of governmental authority  Provides appropriate project information  Assembles project request information VDOT Manager  Reviews project information  Forwards information necessary for SERP, if appropriate  Confirms project design meets standards and verifies project cost estimate VDOT District Administrator  Reviews project information  Provides recommendation to Local Assistance Division

 Reviews project and recreational area or historic site information DCR or DHR*  Provides designation and recommendation, if appropriate, in use of the Recreational Access Program funding  Reviews project information VDOT Local Assistance  Verifies compliance with Program Division (LAD) Director  Presents to the CTB with recommendations, as appropriate Commonwealth Transportation  Reviews and approves of project allocation, if appropriate Board (CTB)  Formalizes conditions of allocation expenditure Project Administered by Others Project Administered by VDOT  Works toward ensuring compliance with contingencies of CTB allocation and Locality provides appropriate documents, as necessary, to VDOT Manager. (Contingencies must be met prior to authorizing fund expenditure.)  Forwards to locality determination of SERP applicability and Preliminary VDOT Manager Environmental Inventory (PEI) if SERP applies  Confirms compliance with contingencies of CTB allocation  Provides oversight for project plan review  Reviews documentation of project costs as appropriate and makes VDOT LAD Director  r P e r c e o p m ar m es e n p d ro a j t e io ct n a i d n m r i e n im ist b r u at r i s o e n m a e g n r t e ement, as appropriate  Initiates authorization of funds for project charges or expenditures  Provides oversight for project  Coordinates project work VDOT Manager development and completion  Reviews documentation of project costs as appropriate and makes recommendation in reimbursement VDOT LAD Director  Coordinates with VDOT Manager in opening project to charges and processing reimbursement, if appropriate

  • DCR – Virginia Department of Conservation and Recreation ** DHR – Virginia Department of Historic Resources

October 2014 Recreational Access Program Guide Appendix F

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Virginia Department of Transportation Recreational Access Program Checklist

The purpose of the Recreational Access Program is to assist local governments in providing access to public recreational or historic areas developed or operated by the Commonwealth of Virginia or a local government. The program is administered by VDOT under the authority of §33.1-223 of the Code of Virginia (33.2-1510, effective October 1, 2014) with the concurrence of the Director of the Department of Conservation and Recreation.

 Resolution of request from the locality  Description of road project (termini, length, width (justify if over 18’))

 Master plan of area of development (location map/property plat, schedule of development, funding source(s) and amount(s))

 Road should be located to provide the most direct, cost-effective access to the “focal point” (i.e., location at which visitors would leave vehicle - e.g., parking lot) of the recreational area  Anticipated traffic volume generated by the development

 Road and/or Bikeway cost estimate (right of way and utility adjustments not eligible)  Department of Conservation and Recreation’s formal designation of site as a public recreational (DCR @ 804-786-4379) or Department of Historic Resources’ determination in site as historic (DHR @ 804-367-2323)

 Project Administration -  VDOT (Locality/VDOT agreement recommended) or  Locality (Locality/VDOT agreement necessary)  Road construction funding limitations subject to estimate of eligible road costs:  Local facility may receive $250,000 plus supplemental $100,000 match (dollar-for- dollar) toward locality’s funds.  State facility may receive $400,000.

 Bikeway funding limitations subject to estimate of eligible bikeway costs:  Local facility may receive $60,000 plus supplemental $15,000 match (dollar-for-dollar) toward locality’s funds.  State facility may receive $75,000

 Communication of requests and information should be transmitted from locality or state to Residency Office or VDOT Project Manager, through the District Office and then to Local Assistance Division  The CTB agenda is set 2 weeks prior to CTB meeting. Project details must be finalized for CTB agenda inclusion to be considered by the Commonwealth Transportation Board (CTB) at its next meeting.

 CTB usually meets 3rd Thursday of the month  CTB approved project will be authorized for fund expenditure upon completion of

contingencies set in resolution Please note that for all state funded projects estimated to cost over $500,000 the State Environmental Review Process (SERP) must be conducted and cleared prior to initiating work.

October 2014 Recreational Access Program Guide Appendix G

Virginia State Transportation Map PolicyDoc ID: MAP-1

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VIRGINIA OFFICIAL STATE TRANSPORTATION MAP POLICY

AND PROCEDURES Virginia Dept. of Transportation Communications Division

Rev. 4/10/25

The Official State Transportation Map is updated and printed per need by the Commonwealth of Virginia Department of Transportation and is distributed free of charge. A new design and theme is created every four years. The Official State Transportation Map is produced to guide travelers on Virginia highways efficiently and safely, to attract visitors and businesses to Virginia, and to inform them of the diversity of Virginia’s attractions throughout the commonwealth.

The Virginia Department of Transportation’s Communications Division produces the map. The Communications Division selects the map’s theme after conferring with the Virginia Tourism Corporation to support that agency’s marketing efforts. The Creative

Services Section of the Communications Division prepares the promotional and informational portions of the map; the Cartography Section of the Communications Division prepares the base and inset maps.

The following is a guide to the process and criteria used in selecting the points of interest and photographs presented on the map.

POINTS OF INTEREST

Attractions that are historic, cultural or recreational, including national, state and regional parks and forests are identified.

The points of interest listing is the basis for all points of interest shown on both the promotional and cartographic portions of the map. The points of interest on the cartographic portions of the map are shown in red ink accompanied by a red square with the exception of large parks and forests that are shown by various color shadings.

POINTS OF INTEREST CATEGORIES

HISTORIC: Homes and churches parks, battlefields and monuments.

CULTURAL: No subcategories are used. Entries will be evaluated on an individual basis.

RECREATIONAL: Commercial resorts, state, regional and national parks and forests.

Recreational areas within parks and forests. All recreational areas will be shown on the cartographic portion of the map. Only major areas will be listed in the promotional area.

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CRITERIA: (To be listed and located on the promotional and cartographic portions of the map)

General criteria (all categories): Prime consideration is given to attractions

  • With high existing attendance or generated traffic (over 10,000 guests annually).
  • Drawing tourists from other states and countries.
  • Open daily, year-round (exceptions are made for resorts, parks, beaches, stadiums, etc. where activities are somewhat restricted during certain seasons and will be considered on a case by case basis)

Historic criteria

  • Historic buildings, structures or districts must be listed on the Virginia Department of Historic Resources’ Register and the National Federal Register of Historic Places.
  • Prime consideration is given to those offering guided or self-guided tours and listing a mailing address and telephone number accessible during normal office hours.

Museum / Culture criteria: Prime consideration is given to attractions

  • Organized as public or private nonprofit institutions that exist on a permanent basis for essentially educational or aesthetic purposes,
  • That care for, and own or use tangible objects, whether animate or inanimate, and exhibit these objects on a regular basis,

  • That have at least one professional staff member or the full-time equivalent on site, whose primary responsibility is the acquisition, care or exhibition to the public,

  • That have provided services to the general public on a regular basis for at least two full years,
  • Listing a mailing address and telephone number accessible during normal office hours.

PHOTOGRAPHS

  • The number of photographs included on the state map varies. Recently, the number has ranged between five and fifteen.
  • Photo subjects consist of attractions selected from the points of interest and generic

photos of Virginia scenery, recreational and cultural activities and historic districts, (not identified specifically). Subjects will be divided among the cultural and geographic regions of the state at the discretion of the state map committee (VDOT Central Office Communications Cartography Manager, Graphic Designer, Communications Manager and Photographer).

  • The cultural and geographic regions of the state are Northern Virginia, Tidewater, and Hampton Roads, Eastern Shore, Central-Southside, Shenandoah, and Southwest-Blue Ridge-Highlands. The intent is to fulfill the categories, and every effort will be made to represent the diversity of the Commonwealth’s attractions in all regions.

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OTHER INFORMATION

  • Space will be reserved on the map to provide information to aid motorists and promote safety on Virginia’s highways.
  • An explanation of the Virginia historic marker system will be included (not always depicted).

EDITING RIGHTS

  • The state map committee maintains complete rights in editing the official state map and making design variations deemed advantageous to motorists and promoting tourism in the state of Virginia.

  • The committee reserves its right to include or omit any attraction, photograph, sketch, letter type or logo published in the past or present.

MAP REQUESTS All requests to be included as a point of interest or as a photo on the state map must be submitted in writing to the chair of the state map committee (Central Office Communications Cartography Manager). The committee at regularly scheduled meetings will review requests. Acknowledgement of request and notification of the committee’s decision will be made as soon as possible. If a request is denied it can be appealed in writing and should provide new information or reasons for consideration.

For information contact: Virginia Department of Transportation Communications Division Cartographic Services Manager 1401 East Broad Street, #302 Richmond, Virginia 23219

Phone: 804-371-6776 Fax: 804-371-6846 vdotmapfiles@vdot.virginia.gov

Virginia Urban Construction and Maintenance GuidelinesDoc ID: Urban

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Urban Construction and Maintenance Program (Urban Manual)

Policies and Guidelines

August 2017

Local Assistance Division Virginia Department of Transportation 1401 East Broad Street Richmond, Virginia 23219

Commonwealth of VirginiaTable of Contents

CHAPTER 1 - OVERVIEW OF URBAN PROGRAMS ……………………………………. 5

  1. 1 General Overview …………………………………………………………….. 5
  2. 2 Legislation ……………………………………………………………………… 6
  3. 3 Federal Regulations .................................................................................. 6
  4. 4 Roles and Responsibilities ........................................................................ 7

CHAPTER 2 - URBAN MAINTENANCE PROGRAM ..................................................... 8

  1. 1 General Overview ...................................................................................... 8
  2. 2 Eligibility Criteria for Street Payments ....................................................... 8
  3. 3 Maintenance of Primary Route Extensions within Municipalities............... 10
  4. 3.1 Procedures for Requesting Route Number Changes................................. 11
  5. 4 Maintenance Payments.............................................................................. 11
  6. 4.1 Payment Categories .................................................................................. 12
  7. 4.2 Payment Rates.......................................................................................... 12
  8. 4.3 Quarterly Maintenance Payments ............................................................. 13
  9. 5 Maintenance Inventory............................................................................... 13
  10. 5.1 Federal Inventory Reporting Requirements .............................................. 13
  11. 5.2 Roadway Network System......................................................................... 14
  12. 5.3 Mileage Adjustments ................................................................................. 14
  13. 5.3.1 Procedures for Additions and Deletions ................................................... 15
  14. 5.3.2 Procedures for Bicycle and Transit-Only Lane Conversions...................... 16
  15. 5.3.3 Functional Classification Changes……………………………………..……. 17
  16. 5.4 Procedures for Annexations, Mergers, Incorporations or When Town Population Exceeds 3,500................................................................ 18
  17. 5.5 Mileage Inventory ...................................................................................... 19
  18. 6 Eligible Maintenance Activities................................................................... 19
  19. 6.1 Standards of Maintenance......................................................................... 20
  20. 6.2 Maintenance of Roads within Limited Access Interchanges...................... 20
  21. 7 Local Performance and Accountability....................................................... 22
  22. 7.1 Financial Accounting, Reporting and Certification of Expenditures........... 22
  23. 7.1.1 Carry Forward............................................................................................ 22
  24. 7.2 Performance Reporting.............................................................................. 23
  25. 7.2.1 Bridges....................................................................................................... 23
  26. 7.2.2 Pavements................................................................................................. 23
  27. 8 Annual Inspections.................................................................................... 24
  28. 8.1 Annual Inspections of Arterial Routes........................................................ 24
  29. 8.2 Bridge Safety Inspections.......................................................................... 25

CHAPTER 3 - URBAN CONSTRUCTION PROGRAM.................................................... 27

  1. 1 General Overview....................................................................................... 27
  2. 2 Programming and Inclusion In The Six Year Improvement Plan......…….. 27
  3. 3 Project Eligibility......................................................................................... 28
  4. 4 Construction Program Funding Sources.................................................... 29
  5. 4.1 Urban Formula Funding (Allocations)........................................................ 29
  6. 4.2 Smart Scale Funding Formula………………………………………………... 30
  7. 4.2.1 Statewide Prioritization Process for Project Selections……………………...30
  8. 4.2.2 Allocation Distribution Process……………………………………………….. 30
  9. 4.3 State of Good Repair Funding………………………………………………... 31
  10. 4.3.1 Primary Extension/State of Good Repair Local Paving Program…………. 31
  11. 4.3.2 State of Good Repair Locally Owned Bridges Program……………………. 32
  12. 4.4 Surface Transportation Program (STP)................................................. 32
  13. 4.5 National Highway Performance Program (NHPP)...................................... 32
  14. 4.6 Congestion Mitigation and Air Quality (CMAQ).......................................... 32

  15. 4.7 Federal Bridge/Off System Bridge.............................................................. 33

  16. 4.8 Special Funding Programs......................................................................... 33
  17. 4.8.1 Regional Surface Transportation Program Funds (RSTP)......................... 34
  18. 4.8.2 Highway Safety Improvement Program (HSIP).......................................... 34
  19. 4.8.3 Revenue Sharing........................................................................................ 35
  20. 4.8.4 Transportation Alternatives........................................................................ 35
  21. 4.8.5 Access Programs....................................................................................... 36
  22. 4.8.5.1 Economic Development Access Program.................................................. 36
  23. 4.8.5.2 Airport Access Program.............................................................................. 36
  24. 4.8.5.3 Recreational Access Program.................................................................... 37
  25. 5 Federal-Aid Obligation................................................................................ 37
  26. 6 Inactive Projects and FIRE Reporting......................................................... 38
  27. 7 Project Payback/Non-completion of Projects.............................................. 38
  28. 8 Project Development and Delivery.............................................................. 38
  29. 8.1 VDOT Administered Projects...................................................................... 38
  30. 8.2 Locally Administered Projects..................................................................... 39
  31. 8.3 Project Agreements..................................................................................... 39
  32. 8.4 Standards and Specifications...................................................................... 40
  33. 8.5 Sole Source and Proprietary Procurement.................................................. 40
  34. 8.6 Land Acquisition/Utility Relocation.............................................................. 42
  35. 8.6.1 Land Acquisition.......................................................................................... 42
  36. 8.6.1a Limited Access............................................................................................ 42
  37. 8.6.1b Advance Acquisition.................................................................................... 42
  38. 8.6.1c Purchase of Residue Parcels...................................................................... 43
  39. 8.6.1d Purchase of Right-of-Way Within Municipalities.......................................... 44
  40. 8.6.2 Utilities – Accommodation of Utilities on Street Right-of-Way..................... 45
  41. 8.7 Bicycle Facilities.......................................................................................... 45
  42. 8.8 Landscaping (Aesthetic Enhancements)/Streetscape................................. 46
  43. 8.9 Storm Sewers.............................................................................................. 47
  44. 8.10 Roadway Lighting........................................................................................ 47
  45. 8.11 Processing of VDOT Billing and Locality Reimbursements………………… 48
  46. 8.12 Project Maintenance and Modification......................................................... 49

CHAPTER 4 – OPERATIONS............................................................................................ 50

  1. 1 General Overview........................................................................................ 50
  2. 2 Traffic Control.............................................................................................. 50
  3. 2.1 Devices....................................................................................................... 50
  4. 2.2 Traffic Signals.............................................................................................. 50
  5. 2.3 On-Street Parking........................................................................................ 50
  6. 2.4 Restriction of Traffic……………………………………………………………. 51
  7. 2.5 Speed Limit Change……………………………………………………………. 51
  8. 3 Road Diet..................................................................................................... 51
  9. 4 Structures and Bridges................................................................................ 52
  10. 5 Coordination When Development Impacts the Interstate or Primary System........................................................................................... 53

CHAPTER 5 – URBAN CONSTRUCTION INITIATIVE (UCI)............................................. 54

  1. 1 General Overview........................................................................................ 54
  2. 2 Process to Participate in UCI.................................................................. 56
  3. 3 Program Management............................................................................. 57
  4. 4 Audit/Fiscal/Budget................................................................................... 57
  5. 4.1 Audits and Compliance............................................................................ 57
  6. 4.2 Recovery of VDOT Costs............................................................................ 57
  7. 4.3 Processing of Invoices................................................................................ 58

  8. 4.4 Local Match................................................................................................. 58

  9. 4.5 Annual Project Financial Status Reporting…………………………………... 59
  10. 5 Urban Construction Initiative Certification Program..................................... 59
  11. 5.1 Introduction.................................................................................................. 59
  12. 5.2 Initiation of Certification Process and Eligibility Requirements.................... 60
  13. 5.3 Certification Submission Requirements....................................................... 61
  14. 5.3.1 Program Management Requirements......................................................... 62
  15. 5.3.2 Project Delivery Requirements.................................................................... 63
  16. 5.3.3 Organization Chart...................................................................................... 65
  17. 5.3.4 Experience.................................................................................................. 65
  18. 5.4 Certification Evaluation................................................................................ 66
  19. 5.5 Certification Evaluation Timeline................................................................. 67
  20. 5.6 Certification Compliance............................................................................. 68
  21. 5.6.1 Introduction.................................................................................................. 68
  22. 5.6.2 Project and Program Reviews..................................................................... 68
  23. 5.6.2.1 Project Level Reviews................................................................................. 69
  24. 5.6.2.2 Re-Certification............................................................................................ 70
  25. 5.6.2.3 Program Wide Reviews............................................................................... 70
  26. 5.6.3 Compliance Assessment Team................................................................... 71
  27. 5.6.4 Findings and Deficiencies............................................................................ 71
  28. 5.6.5 Resolution of Findings................................................................................. 72
  29. 5.6.5.1 Introduction.................................................................................................. 72
  30. 5.6.5.2 Resolution Process...................................................................................... 72

APPENDICES.................................................................................................................... 74 Appendix A - Legislation………......................................................................................... 75 Appendix B - Functional Classification.............................................................................. 78 Appendix C - Sample UMIS Resolution – Additions/Deletions........………....................... 80 Appendix D - Sample UMIS Resolution – Lane Conversions……………………............... 81 Appendix E - List of Maintenance Activities...................................................................... 83 Appendix F - Standards of Maintenance.......................................................................... 89 Appendix G - Design Public Hearing Approval Resolution ………………………………… 91 Appendix H - Design When No Public Hearing is Held Approval Resolution ………….... 93 Appendix I - Project Programming Resolution................................................................. 95 Appendix J - Project Programming Resolution (For Towns Under 3500 Population)...... 96 Appendix K - Urban Project Construction Agreement...................................................... 97 Appendix L - Resolution of Intent................................................................……………... 101 Appendix M - Sample Program Administration Agreement................................................102 Appendix N - UCI Accounting & Billing Information .......................................................... 106 Appendix N - Attachment A - Sample Life to Date Project Summary Schedule................ 108 Appendix N - Attachment B - Sample Annual Project Financial Status Report................. 109 Appendix N cont.- UCI Payment/Billing Process Scenarios………………………………... 110 Appendix O - UCI Project Funding Worksheet...................................................................113 Appendix P - Certification and Compliance Process Visual Outline.................................. 114 Appendix Q - Project Development................................................................................... 115 Appendix R - Program Management Roles and Responsibilities...................................... 117 Appendix S - Project Delivery Roles and Responsibilities................................................ 118 Appendix T - Certification Evaluation Timeline................................................................. 119 Appendix U - Form U-1 (Request for Street Addition/Deletion/Conversion for Payments)120 Appendix V - Form U-5 (Principal/Minor Arterial Street Condition Report)……………. 121

4CHAPTER 1 – OVERVIEW OF URBAN PROGRAMS

  1. 1 General Overview

The Code of Virginia provides that any city or town which receives an allocation for construction funds for urban highways under Section 33.2-362 (now repealed) of the Code of Virginia will also receive payments for maintenance. These include:

 All cities regardless of population;  All incorporated towns that have reached a population of more than 3,500 since the last census, according to evidence satisfactory to the CTB (by petition of the municipality);  All incorporated towns which maintain certain streets pursuant to (now repealed) §33.1-80 of the Code of Virginia (Chase City, Elkton, Grottoes, Narrows, Pearisburg and Saltville); and  The towns of Wise, Lebanon and Altavista as provided for in the Code of Virginia Section 33.2-358.

Regardless of any subsequent change in population, all cities and towns that have qualified for maintenance payments will continue to receive future payments and are required to continue to maintain their streets. The maintenance and operation of the urban system is the responsibility of the urban municipalities, and these municipalities are eligible to receive funds from the Commonwealth to support their local construction and maintenance programs. The funds are authorized by the Code of Virginia and allocated by the Commonwealth Transportation Board (CTB); the maintenance funds are disbursed on a quarterly basis. These urban municipalities are accountable for the maintenance and operation of their Urban Highway System. A current tabulation of Urban Municipal Mileage and Payments is available on VDOT’s Local Assistance web page.

While these municipalities have a high degree of autonomy in the management of their streets and roads, the Virginia Department of Transportation (VDOT) retains oversight responsibilities and these municipalities must meet both State and federal requirements associated with the distribution and acceptance of State and federal highway funds.

The Code of Virginia, the United States Code, and the Code of Federal Regulations establish the minimum legislative State oversight requirements and municipality reporting responsibilities.

The purpose of this guide is to provide uniform policy and procedural guidance to support urban municipalities and assist VDOT staff in the delivery of the urban program.

This manual also establishes policy and program level guidance so that VDOT and urban municipalities can effectively meet the state and federal requirements.

  1. 2 Legislation

There are several important statutes that govern the urban system.

Maintenance funds are distributed to urban municipalities in accordance with the Code of Virginia Section 33.2-358. This section of the Code of Virginia states that the Commonwealth Transportation Board shall allocate each year from all funds made available for highway purposes such amount as it deems reasonable and necessary for the maintenance of roads within the interstate system of highways, the primary system of state highways, the secondary system of state highways and for city and town street maintenance payments made pursuant to the Code of Virginia Section 33.2-319. The payments made for maintenance of eligible streets are based on the number of moving lane miles available to peak hour traffic multiplied by the specific rate of payment.

Specifics of the Urban Maintenance Program are discussed in detail in Chapter 2 of this guide.

Construction funds are apportioned among eligible municipalities pursuant to the Code of Virginia Section 33.2-362 (now repealed). In order to receive funds for construction, the municipality must have a qualifying project or projects which have been approved by the Commonwealth Transportation Board. The Urban Construction Program is discussed in detail in Chapter 3 of this manual.

A complete listing of applicable sections of the Code of Virginia is included in Appendix A to this guide.

  1. 3 Federal Regulations

Federal funds represent a substantial portion of construction allocations for all highway systems. Urban municipalities have an obligation to comply with federal laws and regulations when federal funds are utilized in the delivery of construction projects.

Pursuant to Title 23 of the Code of Federal Regulations 223, et seq., every state highway department is required to ensure that federal highway funds allocated to the state for highway purposes are properly utilized. This requirement is further conveyed to all sub-recipients utilizing federal funds in the delivery of transportation projects.

Throughout this manual, the United States Code (USC) and the Code of Federal Regulations (CFR) will be referenced, where applicable, when describing the requirements associated with the delivery of federally funded transportation projects.

Specific guidance related to the administration of federal and state funded projects is contained in VDOT’s Locally Administered Projects Manual.

  1. 4 Roles and Responsibilities

VDOT Districts will assign staff to act as the primary contact for urban municipalities.

Coordination involving submissions of resolutions, quarterly payments, locally administered project agreements, city/state agreements, scope changes, reimbursements, reports, mileage adjustment requests, etc., are normally made through the designated primary point(s) of contact. This will include coordinating with the Programming, Local Assistance and other Central Office divisions.

7CHAPTER 2 – URBAN MAINTENANCE PROGRAM

  1. 1 General Overview

Urban municipalities receive maintenance payments in accordance with Section 33.2­ 319 of the Code of Virginia, as amended for urban highways located within their boundaries, including those primary routes which lie within the boundaries of urban municipalities provided that the municipality has also agreed to maintain those routes.

These sections that follow provide greater detail regarding the maintenance payment process.

  1. 2 Eligibility Criteria for Street Payments

In order to receive maintenance payments, municipal roads must meet the criteria stated in Section 33.2-319 of the Code of Virginia and as outlined in Section 1.1.

General

 At least 50’ of Right-of-Way (R/W) and at least 30’ of hard surface; or

 At least 80’ of R/W and at least 24’ of hard surface and has approved plans for the addition of at least 24‘ of hard surface within the same right of way; or

 Cul-de-sac with at least 40’ of R/W and standard turnaround (must be accessible by emergency vehicles); or

 Either

o Paved, and in Primary or Secondary System prior to annexation or incorporation; or

o In Secondary System prior to annexation or incorporation and paved to at least 16’ subsequent to annexation or incorporation with the further exception of streets previously maintained under Sections 33.2-339 or 33.2-340 of the Code of Virginia.

Situational

 Conversion of an existing moving-lane that qualifies for payments under this section to a bicycle-only lane after July 1, 2014, shall remain eligible for such payments;

 Eligible for and receiving such payments under laws of the Commonwealth in effect on June 30, 1985;

8  Is a street established prior to July 1, 1950 with at least 30’ of R/W and at least 16’ of hard surface;

 Functionally classified as a local street and constructed on/or after January 1, 1996, to the criteria for pavement width and right-of-way width of the then current Subdivision Street Requirements for secondary roads as outlined in Appendix B(1)-7, B(1)-8 and B(1)-9 of Appendix B of the Secondary Street Acceptance Requirements;

 As provided in Section 33.2-347 of the Code of Virginia, incorporated towns in which 70% or more of developable land has a natural grade of at least 20%.

Such towns may, by ordinance, have a minimum right of way width of 40 feet and a minimum hard surface of 18 feet on collector/local streets.

There are also other circumstances where the Code of Virginia is silent – and a determination of eligibility is necessary based on CTB policy:

 The Code of Virginia is silent on the issue of pavement widths for cul-de-sacs.

However, since the basic right-of-way width of 50' is reduced to 40', the Department shall consider requests for pavements less than 30' on a case by case basis giving consideration to the specifics of each case, but will not be considered if the request would compromise the health, welfare, or safety of the public. For the purpose of making this assessment, a cul-de-sac will be defined as a dead end street and open only at one end.

 The Virginia Land Subdivision Law of 1946 requires subdivision plats to be prepared by a licensed surveyor or civil engineer, acknowledged by the owner and approved by the local governing body before recordation. Further, after recordation, the plat transfers the street or streets shown thereon to the town or city in fee simple. Prior to 1946, the law required only that the platting of streets be accepted by a competent public authority.

 The Department has concluded if a city or town receiving street payments has jurisdiction over and operates a toll facility, the street is still eligible for maintenance payments.

 One-way streets, loop roads, school bus entrances, and frontage/service roads (adjacent to interstate, primary, or urban routes) will be eligible for street payments if they are constructed to at least a width of 16 feet with a right-of-way width of not less than 40 feet.

Waivers

The Commissioner may waive the requirements for hard surface or right-of-way width at

9the request of the local governing body to protect its drinking water supply, or for highways constructed after July 1, 1994, to accommodate some other special circumstance where such action would not compromise the health, safety, or welfare of the public. Each case is considered on its own merits and should be site specific. For waiver consideration, the following must be submitted to your District who will then refer the request to the Local Assistance Division:

  • Formal request from the local governing body;

  • Map or site plan showing the layout of the proposed/ existing street(s);

  • Proposed/ existing pavement and right-of-way widths;

  • Forecasted traffic volumes; and,

  • Reasons for requesting a waiver.

Eligibility Codes (for use with the Form U-1)

Code # Description 1 Road and Street Critera-50'R/W and 30' hard surface 2 40' R/W and silent on pavement on cul-de-sac 3 16' pavement width of part of secondary system prior to annexation or incorporation which includes anything is secondary system that VDOT was maintaining 4 30' R/W,16' pavement width if established prior to 1 July 1950. They don’t have to be built but established on paper. 5 SSR requirement if built after1 Jan 1996-varies from 18' to 29' pavement width depending on the type of roadway (curb, gutter, ditches etc.). The requirement can be found in 1996 and 2009 Subdivision Street Requirements published by VDOT) 6 40' R/W,16' pavement width if one-way street, loop road and school bus entrances 7 40' R/W,18' pavement width if 70% or more development land has a natural grade of at least 20%

  1. 3 Maintenance of Primary Route Extensions within Municipalities

When a municipality assumes responsibility for maintenance of its streets (those previously part of the secondary system maintained by the Department) under the Code of Virginia Section 33.2-319, it also has the option of maintaining the primary routes which lie within its boundaries, although it is not a requirement of the Code of Virginia.

VDOT and the municipality work together to determine maintenance responsibility for

10primary extensions within the municipality. If a municipality decides that it wants maintenance responsibility for the primary extensions, an agreement is executed.

  1. 3.1 Procedures for Requesting Route Number Changes

When a municipality decides to modify or eliminate the numbering of a primary route within the municipality, a resolution adopted by the municipality’s governing board requesting the change should be submitted to the District. VDOT may also initiate a route number change and will request concurrence from the municipality when it initiates such a change.

When a municipality request is received, or when the Department receives the municipality’s concurrence for a VDOT initiated change, the request will be forwarded to VDOT’s Maintenance Division which will obtain the necessary concurrence from the following, as applicable:

 Commissioner (for approval of signing for route number changes on the Urban Highway System).

 CTB (for those roads that are maintained by the Department).

 FHWA (for Interstate and for roads that fall within the National Highway System).

 AASHTO (for roads that fall within the National Highway System).

Once approved, the Urban Maintenance Inventory System (UMIS) will be updated. The District will then notify the municipality that the route number(s) can be changed.

  1. 4 Maintenance Payments

The Code of Virginia in Section 33.2-319 authorizes the Commissioner of Highways, with approval of the CTB to make payments to cities and certain towns for the maintenance of eligible highways.

In determining number of lane miles for payment, the following conditions shall apply:

 Turning lanes and ramps will not be considered for street payments. This includes center turn lanes unless they also serve as moving through lanes during peak hours.

 In order to qualify for payment, parking must be restricted and enforced by towing during peak traffic periods.

 Each road or street with more than two moving lanes must have pavement

11 markings in accordance with the Manual on Uniform Traffic Control Devices

(MUTCD).

 Pavement widths of less than 14 feet will qualify for only one moving lane even if it carries traffic in two directions.

 Non-hard surfaced streets do not quality for street payments.

 Conversion of an existing moving-lane that qualifies for payments under this section to a bicycle-only lane after July 1, 2014, shall remain eligible for such payments (Note: the number of moving-lane-miles converted is not more than 50 moving-lane-miles or three percent of the city's or town's total number of moving­ lane-miles on July 1, 2014, whichever is less).

 Any city converting an existing moving-lane that qualifies for payments under this section to a transit-only lane after July 1, 2014, shall remain eligible for such payments but shall not receive additional funds as a result of such conversion.

  1. 4.1 Payment Categories

As specified in Section 33.2-319 of the Code of Virginia, eligible payment categories are based on functional classification and include:

  1. Principal and Minor Arterial Roads

  2. Collector Roads and Local Streets

The state functional classification system is distinct from, but based on the federal classification of highways established by the Federal Highway Administration (FHWA).

Generally, the functional classifications are comparable to each other; however, the state functional classifications must be used for those municipalities whose population is less than 5,000.

The functional classification of urban highways is further explained in Appendix B to this manual.

  1. 4.2 Payment Rates

Section 33.2-319 of the Code of Virginia directs the Department to recommend, to the CTB, an annual mileage rate per category, as defined in Chapter 2.4.1 of this manual, computed using a base rate of growth planned for its Highway Maintenance and Operations Program budget,. The Department will then utilize those rates, as adopted

12by the CTB, to calculate and put into effect annual changes to each urban municipality’s payment.

  1. 4.3 Quarterly Maintenance Payments

The total annual maintenance payment for each eligible municipality is determined no later than June 30 of each year using the applicable payment rate multiplied by the number of approved lane miles within that municipality. A resolution approving the annual statewide allocation is approved by the CTB), typically at their June meeting.

Maintenance payments are then made quarterly, in equal amounts, on or before September 30, December 30, March 30, and June 30. Mileage adjustments submitted and processed during the year will not result in a payment modification during that fiscal year. Additions and deletions of lane miles is discussed in Chapter 2.5.3 of this manual.

Additional information on mileage and payment rates (current & historical) as well as the payment process summary can be found on LAD’s Urban Maintenance Program website.

  1. 5 Maintenance Inventory

Each municipality and the Department are required to keep a permanent record of eligible roads. The sections that follow summarize the requirements associated with maintaining and certifying eligible inventory.

  1. 5.1 Federal Inventory Reporting Requirements

Congress mandated the use of HPMS (23 U.S.C. 502(h)) to support the development of a biennial Conditions & Performance estimate of the future highway investment needs of the nation. HPMS data are used for assessing highway system performance under the U.S. Department of Transportation and Federal Highway Administration's strategic planning and performance reporting process in accordance with requirements of the Government Performance and Results Act (GPRA, Sections 3 and 4) and for apportioning federal-aid highway funds. To address these needs, the HPMS was first developed in 1978 as a national highway transportation system database. In order to receive the maximum apportionment of Federal-aid highway funds, all public road mileage in the Commonwealth (regardless of ownership or operational responsibility) must be annually reported.

The requirements for submitting the public road mileage are included in 23 CFR 460.3.

Annually, each State must submit a certification of public road mileage to the FHWA Division Administrator. Certain data items including length, lane-miles, and vehicle miles traveled are required for all public roads that are eligible for federal-aid highway funds.

13These three data items are used in the apportionment of federal-aid highway funds.

VDOT utilizes the Urban Maintenance Inventory System (UMIS) to meet this requirement for the urban system.

  1. 5.2 Roadway Network System

VDOT’s Roadway Network System (RNS) maintains a statewide inventory of all public roads in Virginia, whether or not they are controlled and maintained by VDOT. All roads are indexed by both VDOT route name (where such exist) and by street name. The roadway inventory provides multiple types of linear referencing systems (LRS) allowing business data to be referenced to a physical location. The system is geo-spatially referenced based on data provided by local governments to the Virginia Geographic Information Network (VGIN). This system includes geo-spatially referenced inventory data for all municipalities in the state in order to meet federal reporting requirements.

In addition to the above, there are many benefits for implementing the Road Network System. Some of the other benefits include:

  1. Successful creation of a street name based LRS that integrates with RNS for all Municipalities. Since Virginia receives allocations from the federal government based upon the number of lane miles of public roads, the RNS program will adequately track the total number of public lane miles in the Commonwealth of Virginia so that the Commonwealth receives the appropriate amount of federal funding,

  2. Allows locality data on a street map to be layered with pavement condition performance data in order to generate appropriate reporting,

  3. Functional class data will be spatially joined with urban data,

  4. Accident crash data/sites will be placed on all roadways within RNS, and

  5. City/Town/County corporate limits and boundary adjustments will be spatially joined with the data.

  6. 5.3 Mileage Adjustments

Municipalities receiving maintenance payments may adjust their mileage inventory annually to reflect additions, deletions, bicycle/ transit-only lane conversions, annexations, mergers or incorporations that occur during the year. Each municipality must report its mileage adjustments on Form U-1 (Appendix U) and include a resolution from the local governing body and a sketch map showing the changes. Adjustments are submitted to the appropriate VDOT District with a copy to the Local Assistance Division as soon as the changes occur. However, the inventory, Form U-1 (Appendix

14U) and required documentation must be submitted to the Department no later than February 1st of each year in order to be eligible for payment in the next fiscal year (beginning July 1st). Mileage adjustments provided after February 1st will not be included in the following fiscal year’s maintenance payments.

The Local Assistance Division will coordinate, as necessary, with the RNS Program Manager to ensure that necessary mileage adjustments are also made for the federal reporting system as outlined in Chapter 2.5.2.

  1. 5.3.1 Procedures for Additions and Deletions

Streets must meet the criteria specified in Section 33.2-319 of the Code of Virginia outlined in Chapter 2.2 of this manual in order to qualify for maintenance payments.

When streets meet these criteria, the municipality may request that the Department accept the streets into the Urban Highway System as follows:

  1. Additions (or deletions) – the municipality will prepare Form U-1 (Appendix U), will check the corresponding box designating the submission as an addition (new road or new lane-miles to existing road) or deletion, and will complete all but the last column, including selecting the eligibility criteria under which the street is being added per Chapter 2.2. (Note: If criteria is used which contains verifiable dates, include necessary documentation). (Note to District: If deletions or changes occur due to project construction or traffic control measures by the municipalities, the municipalities should be notified that Form U-1 (Appendix U) submission is required).

a. City or Town prepares a map showing the location and dimensions.

b. City or Town Council adopts a resolution making a formal request (Note: A sample resolution can be found in Appendix C).

c. City or Town submits resolution, Form U-1 (Appendix U), and map to the District.

d. District staff reviews the documents, inspects the proposed street(s), approves and signs the Form U-1 (Appendix U), and forwards these to the Local Assistance Division.

e. The Local Assistance Division transmits the submission to the Transportation and Mobility Planning Division for review and determination of the appropriate federal functional classification of each road or street. An explanation of the

15 State and federal functional classification system for urban streets is provided in Appendix B.

  1. Functional classification changes – the municipality should refer to Chapter
  2. 5.3.3 and VDOT’s Transportation and Mobility Planning Division web site for guidance.

  3. The Local Assistance Division, upon concurrence by TMPD, will make appropriate lane mileage and functional classification additions or changes to the Urban Maintenance Inventory and the Roadway Network System.

  4. LAD will present annual system to the Commonwealth Transportation Board for approval of the centerline mileage. (Note: In the event centerline mileage is not affected, i.e., request involves modification only to lane mileage, the Local Assistance Division reviews and approves such requests and notifies all parties accordingly).

  5. 5.3.2 Procedures for Bicycle and Transit-Only Lane Conversions

  6. Bicycle and Transit-Only Lane Conversions must meet the criteria specified in Section 33.2-319 of the Code of Virginia outlined in Chapter 2.2 of this manual in order to qualify for maintenance payments. When conversion of streets meet these criteria, the municipality may request that the Department accept the conversion and update the Urban Highway System Inventory as follows:

  7. Bicycle and Transit-Only Lane Conversions – the municipality will prepare Form U-1 (Appendix U), will check the corresponding box designating the submission as moving-lane conversion, and will complete all but the last column, including selecting the eligibility criteria under which the street is being added per Chapter 2.2.

a. City or Town prepares a map showing the location and termini of the bicycle lane conversions.

b. City or Town Council adopts a resolution making a formal request and includes language that certifies that the conversion design has been assessed by a professional engineer licensed in the Commonwealth pursuant to Chapter 4 (§ 54.1-400 et seq.) of Title 54.1 and that the assessment has demonstrated that

I. The level of service of the street to be converted will not be reduced or if it will be reduced that the associated roadway network will retain adequate capacity to meet current and future mobility needs of all

16 users. (Note: For purposes of this subsection, "level of service" has the meaning provided in the Transportation Research Board's Highway Capacity Manual), and II. (for Bicycle Conversion Lanes Only), the conversion has been designed in accordance with the National Association of City Transportation Officials' Urban Bikeway Design Guide. Any such city or town shall not receive additional funds as a result of such conversion to a bicycle-only lane and shall annually expend funds on road and street maintenance and operations that are at least equal to funds spent on road and street maintenance and operations in the year prior to such conversion. (Note: Sample Resolution can be found in Appendix D)

c. City or Town submits resolution, Form U-1 (Appendix U), and map to the District.

d. District staff reviews the documents, inspects the proposed street(s), approves and signs the Form U-1 (Appendix U), and forwards these to the Local Assistance Division.

  1. The Local Assistance Division will make appropriate changes to the Urban Maintenance Inventory and the Roadway Network System.

  2. LAD will present annual system to the Commonwealth Transportation Board for approval of the centerline mileage.

  3. 5.3.3 Functional Classification Changes

Functional classification is the process by which streets and highways are grouped into classes, or systems, according to the character of service they are intended to provide.

Functional classification outlines how travel can be channelized within the network in a logical and efficient manner by defining the part that any particular road or street should play in serving the flow of trips through a highway network.

The bases of the functional usage of a roadway are mobility and accessibility. Travel can be logically related to the roadway's ability to access land and the mobility through an area. Figure 1 shows the relationship between traffic mobility and land access.

Different roadway classifications offer different levels of mobility and accessibility. For example, local facilities emphasize the land-access function. Arterials emphasize a high level of mobility for through movement, while, collectors offer a compromise between access and mobility. The Virginia Department of Transportation's (VDOT) Transportation and Mobility Planning Division (TMPD) is responsible for maintaining the Commonwealth’s official Federal Functional Classification System.

17TMPD determines the functional classification according to federal guidance that takes into account type of trips, expected volume, what systems the roadway connects and whether the proposed functional classification falls within the mileage percentage thresholds established by the Federal Highway Administration (FHWA). A statewide review of functional classifications typically occurs following the decennial census. The most recent statewide update was completed and approved by FHWA in 2014.

For more information on functional classification criteria, please go to the following site: http://www.virginiadot.org/projects/fxn_class/home.asp

Changes to the Functional Classification need to follow the criteria established in the Functional Classification Comprehensive Guide. Additional information can be found in Appendix B of this manual.

  1. 5.4 Procedures for Annexations, Mergers, Incorporations or when Town Population Exceeds 3,500

Section 15.2-3530 of the Code of Virginia requires that upon annexation or merger of a county with a city or town, and when in the opinion of the Commissioner, the annexed or merged areas become substantially urbanized (as defined by the U. S. Department of Commerce, Bureau of the Census (US Census), the streets will be transferred to the new municipality for construction, reconstruction and maintenance and funds will be allocated as provided by law.

Section 33.2-700 of the Code of Virginia requires that when a town’s population exceeds 3,500, all roads and streets within the Secondary System will be eliminated from that system and the control and jurisdiction will be vested in the local authority.

Section 33.2-362, provides that this is based on the latest U.S. Census or evidence satisfactory to the CTB.

The procedures for the transfer of roads and streets to the municipality for street payments are as follows:

1. City or Town submits the following to the District

a. Copy of approved annexation order, if applicable.

b. Certification of updated population;

c. Map of area involved;

d. Form U-1 (Appendix U) listing streets to be transferred; and,

e. Council resolution requesting the roads or streets be accepted for urban

18 street payments (Note: Only hard surface roads are eligible for street payments).

  1. The District will provide the necessary guidance to the City or Town in completing the required forms, etc. After receipt and verification of the documents, inspection of the proposed streets, and approval of Form U-1 (Appendix U), they are forwarded to the Local Assistance Division, along with any appropriate comments and recommendations.

  2. The Local Assistance Division then transmits the submission to the Transportation and Mobility Planning Division (TMPD) for review and determination of the appropriate federal functional classification of each road and street.

  3. The Local Assistance Division, upon concurrence by TPMD, will make the appropriate lane mileage and conditional classification additions or changes to the Urban Maintenance Inventory and the Roadway Network System.

  4. LAD presents the inventory modifications to the CTB, prior to July 1st, for approval of the centerline mileage the effective date for street payments begins on July 1st.

  5. 5.5 Mileage Inventory

VDOT is required report all public roadway mileage in the Commonwealth to the FHWA annually. The Department and each municipality will keep permanent records of all eligible roads, except that the Department’s records will only be updated once a year.

  1. 6 Eligible Maintenance Activities

Section 33.2-100 of the Code of Virginia defines the term “maintenance” as ordinary maintenance, maintenance replacement, and any other categories of maintenance which may be designated by the Commissioner. Ordinary maintenance activities pertain to preservation of each type of roadway structure and facility as near as possible in its condition as constructed. Maintenance replacement activities pertain to the function of restoring each type of roadway structure and facility as near as possible to its condition as constructed.

Generally, in-kind replacements (including bridges) are acceptable maintenance activities; betterments are not. However, betterments or improvement work may be undertaken along with maintenance work provided that proper financial credits or deductions are made and documented in the accounting process. In some cases, certain maintenance related capital expenditures are allowed, however, these must be reviewed and approved by the Local Assistance Division prior to the expenditure.

19A list of ordinary maintenance and maintenance replacement activities are included in Appendix E.

  1. 6.1 Standards of Maintenance

Municipalities that receive maintenance payments agree to maintain principal and minor arterials for which payment is received. Municipalities are fully responsible for all maintenance and operations of streets that are included in the VDOT urban maintenance inventory.

The Code of Virginia in Section 33.2-319 provides that payments for maintenance will be made only if principal and minor arterials are maintained in accordance to applicable standards of the Department. These maintenance standards are described in Appendix

F.

  1. 6.2 Maintenance of Roads within Limited Access Interchanges

As a general policy, the maintenance of interchanges and grade separation bridges at all intersections of Interstate, Primary or Toll Roads will be the responsibility of the Department within the controlled limits of the facility. The cost will be apportioned through the appropriate system’s maintenance funds. Payments will not be made for street or road mileage maintained by the Department under this provision.

Municipal streets passing through Interstate, Primary or Toll Road facilities may be maintained by the municipality in accordance with the following provisions:

 Where the Interstate, Primary or Toll Route passes under a municipality maintained street or road, the maintenance of the surface and sidewalks of the bridge and the approach roadways to the back of the shoulder line shall be the responsibility of the municipality. The practical extent of the municipality’s maintenance responsibility is snow removal, pavement marking, and keeping the surface and sidewalks clear of debris. However, if the municipality is receiving maintenance payments for the street or roadway within the interchange, then the municipality is responsible for the maintenance of the bridge deck and roadway surface in addition to the items listed above.

 Where the Interstate, Primary or Toll Road passes over a municipality maintained street or road, the maintenance of the entire bridge and slopes back of the normal ditch or sidewalks, including ramp connections to the edge of the street pavement, shall be the responsibility of the Department. The street roadway underneath the Interstate, Primary or toll route shall continue to be the responsibility of the municipality.

20  When the Primary route intersects with a road or street maintained by the municipality, the Department will maintain that portion of the street, on the right­ of-way of Primary Roads, as follows:

a. VDOT will perform all physical maintenance to the surface, and will furnish, erect and maintain any necessary directional signals, overhead signs, all other signs (except for Street Naming Signs), pavement markings, and other related signal equipment.

b. The municipality will furnish, erect and maintain, in accordance with the current MUTCD standards, “Stop” and “Yield” signs if required.

c. Should the municipality wish to perform other work on the State right-of­ way, they will acquire a Land Use Permit in accordance with the provisions of the Land Use Permit Manual, prior to performing any work.

The Department will continue to control and maintain all signs, signals, other traffic control devices and lighting within the limited access right-of-way of interchange areas.

Signals within the interchange areas may be maintained by the municipality when mutually agreed upon by the Department and the municipality. The municipality may install signs along limited access facilities under authority of a Land Use Permit issued by the Department. In such cases, the Land Use Permit will specify the maintenance responsibility of such signs.

VDOT may install signs on municipal rights-of-way only with previous approval by the municipality. Guide signs and signs from the Integrated Directional Signing Program (IDSP) for interstate facilities may be installed on municipal rights-of-way. Once these signs are installed, on local streets beyond the limited access area, they will be maintained by the municipality.

As provided by Code of Virginia Section 33.2-401, any highway, street, or portion thereof, to which access rights of abutters have been acquired by the CTB and which is subsequently incorporated into the street system of a city or town by any method, shall remain limited access until and unless the governing body of the city or town, after securing the approval of the CTB, acts to discontinue such limited access feature.

However, for such limited access streets not on the National Highway System or that meet any other provisions above, the locality shall have, pursuant to the provisions of §15.2-2026 of the Code of Virginia, the same authority with respect to such streets as the CTB does under the provisions of Section 33.2-400 of the Code of Virginia.

For limited access breaks requests, refer to Chapter 3.8

  1. 7 Local Performance and Accountability

Section 33.2-319 of the Code of Virginia requires that any city or town receiving maintenance payments report both financial and system condition data to the CTB in the manner prescribed by the Board and report their performance as required in Section 33.2-352(B) of the Code of Virginia.

  1. 7.1 Financial Accounting, Reporting and Certification of Expenditures

Section 33.2-319 of the Code of Virginia requires an annual audit of maintenance payment expenditures. The receipts and expenditures must be recorded by the municipality in a separate highway maintenance account. The account must be supported by sufficiently detailed information necessary to determine the source of funds and identify all expenditures by category. Such expenditures may include cost for labor, equipment, materials and any indirect or overhead charges related to applicable street maintenance expenditures. All expenditures must be supportable and the records maintained by the municipality must meet reasonable audit tests. The records of each fiscal year shall be audited by a CPA firm, retained by the municipality under the State Auditor of Public Accounts procedures and requirements.

Following the completion of the audit, municipalities are required to make an annual report, accounting for their expenditures, and to certify that none of the payments received have been expended for other than maintenance, construction, or reconstruction on eligible streets as defined in Chapter 2.2 of this manual. The information must account for all expenditures and delineate between construction and maintenance payments. This required report is made through completion of the Weldon Cooper Center for Public Service Local Finance Survey. This online survey provides data to VDOT that fulfills both the state reporting requirements and the annual Federal Highway Administration form FHWA-536 requirements. The survey will be sent to each municipality by the Weldon Cooper Center in January of each year. Each municipality is required to submit its completed survey, showing the total annual road payment receipts and the audited expenditures by category, by March 15.

Municipalities also must electronically certify that all expenditures were spent on eligible activities.

The Department reserves the right to perform supplemental audits of accounting systems and records as it deems appropriate to ensure compliance.

  1. 7.1.1 Carry Forward

Maintenance payments are intended to be spent during the fiscal year in which the payments are made and may include encumbered contractual obligations or a

22statement of work for carryover to cover a shortfall in expenditures. However, any remaining balances will automatically be carried forward for use in the subsequent fiscal year. Those municipalities that have not expended all of their maintenance payments are required to provide a written explanation on the Weldon Cooper Center for Public Service Local Finance Survey.

  1. 7.2 Performance Reporting

In 2004, the General Assembly modified Section 33.2-319 of the Code of Virginia to require greater reporting and accountability of local governments receiving maintenance funds from the Commonwealth. The legislation required municipalities to report on their performance as specified in subdivision B of 33.2-352 of the Code of Virginia. After extensive work with a group of local government stakeholders, there was agreement to monitor performance on bridges and pavements to fulfill this requirement.

  1. 7.2.1 Bridges

Performance of bridges is measured based on the General Condition Rating (GCR) assessed during National Bridge Inventory (NBI) bridge inspections. The performance target for both VDOT and Localities is that less than 40% of structures have a minimum GCR rating of less than 6. Each bridge is assigned three General Condition Ratings after each safety inspection: one for superstructure, one for deck and one for substructure. Culverts are assigned a single rating after each inspection. The minimum GCR is the lowest of the General Condition Ratings assigned to a particular structure.

The baseline measure in 2006 showed that 22% of structures in the Urban System had a minimum GCR rating of less than 6. The performance measure is reviewed on a biennial basis.

VDOT provides Urban System bridge deficiency rates in “real time” on the VDOT Dashboard. Chapter 2.8.2 discusses Bridge Safety inspection in greater detail.

  1. 7.2.2 Pavements

The Highway Performance Monitoring System (HPMS) is a highway information system utilized by the FHWA that includes data on the extent, condition, performance, use, and operating characteristics of the nation’s highways. The Highway Performance Monitoring System includes information on pavement condition for sample segments based on International Roughness Index (IRI), which is the worldwide standard for measuring ride quality.

IRI INDEX RATINGS <100 Good ≥100 <170 Fair ≥170 Poor

23Although, this information is beneficial, it is not comparable to VDOT’s pavement performance measurement system and does not provide for a direct correlation in reporting performance. Until a more global measure of pavement performance is developed and implemented, the IRI data from the Highway Performance Monitoring System will be used as an interim indicator of pavement performance for municipalities.

Meanwhile, data from the Highway Performance Monitoring System will be reported.

  1. 8 Annual Inspections

  2. 8.1 Annual Inspections of Arterial Routes

The purpose of street inspections is to identify deficiencies and to expedite corrective actions. Section 33.2-319 of the Code of Virginia requires that arterial streets be inspected annually and further states that maintenance payments will only be made for principle and minor arterial roads that are maintained to a standard satisfactory to the Department. At a minimum, Urban system arterial streets should meet the Department’s Standards of Maintenance. A copy of the Standards of Maintenance is provided in Appendix F. The Residency Administrator, or other assigned District staff, is responsible for scheduling annual road inspections, which should be made in the company of an authorized municipal employee. All roads and streets, which are functionally classified as principal arterial and minor arterial, must be visually inspected each year. District staff, the Residency Administrator, or other designated staff who is performing the inspections, should exercise good judgment in determining maintenance deficiencies. In coordination with LAD and the District, each locality is assigned a month that the inspections take place. The Residency Administrator or designee is required to submit the Street Condition Report Form U-5 (Appendix V) to the Local Assistance Division Director following the annual inspection. LAD coordinates with the District/ Residency to establish the date the inspections are due. The annual inspection of arterial routes provides a general overview of the condition of the roadways and identifies obvious deficiencies and safety concerns. The locality has an overarching responsibility to continuously inspect and maintain all of the elements identified in Appendix F and to correct any safety issues within 6 months of being identified. The locality should develop a plan for correcting identified deficiencies within a reasonable amount of time.

The District must re-inspect deficiencies identified on Form U-5 (Appendix V) within six months and report corrective actions and/ or recommendations as to whether or not the street payments should be deleted for the deficient section. This process will continue until the deficiency is corrected or the localities action plan is being implemented.

If a deficiency cannot be corrected within six months, the municipality must submit a written corrective action plan to VDOT. If the deficiency is not corrected or reported on

24a corrective action plan, funds may be deleted from the municipality’s payment. A minimum of 0.1 lane mile, and increments of 0.1 mile, thereafter, will be deleted for payment for each segment of street containing deficiencies. For example, if a drainage inlet is clogged, causing water to stand on one lane, which affects traffic in only one lane, then 0.1 mile shall be deleted. If more than one lane of traffic is affected, each should be counted. As another example, when a sign is non-standard and should be removed or changed, if it is visible to two lanes of traffic for 0.2 mile, then 0.4 mile would be deleted. All deficiencies noted are totaled and the deletion of payment for the deficiencies may begin with the next quarterly payment. The Local Assistance Division Director will make the final determination for such deletions. Any deletion of payment will extend for a minimum of six months (two quarters) and will not be recoverable.

  1. 8.2 Bridge Safety Inspections

Bridge safety is of utmost importance. FHWA and the Department require strict compliance with the National Bridge Inspection Standards (NBIS), particularly with regard to the frequency of inspection and load posting requirements. FHWA policy requires the suspension of federal-aid in any State or local jurisdiction in which there are substantial NBIS deficiencies. Section 116 of Title 23 of the U. S. Code indicates that if a project is constructed in whole or in part with federal funds, that project is to be maintained at a level acceptable to the U. S. Secretary of Transportation or the Secretary will withhold federal funds until an acceptable level of maintenance is achieved. Municipalities are required to perform bridge safety inspections on the bridges for which they have maintenance responsibility, but they can contract with VDOT to perform the inspections.

The VDOT District Structure and Bridge Engineers are responsible for ensuring that the bridge inspection requirements are met by the municipalities. Additional guidance is available in the current Instructional and Informational Memorandum S&B-27.

The National Bridge Inspection Program has undergone recent changes and will move from a subjective program to a data-driven, risk based process. The program establishes national consistency and will have clearly defined terms and processes.

The new NBIP oversight includes 23 individual metrics. Each metric covers specific requirements of the NBIS. The new NBIP will have three assessment levels with each level having specific criteria to be reviewed. Finally the new NBIP will have four levels of compliance. Each level has specific thresholds to meet for compliance. The compliance status will be continuously updated based upon statistical samples with the “Final Summary of Metric Compliance Report,” being reported annually on December 31st . More information can be found on the National Bridge Inspection Standards (NBIS) on FHWA’s website.

25In accordance with CTB Policy, if a municipality fails to perform the necessary inspections, the Local Assistance Director may elect to withhold maintenance payments in a manner prescribed in Chapter 2.8.1. VDOT will continue to work closely with the municipality to ensure the inspections are completed. If a municipality is unable to complete the inspections in a timely manner, VDOT may unilaterally perform the necessary inspections and either reduce the municipality’s quarterly maintenance payment or invoice the municipality to reimburse the Department for these inspections.

26CHAPTER 3 – URBAN CONSTRUCTION PROGRAM

  1. 1 General Overview

The Six-Year Improvement Program (SYIP) is a document that outlines planned spending for transportation projects proposed for construction development or study for the next six years.

The SYIP is updated annually and is the means by which the Commonwealth Transportation Board (CTB) meets its statutory obligation under the Code of Virginia to allocate funds to interstate, primary, secondary and urban highway systems, public transit, ports and airports and other programs for the immediate fiscal year.

The SYIP also identifies planned program funding for the succeeding five fiscal years.

The CTB allocates funds for the first fiscal year of the SYIP but the remaining five years are estimates of future allocations. Fiscal years start on July 1 and end on June 30.

The CTB updates the SYIP each year as revenue estimates are updated, priorities are revised, and project schedules and costs change.

Development of the SYIP begins in the fall and the Virginia Department of Transportation the Virginia Department of Rail and Public Transportation host a series of meetings seeking public comment with various other multi-modal transportation agencies.

VDOT administers projects in the SYIP, unless the municipality has entered into a programmatic or project-specific agreement with the Department to locally administer their project(s). This section of the manual outlines the legislative and regulatory requirements associated with construction funding. Locally administered project delivery guidance is found in the Locally Administered Projects Manual (LAP Manual); where project delivery issues are unique to the urban program and are not addressed in other guidance, they are addressed in this Manual.

  1. 2 Programming and inclusion in the Six Year Improvement Plan

Any project in a municipality utilizing state or federal transportation funding must be included in Virginia’s Six Year Improvement Program (SYIP).

When considering the inclusion of these urban construction projects in the Six-Year Improvement Program (SYIP), municipalities should:

  1. Determine if the proposed projects meet eligibility requirements (see Chapter 3.3,

27 2. Hold a public hearing to solicit public input, prioritize their needs; and

  1. Make a request to the Department through the submission of an adopted Council resolution that identifies and describes the requested project(s). The resolution must include: a. Provisions for payment of a local share, if applicable, of the cost for preliminary engineering, right-of-way, and construction. b. A provision that, should the project be cancelled by the municipality, it agrees to reimburse the Department the total amount of all costs incurred and expended by the Department up to the date of cancellation (sample resolutions are included in Appendix I & J).

  2. In MPO areas, all federal planning regulations, such as the inclusion of the project(s) in the fiscally constrained long-range plan, must be met prior to submitting the programming resolution.

Should the municipality elect to have a project removed from the SYIP, it must submit an adopted resolution, indicating such removal, to the Local Assistance Division Director.

  1. 3 Project Eligibility

Whether or not federal and/or state transportation funds can be used on an urban project is largely a function of some combination of the functional classification of the road, the purpose of the project, and the type of funding being used. Further, some specific activities on otherwise qualified projects may not be eligible for reimbursement.

As outlined in Chapter 3.4, funding for projects in the urban system is a combination of federal and state aid; both federal and state aid include multiple funding programs, each with their own use and eligibility requirements and expectations.

Generally, to qualify for urban formula allocations, projects must

 be classified as an arterial or collector road in the State Functional Classification System (local roads are eligible for allocations made entirely of state funding), and

 be reflected in an approved transportation plan/study conducted by or for the Department or the municipality, or

 be identified as a safety and/or capacity need (as determined by established criteria of the Department). These include (i) deficient bridge on a public street, (ii) railroad grade protection, (iii) intersection improvement (iv) signal or signal system improvement, (v) certain transit projects associated with the direct movement of people and goods, or other projects approved by the Local

28 Assistance Division Director

To qualify for federal-aid funds the project must enhance the federal-aid system and may include pavement rehabilitation projects and meet the specific eligibility requirements for the federal funding program. Similarly, state-aid program funds have their own eligibility requirements. Eligibility requirements are outlined in the Chapter

  1. 4, below.

  2. 4 Construction Program Funding Sources

  3. 4.1 Urban Formula Funding (allocations)

Over the last several years the distribution of transportation dollars has transformed. In 2014, Section 33.2-358 of the Code of Virginia was amended changing the previous distribution of construction formula – 40% to the primary system, 30% to the secondary system, and 30% to the urban system to the current process outlined in Chapter 3.4.2.2 below.

Fiscal Year 2009 was the last year in which available funds were distributed through the original 40/30/30 construction formula. Even though it has been years since funds were distributed in this manner, many localities have unspent and/or uncommitted formula funds. The 2016 Appropriations Act included language pertaining to the balance of funds provided by the previous Primary, Secondary and Urban construction formulas.

The language provides an opportunity for localities to work with the Department to use these funds to advance priority transportation projects. Any remaining formula funds as of January 1, 2018 will be transferred to the new State of Good Repair program unless they are allocated to a fully funded and active project.

Municipalities are still required to provide a 2% match to their urban formula funds that are available from the old formula distribution. However, the six municipalities that qualified under the provisions of Code of Virginia, Section §33.1-80 are not required to provide a local match, until their populations exceed 3,500. For all municipalities, the urban formula funds may be a combination of federal and state allocations. For the federally funded portion, the distribution among the contributing parties is 80%-18%-2%, federal, state, and local, respectively. For the state funded portion, the distribution among the contributing parties is 98% and 2%, state and local, respectively. The distribution for those municipalities qualifying under Section 33.1-80 is 80%-20% (federal-state) for federally funded projects and 100% (state) for state funded projects.

These distributions are reflected in VDOT’s Six-Year Improvement Program as described in Chapter 3.4.2.

The new funding distribution under Code of Virginia, Section 33.2-358 are discussed further in the following sections.

  1. 4.2 Smart Scale Funding Formula

  2. 4.2.1 Statewide Prioritization Process for Project Selections (§ 33.2-214.1 of the Code of Virginia)

Beginning with the FY2017-2022 Six-Year Improvement Program (SYIP) update, a new prioritization process will be used to evaluate certain projects considered for funding.

Projects will be evaluated according to several factors, including Congestion, Environment, Accessibility, Safety, Economic Development, and Land Use, for consideration by the CTB, allowing them to make informed funding decisions for development of the SYIP. More information on the SMART Scale Statewide Prioritization Process can be found at http://vasmartscale.org. The application period for projects to be considered for funding is generally August through September. Beginning in FY2018, the process will occur every other year. Early coordination with VDOT district staff is encouraged.

  1. 4.2.2 Allocation Distribution Process

Each year the CTB updates the Six-Year Improvement Program that distributes funds available for construction on the interstate, primary, and urban highway systems, as well as funds available for the secondary system and the other transportation modes; ports, airports, and rail and public transportation. The allocation of state construction funds is distributed per the Code of Virginia, §33.2-358, generally.

The allocation distribution process requires funding to be made available first for the maintenance of highway systems including maintenance payments to localities maintaining their highway system. Through FY2020, after maintenance, funds are set aside for administrative, general expenses and other provisions are addressed, including an amount not to exceed $500 million in any given year to six categories, which include 25 percent to bridge reconstruction and rehabilitation; 25 percent to advancing high priority projects statewide; 25 percent to reconstructing deteriorated interstate, primary and municipality-maintained primary extension pavements; 15 percent to project undertaken pursuant to the Public Private Partnership Act; 5 percent to pave certain unpaved roads; and 5 percent to the Innovation and Technology Transportation Fund.

To seek the maximum input from the Commonwealth’s citizens, public meetings are typically held during the fall in each of the state's nine construction districts. Input is solicited from members of the General Assembly, County Boards of Supervisors, City and Town Council Members, Planning District Commissions, Metropolitan Planning Organizations, other public officials, and the general public.

30The working draft of the SYIP is released in the early spring followed by public hearings.

After the public hearings, the CTB will adopt the final SYIP for the next fiscal year that begins July 1. The SYIP contains projects selected for funding through the statewide prioritization process, as well as projects funded through other programs including bridge, paving, safety, and other special federal and state programs.

In general, it is the intent of the CTB that projects included in the SYIP are to be fully funded through construction and delivered according to the established budget and schedule. If a locality or metropolitan planning organization requests the termination of a project or fails to advance a project to the next phase, then the locality or localities within the metropolitan planning organization may be required to reimburse the Department for all funds expended on the project.

  1. 4.3 State of Good Repair Funding (HB1887 - § 33.2-358 of the Code of Virginia)

House Bill 1887 established a new transportation funding formula to begin in FY2021, specifically the State of Good Repair Program pursuant to § 33.2-369, the High-Priority Projects Program pursuant to § 33.2-370, and the Construction District Grant Program pursuant to § 33.2-371. Funding available through the High-Priority Projects Program and the Construction District Grant Program will be directed by the statewide prioritization process adopted by the CTB pursuant to § 33.2-214.1. Policy guidance regarding prioritization and funding of projects through the State of Good Repair Program approved by the CTB may be found with the CTB resolution here: State of Good Repair Prioritization Process Methodology.

  1. 4.3.1 Primary Extension/ State of Good Repair Local Paving Program

Based on a legislative change that was effective July 1, 2014, Section 33.2-358 provides that Primary Extensions maintained by municipalities can receive a portion of the reconstruction and paving allocations previously only distributed to Interstate and Primary Roads with a combined condition index of less than 60. The CTB approved a new program to address this Code change in their June 2014 Board meeting and an application process was initiated to allow municipalities to apply for this funding for qualifying projects. If you are interested in applying for these funds, key information on what qualifies and how to apply can be found at the LAD Website. In keeping with FHWA’s increased emphasis on the maintenance and operation of the National Highway System (NHS), VDOT has revised the scoring for the prioritization process to include additional points for segments on the NHS. This year the primary extension applications submitted for paving projects will be scored for funding with both CTB formula funds and State of Good Repair (SGR) funds.

  1. 4.3.2 State of Good Repair Locally Owned Bridges Program

§33.2-369 of the Code of Virginia authorizes the Commonwealth Transportation Board to use funds allocated in § 33.2-358 and § 58.1-1741 to state of good repair purposes for reconstruction and replacement of structurally deficient state and locally owned bridges and reconstruction and rehabilitation of pavement on the Interstate System and primary state highway system determined to be deteriorated by the Board, including municipality-maintained primary extensions. The Commonwealth Transportation Board (CTB) approved the prioritization process and methodology for selecting SGR Pavement and Bridge projects at their June 14, 2016 meeting. The approved resolution and prioritization process can be found at the following link: http://www.ctb.virginia.gov/resources/2016/june/reso/Resolution1.pdf. The State of Good Repair Program was planned to begin in FY2021. However, based on a more positive revenue outlook, VDOT began using funding through the State of Good Repair Program beginning this year (starting in FY2017). Additional information can be found at the LAD Website.

  1. 4.4 Surface Transportation Program (STP)

The Surface Transportation Program (STP) provides flexible funding that may be used by States and municipalities for projects to preserve and improve the conditions and performance on any federal-aid highway, including the National Highway System (NHS), bridge and tunnel projects on any public road, pedestrian and bicycle infrastructure, and transit capital projects, including intercity bus terminals.

For a program summary including a discussion of eligible activities and funding features, please refer to FHWA’s STP fact sheet.

  1. 4.5 National Highway Performance Program (NHPP)

The NHPP provides support for the condition and performance of the National Highway System (NHS), for the construction of new facilities on the NHS, and to ensure that investments of federal-aid funds in highway construction are directed to support progress toward the achievement of performance targets established in a State's asset management plan for the NHS.

For a program summary including a discussion of eligible activities and funding features, please refer to FHWA’s NHPP fact sheet.

  1. 4.6 Congestion Mitigation and Air Quality (CMAQ)

The Congestion Mitigation and Air Quality (CMAQ) program provides a funding source for transportation projects and programs to help meet the requirements of the Clean Air Act. Funding and is available to reduce congestion and improve air quality for areas that

32do not meet the National Ambient Air Quality Standards for ozone, carbon monoxide, or particulate matter (nonattainment areas) and for former nonattainment areas that are now in compliance (maintenance areas).

For a program summary including a discussion of eligible activities and funding features, please refer to FHWA’s NHPP fact sheet.

Language has been included in the state budget requiring the expeditious expenditure of CMAQ funds. Municipalities receiving CMAQ funds must ensure that the funds for those projects are obligated within 12 months of allocation and that the project is advanced so that the funds are fully expended within 36 months of their obligation. If the CMAQ funds are not expended within the deadline, the Commonwealth Transportation Board may re-allocate any remaining funds to any other eligible project.

Municipalities are responsible for funding any amount in excess of the CMAQ allocations.

  1. 4.7 Federal Bridge/Off System Bridge

There is no separate federal bridge funding program for highway bridges in MAP-21.

Bridge repair and replacement work may be funded using the National Highway Performance Program (NHPP) and the Surface Transportation Program (STP) funds.

States may use NHPP and STP funding to improve the condition of their highway bridges through replacement, rehabilitation, and systematic preventive maintenance.

MAP-21 requires that in each fiscal year at least 15% of the 2009 Highway Bridge Program apportionment from the STP funding be utilized to improve bridges that are not on the federal-aid system (Note: “off-system” structures are bridges or large culverts on roads that have been classified as rural minor collector or local and urban collector or local. Bridge and off-system bridge projects are prioritized for funding by VDOT staff.

The availability of funding for any particular structure is determined by a combination of considerations, including total available funding for all off-system bridges, bridge essentiality, use and condition (based on the data provided in periodic bridge inspection reports). Allocations are approved by the CTB.

  1. 4.8 Special Funding Programs

Municipalities are eligible for a number of special funding programs, through the Commonwealth Transportation Board, VDOT, and their MPOs. The following section identifies those programs and provides links to information on eligibility criteria and application processes.

  1. 4.8.1 Regional Surface Transportation Program Funds (RSTP)

Regional Surface Transportation Program (RSTP) funds are STP funds that are apportioned to specific regions within the state. RSTP funds are programmed by the Metropolitan Planning Organization (MPO) serving specific urbanized areas.

Eligibility for RSTP projects are the same as with STP projects. Examples of projects that are eligible for funding under the RSTP program include projects that improve capacity, accessibility, and operations. Other projects that qualify may include intermodal transportation projects, transit projects, planning studies, transportation demand, and management projects.

Language has been included in the state budget requiring the expeditious expenditure of RSTP funds. Municipalities receiving RSTP funds must ensure that the funds for those projects are obligated within 12 months of allocation and that the funds are fully expended within 36 months of their obligation. If the RSTP funds are not expended within 36 months of their obligation, the CTB may rescind any required matching funds for the federal funds. Municipalities are responsible for funding any amount in excess of the RSTP allocation.

  1. 4.8.2 Highway Safety Improvement Program (HSIP)

Fixing America's Surface Transportation Act (or the FAST Act) was passed into law in December 4th 2015 and extended to authorize the federal surface transportation programs for highways, highways safety, and transit. The FAST Act continues the Highway Safety Improvement Program (HSIP) with minor revisions. The HSIP is a core Federal-aid program with the purpose of achieving a significant reduction in fatalities and serious injuries on all public roads, including non-State-owned public roads and roads on tribal land. (23 U.S.C. 148(b)). FAST Act continue to retain the apportionment rules set under MAP-21, the federal aid contributes 90 to 100 percent of certain safety improvements. HSIP is a data-driven, strategic approach program for infrastructure improvements for all highway travel modes.

Emphasis is placed on strategies and actions with expected performance outcomes as documented in Virginia’s 2017-21 Strategic Highway Safety Plan (SHSP). VDOT’s HSIP consists of the following programs:

 Highway Safety Program (HSP) o Systemic Safety Improvement (SSI)  Bicycle and Pedestrian Safety Program (BPSP),  High Risk Rural Road Program (HRRRP) and  Highway-Rail Grade Crossing Safety Program (H-RGCP).

34Localities receiving HSIP funds must ensure that the funds for those projects are obligated within 12 months of allocation and that the funds are fully expended within 36 months of their obligation. If the HSIP funds are not expended within 36 months of their obligation, the CTB may rescind any funding allocated under the HSIP program.

Localities are responsible for funding any amount in excess of the allocation. More information can be found at the following link: http://www.virginiadot.org/business/ted_app_pro.asp

FHWA provides a program and funding features overview in their HSIP fact sheet.

  1. 4.8.3 Revenue Sharing

The purpose of the Revenue Sharing Program is to supplement funding provided by a county, city, or town for use by the locality to construct, reconstruct, improve, or maintain highway systems within such locality. The Revenue Sharing program provides a dollar for dollar match to local funding, up to certain limits established in Virginia Code and by CTB Policy. The CTB designates an allocation of funds available to the Program based on applications submitted on a two-year cycle. The program is administered by VDOT under the authority of Section 33.2-357 of the Code of Virginia.

Additional funding on the Revenue Sharing program including eligibility requirements, application timelines, and application process is available on VDOT’s Revenue Sharing website.

  1. 4.8.4 Transportation Alternatives

The Transportation Alternatives activities are a funding set-aside within the Surface Transportation Block Grant program as established in the FAST Act. This program includes the following activities:

 Many of the former Transportation Enhancement Program activities  The Safe Routes to Schools Program (see website for additional information)  The Recreational Trails Program  Planning, designing, or constructing roadways within the right-of-way of former Interstate routes or other divided highways

Examples of projects funded by this program include sidewalks, bike lanes, and the conversion of abandoned railroad corridors into trails.

Transportation Alternatives funds are allocated on a two-year basis by the Commonwealth Transportation Board after a selection process that includes the MPO’S in TMA areas.

35Information on the Transportation Alternatives program including eligibility requirements, application timelines, and application process is available on VDOT’s Transportation Alternatives website, and specifically in the Transportation Alternatives Program Manual.

  1. 4.8.5 Access Programs

  2. 4.8.5.1 Economic Development Access Program

The Economic Development Access Program provides funding to finance the construction or improvement of roads to new or expanding qualifying economic development sites. The proposed project is expected to provide access from the nearest publicly maintained road to the primary entrance of the qualifying site. A new access road constructed and funded under this program must be accepted into the municipality’s road system. The funding cannot be used to provide a driveway or direct road into the facility.

The Economic Development Access Program is administered by the Commonwealth Transportation Board, which allocates funds to eligible projects as provided under the authority of Section 33.2-1509 of the Code of Virginia.

Information on the Economic Development Access Roads Program, including eligibility requirements and application information is available on VDOT’s Access Programs website.

  1. 4.8.5.2 Airport Access Program

The Airport Access Program provides funding for the construction or improvement of roads serving new or expanding licensed, public-use airports. The funding is intended to allow for access to the property or land, but not provide a driveway or direct road into the facility. A new access road constructed and funded under this program must be accepted into the municipality’s road system.

The Airport Access Program is administered by the Commonwealth Transportation Board, which allocates funds for eligible projects as provided under the authority of Section 33.2-1509 of the Code of Virginia.

Information on the Airport Access Program, including eligibility requirements and application information is available on VDOT’s Access Programs website.

  1. 4.8.5.3 Recreational Access Program

The Recreational Access Program provides funding for roadway and bikeway access to new or expanding non-federal public parks or historic areas. A new access road constructed and funded under this program must be accepted into the municipality’s road system. Bikeways must be for access purposes only, and are not intended as stand-alone leisure facilities, but must have a terminating point of interest, such as a bike parking lot in the vicinity of the park facilities or historic site.

The Recreational Access Program is administered by the Commonwealth Transportation Board, which allocates funds for eligible projects as provided under the authority of Section 33.2-1510 of the Code of Virginia.

Information on the Recreational Access Program, including eligibility requirements and application information is available on VDOT’s Access Programs website.

  1. 5 Federal-aid Obligation

As stated previously, for construction using federal funds, municipalities must comply with the same state and federal laws and regulations as VDOT. This includes compliance with all financial and project delivery requirements associated with federal-aid project delivery.

The Federal-Aid Highway Program is a reimbursement program, meaning that eligible project expenditures are paid by FHWA after the municipality expends those funds.

Most federal funding programs have expiration dates for obligation of funds, which means that the availability of these funds will lapse at a specified time. FHWA programs are typically four years after the funds are apportioned by FHWA. Therefore, it is incumbent on each and every user of federal funding to implement projects in a timely manner to prevent this loss. A lapse of funding in any municipality may have a detrimental effect on the entire state. For example, a state that does not utilize its original federal obligation in any area is not eligible for additional federal discretionary funds and can result in a loss of additional obligation authority.

When a particular phase of a federal project is authorized by FHWA, all of the funding associated with that authorization is considered obligated at that time, even though the funds have not been spent or a contract has not been executed. However, there are cases, such as the necessity to accumulate funds for a large cost project, when the allocations cannot be obligated or expended, within the specified time frames. In cases where a municipality may not be able to obligate its federal allocation within the required deadline, the municipality must notify their local VDOT contact prior to the deadline.

VDOT may require a letter of explanation and a plan of action to fully obligate the funding. These will be considered by VDOT on a case-by-case basis.

  1. 6 Inactive Projects and FIRE Reporting

After obligation, projects are expected to demonstrate an acceptable level of progress toward completion. In accordance with 23 CFR 630, obligated projects with unexpended balances that have been inactive for extended periods of time, will be flagged for audit. In order to ensure that federal funds are being utilized effectively, projects with no billing activity for 12 consecutive months may be subject to “de­ obligation” by FHWA. If a locally administered project is flagged, VDOT will consult with the municipality to determine if reasonable progress is being made and the date when an invoice can be expected from the municipality. If such a determination is made, VDOT will notify FHWA and additional action may not be needed. However, if VDOT determines that reasonable progress is not being made, it may, in coordination with FHWA, de-obligate the federal funding for that project. In addition, the FHWA can unilaterally de-obligate funds on inactive projects.

  1. 7 Project Payback/Non-completion of Projects

Federal law and regulation place requirements on recipients of funding for completion of transportation projects. Section 102(b) of title 23, United States Code, as amended by SAFETEA-LU, requires repayment of all federal-aid reimbursements for PE costs on any project that has not advanced to Right-of-Way acquisition or construction within 10 years after Federal-aid funds are first made available. 630.112(c)(2) of title 23, Code of Federal Regulations (CFR), provides States a slightly longer timeframe in that right-of­ way (ROW) or construction must be started by the close of the tenth fiscal year following the fiscal year in which the project is authorized. FHWA has a longstanding policy of not requiring payback when non-completion is directly related to compliance with another federal law. If a municipality subsequently elects to cancel a project, the municipality will be responsible for reimbursing VDOT the total amount of the costs expended for the project.

FHWA has issued a policy memorandum clarifying their interpretation of the law and regulation regarding pay-back requirements. Please refer to the policy memorandum or your local VDOT contact for more information on repayment requirements.

  1. 8 Project Development and Delivery

  2. 8.1 VDOT Administered Projects

VDOT administers all construction projects in a municipality that are included in the SYIP unless otherwise requested through the “Request to Administer,” or alternative process as outlined in Chapter 10 of VDOT’s Locally Administered Projects Manual.

38Municipalities that participate in the UCI program are expected to administer all construction projects within their respective municipality.

When VDOT administers a project in a municipality, VDOT will follow established VDOT practices and procedures. Those are identified and clarified in various guidance documents, including but not limited to, CTB Policies, VDOT Road and Bridge Specifications, Virginia Road Design Manual, I&IMs, and Construction Directives.

For VDOT to administer a municipal project, the project must be programmed in the SYIP. A municipality may request that VDOT program a project in the SYIP per Chapter 3.2 of this manual. VDOT will then work with the locality to develop a scope, schedule, and estimate for the project and establish an agreement (see Chapter 3.8.3).

The municipality must also provide a Council resolution approving the project design (sample resolutions are included in Appendix G and H).

  1. 8.2 Locally Administered Projects

When a municipality administers a VDOT-funded project, the municipality must adhere to those processes and procedures outlined in VDOT’s Locally Administered Projects (LAP) Manual. When a municipality is administering a project on a locally maintained street, a design resolution is not required.

  1. 8.3 Project Agreements

For VDOT administered projects, after the scoping phase of the project, VDOT and the municipality will develop a project agreement with an Appendix (referred to as the project agreement Appendix A) that will define the responsibilities of VDOT and the municipality for project development, funding sources, match requirements, billing amounts, and general project estimates by phase (see Appendix K in this manual for additional details). A electronic copy of the Urban Agreement and Appendix A can be found at VDOT’s Form Website.

As defined in the project administration agreement and associated project agreement Appendix A, VDOT will bill the locality on a monthly basis (or other agreed to schedule) for its share of the project based on estimated costs for the currently authorized phase(s). The project agreement Appendix A will be updated whenever there is a change in scope, significant change in estimate or funding, or at the next authorized phase.

When a municipality administers a project, a LAP Agreement must be executed. See Chapter 10 of the LAP Manual for detailed requirements.

  1. 8.4 Standards and Specifications

All locally administered projects on the urban system must be designed in accordance with AASHTO’s Policy on Geometric Design of Highway and Streets (the “Green Book”) or seek a design exception. For further information on design exceptions, refer to Chapter 12.2.4 of the LAP Manual.

Municipalities may develop their own design standards and construction specifications, which meet or exceed VDOT and AASHTO. However, they must be reviewed and approved by VDOT for use on federal-aid projects. If a municipality intends to utilize local standards and specification for a project on the National Highway System (NHS), the standards and specifications will also need to be reviewed and approved by FHWA.

  1. 8.5 Sole Source and Proprietary Items

The use of sole source and proprietary items should be avoided except when there is no other feasible or reasonable alternative. Special approvals are necessary to include these types of items in a contract. There is often confusion on the definition and differences between sole source and proprietary; this is clarified below.

  • Sole Source Items A Sole Source Item is any product or service used on a project where the product may be procured from only one source, and therefore has no price competition. This is a very rare situation and state procurement regulations require approval to utilize a sole source item. Federally funded projects will require FHWA approval.

  • Proprietary Items A Proprietary Item is a product, specification, or process identified in the plans or specifications as a "brand" or trade name (e.g. 3M, Corten). However, it may also be a product so narrowly specified that only a single manufacturer can meet the specification. Proprietary Items are different from a sole source in that it is a specific product typically available from only one manufacturer; however, it is sold by various vendors. In this case there is some price competition. VDOT may allow proprietary items to be specified in construction projects when one of the following conditions applies:

a. The proprietary item is obtained through competitive bidding with other suitable proprietary and non-proprietary products from multiple manufacturers as provided under 23 CFR 635.411(a)(1). Where both proprietary and non-proprietary items are available, the contracting agency must compose specifications that allow the contractor to choose amongst as many acceptable items as possible. If the specification lists specific products, it must list all or at

40 least a reasonable number of products, and must include the words “or equal” to ensure the broadest range of choice.

b. A certification by the contracting agency, as provided in 23 CFR 635.411(a)(2), that the specified proprietary product is either necessary for synchronization with existing facilities or a unique product for which there is no equally suitable alternative.

c. A proprietary item is to be used for research or for a distinctive type of construction on an experimental basis as provided in 23 CFR 635.411(a)(3).

d. If there are other equally acceptable materials or products available, the contracting agency may require a specific material or product when its use is approved as being in the public interest as provided in 23 CFR 635.411(c).

Note: Proprietary items are not exempt from meeting Buy America requirements.

State approval is necessary and on federally funded projects, FHWA approval may be required.

There are three methods that municipalities must utilize in order to use proprietary items, “Certification,” “Public Interest Finding (PIF),” or “Experimental Products.”

Certification  Single product only  Necessary for synchronization; or  Unique product for which there is NO suitable alternative  Municipality must develop justification that includes; Cost, Impacts on safety, Maintenance requirements, Functions-aesthetics-logistics (for Synchronization), Availability-Potential Benefit (for Uniqueness) and Systems Engineering Analysis (for ITS projects and projects containing ITS or Traffic Systems Features)  Department may issue a multi-project, programmatic or locality-wide approval with a sunset date (maximum of 5 years)  FHWA approval is necessary for Projects of Division Interest (PODI’s), Multiple Projects, Locality-wide, District-wide, Statewide, Region-wide, or Programmatic requests

Public Interest Finding (PIF)  When Patented or Proprietary products are to be used  Mandatory source  Develop description of need – o Limitations o Conditions  Engineering and economic analysis  Department may issue a multi-project, programmatic or locality-wide approval with a sunset date (maximum of 5 years)

41  FHWA approval is necessary for Projects of Division Interest (PODI’s), Multiple Projects, Locality-wide, District-wide, Statewide, Region-wide, or Programmatic requests

Experimental Products  Used for research or for a distinctive type of construction on a relatively short section of road or limited basis  Develop a work plan in accordance with FHWA website www.fhwa.dot.gov/programadmin/contracts/expermnt.cfm  Report results  Department provides approval on VDOT or LPA-administered projects that are federally eligible  FHWA provides approval on Projects of Division Interest (PODI’s)

The detailed procedures, processes, and the required documentation for approval for the use of proprietary items is defined in VDOT’s Construction Division Instructional and Informational Memorandum (IIM), Number IIM-CD-2015-01.01 as approved on April 6, 2015. Link to the IIM is as follows: http://www.virginiadot.org/business/const/construction_iim.asp

  1. 8.6 Land Acquisition / Utility Relocation

Municipalities have a responsibility to assure VDOT that all land acquisitions and utility relocations that are financed with federal or state funds meet the standards as outlined in the Uniform Relocation and Real Property Acquisition Policies Act (49CFR24) (Uniform Act). These standards are outlined in the Locally Administered Projects Manual and municipalities must follow those guidelines.

  1. 8.6.1 Land Acquisition

  2. 8.6.1a Limited Access

Projects designated as Limited Access shall have the right-of-way acquired strictly as designated on the approved plans, no changes or additional access points are permitted without official action and written approval of the Commonwealth Transportation Board (CTB). Under Section 33.2-401 of the Code of Virginia, the CTB has the authority to regulate or limit the use of a highway including designating it as a limited access highway. If it is subsequently incorporated in the street system of a municipality, it may discontinue such limited access features with the approval of the Board.

  1. 8.6.1b Advance Acquisition

Municipalities should work with their Project Coordinator on site plan reviews where

42private development is (or will be) taking place along urban roads or streets which may require reconstruction or improvement as an urban highway project. Every effort should be made to preserve a corridor within an area that may be needed for future transportation projects.

Controlling such areas required for future project development is difficult. Some techniques available may be: dedication of right-of-way through zoning ordinance requirements, urban permit requirements, advance purchases by the municipality, advance right-of-way acquisition by the Department, or other procedures.

Advance purchase by the municipality is another possible procedure for preserving such needed right-of-way. In such cases, the city or town must utilize its own funds for the original purchase. Accurate records will be kept in order to document the value at the appropriate time.

Advance acquisition of right-of-way may be authorized for extreme landowner hardship or for protective buying for an impending transportation project. However, such procedures can only be authorized if (a) a project has been programmed, (b) funds are available (an allocation to the project) and authorized, and (c) a location has been approved by the CTB and a plan has been prepared for right-of-way acquisition.

  1. 8.6.1c Purchase of Residue Parcels

VDOT typically has purchased residue parcels as outlined in Section 33.2-1007 of the Code of Virginia where it is economically appropriate and the residue is purchased along with the right-of-way. It is important to note that the Code of Virginia limits the ability to purchase residue parcels of no more than two acres using the eminent domain procedures and no more than ten acres of residue parcels through voluntary conveyance. Where an acquisition results in an uneconomic remnant (that which cannot continue to be used because of size, shape, etc., for the same highest and best use as before) Section 25.1-248 of the Code of Virginia requires that the Department offer to acquire the entire property subject to the acreage limitations discussed above.

Section 33.2-1007 allows acquisition of property outside of the normal right-of-way width when the property's use has been impacted by the transportation improvement for which right-of-way is to be acquired. This broadens the traditional economic justification for right-of-way acquisition for construction improvements on functionally classified arterial streets. Accordingly, should a municipality want to pursue acquisition of residue parcels based on this legislation, it will be necessary for the municipality to demonstrate that one or all of the conditions in the legislation are satisfied. This should include, but not necessarily be limited to, the following:

 The municipality master plan and zoning support the need for special land use control directly related to the purpose and need of the project.

43  A traffic analysis of sufficient detail that provided justification for access control.

 A traffic analysis that demonstrates improvements to traffic flows and traffic system utilization.

 A traffic engineering analysis that demonstrates improvements to traffic safety.

Procedurally, a municipality interested in pursuing an improvement project in this manner should present the necessary data to support its request at the project scoping stage. Each such improvement will be considered by VDOT on a project by project basis, and approved by the District Administrator, if appropriate.

The Department may dispose of residue parcels remaining after completion of transportation projects. The proceeds of the sale of such parcels, less the costs associated with the sale of the property, will be included in the municipality’s urban allocation. This may result in a deduction from the urban allocation if costs exceed the proceeds from the sale. Residue parcels may also be transferred to the municipality for disposition at their request.

For a locally administered project where the municipality has purchased property utilizing state and/or federal funding and now wants to sell the residue parcel must ensure that the proceeds from the sale are used on a qualifying state or federally funded transportation project. Questions should be directed to the Local District Office or Local Assistance Division.

  1. 8.6.1d Purchase of Right-of-Way Within Municipalities

In accordance with Code of Virginia Section 33.2-1001, the Commonwealth Transportation Commissioner is vested with the power to acquire by purchase, gift, or power of eminent domain such lands, structures, rights-of way, franchises, and easements deemed to be necessary for the construction and maintenance of public highways. For state and federal projects within a municipality, the Commissioner is authorized to exercise this power if requested by the municipality. The Commissioner shall convey the title for all property acquired on behalf of the municipality to the municipality under state law.

For VDOT Administered Projects, the municipality must approve the design hearing by council resolution (Sample resolutions are provided in Appendix G & H). The letter of transmittal must include the vote count. The plans are then approved by VDOT for right of way acquisition and the funds are authorized

  1. 8.6.2 Utilities - Accommodation of Utilities on Street Right-of-Way

Municipalities have the responsibility to maintain the highway right-of-way under their jurisdiction and to preserve the operational safety, integrity, and function of the highway facility. Since the manner in which utilities cross or otherwise occupy highway right-of­ way can materially affect the safe operation, maintenance and appearance of the highway; it is necessary that such use and occupancy be authorized and reasonably controlled.

Section 15.2-2017 of the Code of Virginia provides in essence that no utilities or like enterprises shall be permitted to use the right-of-way of a municipality without the consent of the corporate authority of such municipality.

The location and installation of utility poles and other above ground utility facilities on Urban projects shall conform to VDOT Land Use Permit Manual or be subject to the approval by the Department.

In regard to placing utility facilities underground, the municipality's urban allocation can reimburse fifty percent (50% is capped at $5,000,000) of the additional cost to place the facilities underground in conjunction with a transportation project for Urban Formula Funding (as described in Chapter 3.4.1). The 2000 General Assembly amended Section 33.2-348 (now repealed) to eliminate the municipality’s 50% cost cap for the Cities of Chesapeake, Richmond, Hampton and Newport News. See the Department’s Underground Utility Relocation Policy for the latest information.

  1. 8.7 Bicycle Facilities

The Department's policy for Integrating Bicycle and Pedestrian Accommodations for developing facilities in conjunction with urban highway projects or for comprehensive planning purposes became effective on March 18, 2004 with its adoption by the Commonwealth Transportation Board. Design guidance is provided in the Department's Road Design Manual. This policy applies to both VDOT and locality managed projects that are receiving funding from the Department. The policy requires that accommodation for bicycles and pedestrians must be considered as part of any project funded by the Commonwealth Transportation Board.

Locally administered projects are required to comply with the 2004 CTB Policy for state and federally funded projects. The Locally Administered Projects (LAP) Manual, Chapter 12 Project Development section (12.1 Project Scoping) allows localities to utilize their own scoping documents to meet this requirement. Although locally managed projects are not required to use VDOT’s new scoping forms and scoping procedures, localities must document the consideration of whether bicycle and pedestrian accommodations will be provided for projects that take place on VDOT right of way or are funded by VDOT. Those decisions should be documented in project files. Localities are encouraged to work with their VDOT District Project Coordinator to ensure projects are appropriately documented.

45When bicycle facilities are provided on urban projects, the maintenance of the facility will be the responsibility of the municipality. The municipality must prohibit all motorized vehicles, except those used for maintenance purposes.

  1. 8.8 Landscaping (Aesthetic Enhancements)/Streetscape

Landscaping is important to enhance the safety and visual quality of our roads, mitigate negative views, and maintain quality of life for our communities. VDOT supports context sensitive solutions. Accordingly, it is VDOT's policy to allow landscaping features as an eligible project cost. Recommendations for landscaping should be made at the scoping stage of the project.

 Landscape elements must be designed in accordance with the latest edition of the AASHTO Road Design Manual.

 Requests for irrigation systems in conjunction with a landscape project can be considered as a part of the project. The cost of irrigation systems is not eligible for reimbursement and the locality must pay 100% of the cost of an irrigation system and also assume all maintenance responsibilities upon completion of the project.

 Where landscaping will be provided by local government or private groups or individuals, all plant material, signs, irrigation systems, or other right-of-way encroachments must comply with Regulation for Landscape Recognition and Identification Signs and Structures, 24 VAC 30-121-10 et seq.

 Section 33.2-350 of the Code of Virginia provides that a municipality may elect to conduct a landscape study to evaluate the impact of proposed transportation projects on the existing flora and fauna. These studies must be funded by the municipality. The Department will consider recommendations from these studies to protect natural flora as part of the project development process.

Landscaping for urban projects shall consist of planting beds or pits, plants, trees, groundcover and topsoil (when depth exceeds 2”). Other items to be included are pavers or non-standard materials in medians in conjunction with median landscaping, traffic islands and roundabouts. Also trellis structures when necessary for plantings in front of sound barrier walls.

Pavers and colored and stamped asphalt for crosswalks are considered participating items as they draw attention to the pedestrian area and serve as a traffic calming device. These features must meet the latest edition of the MUTCD.

  1. 8.9 Storm Sewers

All parallel and transverse storm sewers and all appurtenances, such as drop inlets, manholes, etc., that fall within the right-of-way limits of urban improvement or construction projects on existing or new locations and are considered necessary for adequate project drainage can be included at project costs. This participation is allowable provided that all storm water to be conveyed is normal to the project limits and is not diverted from another watershed.

All storm sewers and outfalls constructed outside of the normal right-of-way limits of urban projects that are considered necessary for adequate project drainage can be included at project costs for the construction of the project; provided none of the storm water to be conveyed is diverted from outside the project limits. All storm sewers and outfalls constructed outside of the normal right of way limits of urban projects that are beyond that needed to adequately drain the highway project shall be financed on a run­ off ratio basis between state funds and city or town funds.

Whenever parallel storm sewers, manholes, etc., within an urban project or outfalls beyond the project limits are utilized by a municipality for the conveyance of diverted storm drainage, then the cost of such storm sewers, outfalls, etc., shall be financed on a run-off ratio basis between state funds and municipal funds. See I&IM 146.4 for further information.

  1. 8.10 Roadway Lighting

Section V of VDOT’s Traffic Engineering Manual contains VDOT’s Roadway and Structure Lighting Manual is used when determining cost eligibility for highway projects.

VDOT can participate in roadway lighting as a project cost for replacement of existing roadway lighting or when requested by a municipality and when deemed necessary for traffic safety. Illumination of a previously unlit roadway when it is not considered a safety issue can be undertaken at the municipality's total expense. Stand-alone lighting projects can also be considered, when deemed necessary for traffic safety; however, the costs associated with stand-alone projects would have to be prioritized and weighted against other system needs.

The policy allows for the construction, operation, and maintenance of roadway lighting systems on all VDOT roadway systems. Many municipalities have depended on their power utility companies to provide roadway lighting, therefore:

 A utility company can install and maintain lighting exclusively in a given municipality at project cost as described above. In this case, the lighting would be installed by the utility company and payment would be made by the plan and estimate method. This would make it unnecessary to use the low bid process as power companies work under franchise agreements with municipalities and have

47 SCC regulated service areas.

 Plans can specify utility poles and other materials if they meet the standards of the municipalities, the utility company and national standards. The utility company should be allowed to approve the poles and materials to ensure effective maintenance and service.

 A utility, whether a local government or a power company, can install lighting by using their crews or a contractor under the plan and estimate procedure once the lighting is approved by VDOT (Traffic Engineering Section of L&D and Right-of-Way Divisions).

 A utility company can supply their own poles, at project cost or their cost, for installation by the VDOT contractor but this is not recommended. It is best to specify the materials in the plans and require the contractor to bear the liability and responsibility of handling and installing.

 If the utility company is allowed to install lighting under the plan and estimate method at the same time the roadway contractor is pursuing roadway work, a special provision must be included in the plans making the contractor aware of the street lighting work and schedule.

 If the plan and estimate method is used, the utility may want to use a consultant or VDOT to do the engineering design work. Either would be acceptable.

 Poles may be located inside of the desirable clear zone of 9.5 feet provided the justification for doing so exists (no right-of-way, building lines, undue cost, etc.) and the absolute minimum clear zone of 1.5' from the face of curb is not violated.

The project manager is responsible for documenting any variation from the desirable clear zone.

 Existing non-roadway lighting may be replaced at project expense.

  1. 8.11 Processing of VDOT Billing and Locality Reimbursements

As outlined in Chapter 3.4.1, municipalities are often required to provide matching funding to their projects.

When projects are locally administered, reimbursements to the locality are managed in accordance with Chapter 19 of the Locally Administered Projects Manual. Local match requirements and estimated VDOT oversight costs are identified on Appendix A of the Project Administration Agreement. These charges, including the local share of VDOT oversight costs, are deducted from reimbursements. Refer to Chapter 19 of the Locally Administered Projects Manual for additional information regarding reimbursements for locally administered projects.

48When VDOT administers an urban project, VDOT District staff will work with the locality to develop a scope, schedule, and estimate for the project. After the scoping phase of the project, VDOT and the locality will develop a project agreement with an Appendix (referred to as the project agreement Appendix A) that will define the responsibilities of VDOT and the municipality for project development, funding sources, match requirements, billing amounts, and general project estimates by phase and completion (see Appendix K in this manual for additional details).

In order to recoup the local share of funding on VDOT administered projects, VDOT will bill the locality on a monthly basis (or other agreed to schedule), based on estimated costs and schedule for the currently authorized phase(s). For example, if the local share for the Preliminary Engineering phase of a project is $40,000 and the schedule for Preliminary Engineering is eight months, VDOT will bill the locality $5,000 monthly.

Monthly billing amounts will be adjusted, in the Appendix A of the Project Administration Agreement, as each new phase is authorized. The project agreement Appendix A are updated whenever there is a change in scope which affects the estimate, a change in funding, and at each new phase authorization or major project milestone.

  1. 8.12 Project Maintenance and Modification

Federal regulations (23 CFR1.27) require the perpetual maintenance and operation of a facility constructed with federal funds. When a municipality undertakes construction of a facility utilizing federal or state transportation funds, the municipality commits to maintenance and operation of the facility as constructed.

49CHAPTER 4 – OPERATIONS

  1. 1 General Overview

All cities and towns with populations over 3,500 have operational responsibility for their local road system. Payments for operational activities are included in the maintenance payments provided each quarter. These municipalities have control over policy and priority setting, scheduling, and program delivery approaches for operational activities, including access control, permitting, and land development transportation reviews. All activities must adhere to nationally recognized standards and coordination with VDOT may be necessary as noted below.

  1. 2 Traffic Control

  2. 2.1 Devices

All signs, signals and signal detection devices, pavement markings, and other message relating mediums must conform to the most current edition of the MUTCD and the Virginia Supplement to MUTCD.

Municipalities having road maintenance responsibilities are also responsible for the installation, maintenance, and control of traffic signs and pavement markings within the local road system. However, Section 33.2-323 of the Code of Virginia requires that all markings and traffic control devices installed by towns on Primary routes maintained by VDOT first be approved by the Commissioner.

  1. 2.2 Traffic Signals Installation of traffic control signals must meet the warrants established in the latest edition of the MUTCD. Signal poles may need to be stronger and higher or provide an extension for luminaries. If such a pole is needed, it is eligible as a project expense.

Non-breakaway poles, cabinets and other associated fixed objects located within the clear zone should be protected with the appropriate guardrail system. For Sole Source and Proprietary Product Procurement see Chapter 3.8.5.

  1. 2.3 On-Street Parking

As a general rule, on-street parking is not to be provided at project cost as a part of an urban formula project. Where on-street parking is permitted, it is generally allowed until such time as traffic volumes warrant otherwise; at which time on-street parking must be eliminated. Where parking is prohibited, appropriate “No Parking” signs must be erected in conformance with the Manual on Uniform Traffic Control Devices (MUTCD).

Any changes in parking provisions shall be subject to the approval of the Department.

  1. 2.4 Restriction of Traffic

Prohibition of traffic through a municipality may be allowed on selective routes when reasonable alternative routes are provided and they are properly signed and marked.

Elimination of peak hour through traffic may result in a reduction of a municipality’s maintenance payment (see Chapter 2.2).

§46.2-809 of the Code of Virginia also provides additional guidance regarding the regulation of through truck traffic in certain municipalities.

  1. 2.5 Speed Limit Changes

In accordance with the provisions in § 46.2-878 of the Code of Virginia, municipalities may increase or decrease speed limits on any highway under their jurisdiction as well as establish differentiated night time and day time speed limits on any highway under their jurisdiction. Prior to implementing any change in speed limits, the municipality must conduct a traffic engineering investigation and install appropriate signs.

  1. 3 Road Diet

Road diet is a technique used in urban design and transportation planning whereby the number of travel lanes in and/or the width of a road is reduced in order to achieve systematic improvements. Road diets are often used to improve the safety of two-way streets with 4-lane sections by reducing streets to 1 travel lane in each direction, adding bicycle lanes, and including a turn lane in the middle, as depicted in Figure 4-1. The following are potential considerations for municipalities interested in road diets for roads eligible for urban maintenance payments:

 Municipalities should ensure their lane mile database is accurate. By keeping the database up to date with all new lanes, municipalities can maximize their urban maintenance payments.

 Municipalities that allow parking lanes to be opened to peak hour traffic can include those lanes in their urban maintenance payments funding formula.

 Where safe to do so, municipalities can look to narrow existing travel lanes in order to provide space for bike lanes on a road segment. This can serve as an alternative to reducing the number of lanes. In accordance with Chapter 2.4, the conversion of an existing moving-lane that qualifies for payments under this section to a bicycle-only lane after July 1, 2014, shall remain eligible for such payments. Bicycle lane conversions should be designed in accordance with the National Association of City Transportation Officials' Urban Bikeway Design Guide.

51  Road diets can be low cost if planned in conjunction with reconstruction or simple overlay projects, since a road diet mostly consists of restriping. Roadways with Average Daily Traffic (ADT) of 20,000 or less may be good candidates for a road diet and should be evaluated for feasibility. Driveway density, transit routes, the number and design of intersections along the corridor, as well as operational characteristics are some considerations to be evaluated before deciding to implement a road diet. In addition, the level of service of the street to be converted should not be reduced or if it will be reduced that the associated roadway network will retain adequate capacity to meet current and future mobility needs of all users. Additional information can be found at the following FHWA website: http://safety.fhwa.dot.gov/provencountermeasures/fhwa_sa_12_013.htm

 Municipalities should work with VDOT’s Local Assistance Division or their District contact to determine if the roadways that are part of the urban maintenance inventory that are being considered for the road diet meet applicable standards.

Figure 4-1

  1. 4 Structures and Bridges

Municipalities must notify the District Bridge Engineer immediately when a structure on a locally maintained road is altered, thereby affecting the clearance or capacity either permanently or temporarily.

Municipalities are responsible for posting restricted vertical clearances on all locally maintained roadways in accordance with Section 46.2-1110 of the Code of Virginia.

Note: Bridge Condition Ratings and Safety Inspection requirements can be found in Chapter 2.8.2.

  1. 5 Coordination when Development Impacts the Interstate and Primary System

By agreement with the FHWA, interstate cross streets require access control and management within 100 and 300 feet of the ramp termini in urban and rural areas, respectively. The two main reasons for maintaining this control of access are 1) to preserve the operational and safety integrity of the intersection and crossroad, and 2) to prevent traffic from backing up onto the main lines of the interstate due to traffic conflicts that are too close to the exit terminal.

Section 15.2-2222.1 of the Code of Virginia requires all development proposals that have a significant impact on the primary system of state highways be reviewed by VDOT prior to the locality taking action. Per 24VAC 30-155, in municipalities that maintain their own local roadways, for a comprehensive plan change or rezoning that will generate in excess of 5,000 trips per day, the locality must submit to VDOT a development proposal if the work is located within 3,000 feet of a connection to a state controlled highway.

Additional information on these development submission and review requirements can be found in the Traffic Impact Analysis Regulations on VDOT’s website.

Additional information on the access management standards for principal arterials can be found on the Access Management page of VDOT’s website.

53CHAPTER 5 – URBAN CONSTRUCTION INITIATIVE (UCI)

  1. 1 General Overview

Interested municipalities may assume responsibility for their urban highway construction program. After doing so, the municipality becomes part of the Urban Construction initiative (UCI), formally known as the First Cities Program. Under this initiative, a municipality assumes full responsibility for highway construction projects and receives certain project delivery and oversight streamlining benefits. When a municipality elects to participate in the UCI program, they will work with Local Assistance Division (LAD) to determine if there are remaining urban formula allocations that is available for payment.

The payments are reduced by the amount of federal-aid construction funds which are forecast to be available to the municipality, and also by any amount forecast to be expended by VDOT or DRPT for prior projects being administered by VDOT at the municipalities’ request. Federal funds that are retained by VDOT are made available as a reimbursement for qualifying expenditures. The payments may be increased by the amount of State Fund Match provided for special federal programs such as SAFETEA­ LU and State Bond Match to federal formula funds. The State Bond Match portion of the quarterly payment may not be used by the participants for reimbursement for debt service on local bond issues. The payments, including the interest earnings thereon, will be used by the Locality directly to pay capital expenditures.

The payments may be deposited in an interest bearing account by the municipality if they are not immediately needed for project expenses. Any interest accrued belongs to the municipality but must be used for transportation improvement purposes and has to be accounted for in the same manner as the payments.

In keeping with the intent of the Code requirements, the municipality will be expected to begin administration of projects currently under VDOT administration, generally at the beginning of the next phase of project development/delivery. If agreed to by both parties, VDOT may continue administration of any project but will enter into a memorandum of understanding regarding such administration.

Participation in the UCI program has many advantages, including

 Local Control of the Urban Construction Program.

  • Urban Allocations are locally programmed.

  • State funds are received quarterly and are locally managed.

  • Transportation and Land Use decisions are made at the local level.

  • Municipalities have the opportunity to become certified.

54  Local Control of Projects

  • There is a streamlined agreement process.

  • Project level billing is streamlined.

  • There is local control of project level decision making.

  • Networking opportunities with similar UCI localities, VDOT and FHWA.

 Financial Benefits

  • The state portion of urban allocations are received quarterly, or in a lump sum

payment.

  • Reduced submittal requirements for project phase authorizations by the local government

However, there are a number of realities and responsibilities associated with the UCI program, which include:

 Statutory and Regulatory Requirements

  • Federal requirements do not go away.

  • VDOT is still responsible to the FHWA for delivery of the federal program.

  • The municipality certifies that projects meet state and federal requirements.

 Accountability

  • The municipality becomes accountable for all phases of project

development/delivery.

  • The municipality is the sole point of contact for citizen interest.

  • The municipality is responsible for meeting federal financial obligation

strategy.

55 Project Delivery Options

Programmatic approval with Programmatic Streamlined Approval Process

Approved on a project by project basis

Local UCI Member UCI Member Project (Non-Certified) (Certified) Administration

Locality administers Locality administers Locality on an individual their entire Urban administers their entire Urban Program using Streamlined Project

  1. 2 Process to Participate in UCI

Generally the project delivery processes outlined in the Locally Administered Projects Manual are applicable to UCI Projects, with some efficiencies specific to UCI localities noted. Municipalities are encouraged to contact their District when there is a question regarding applicability.

Municipalities that are interested in participating in the UCI program must notify the LAD of their intent to assume this responsibility by December 31st for implementation the next fiscal year. The expression of intent is generally communicated by a resolution adopted by the municipality’s Board or Council. A sample resolution is provided in Appendix L. The municipality should work directly with their VDOT District to be assured that the proper information is being submitted and transmitted to VDOT’s Local Assistance Division.

When a municipality elects to participate in the UCI it must enter into a programmatic administration agreement with VDOT. The agreement spells out the terms and

56conditions under which the municipality can participate in this program. A sample administration agreement is available in Appendix M.

  1. 3 Program Management

UCI participant municipalities can find program guidance in both this manual and in VDOT’s Locally Administered Projects Manual. Municipalities are encouraged to closely review and understand the processes and responsibilities outlined in these manuals as a substantial deviation, particularly of federal requirements, may result in either loss of federal and state funds, or the requirement to reimburse VDOT for any payments already made.

  1. 4 Audit/Fiscal/Budget

  2. 4.1 Audits and Compliance

VDOT may conduct random audits of basic construction and project records to verify compliance with applicable federal and state laws and regulations and any requirements within the standard agreement and/or these guidelines. Project records must be maintained for not less than three (3) years following FHWA acceptance of the final voucher, and the municipality shall make such records available to VDOT upon request.

Additional information regarding audit s and compliance can be found in Chapter 7 of the LAP Manual.

  1. 4.2 Recovery of VDOT Costs

It is recognized that VDOT will have various costs associated with the administration of this program. For routine administrative activities such as overhead, providing programmatic assistance and guidance, minimal to no fee will be charged to a municipality. However, VDOT costs associated with project oversight activities will be direct billed to the municipality for reimbursement. Additional information regarding billing and VDOT costs can be found in Appendix N.

Under the UCI Program, the municipality is electing to manage their entire construction program. However, under certain circumstances, VDOT may agree to provide specific project services for requested assistance during the program transition period, as a training opportunity, and/or for purposes of meeting federal obligations. In these instances, approval by VDOT’s Chief Engineer is required, in addition to an independent administrative agreement. VDOT will direct bill the municipality on a cost basis for these services. Additional information can be obtained from VDOT’s Local Assistance Division.

57A third category of charges by VDOT is for such activities as providing certification, SERP, or an oversight function such as reviewing plans, and administering the Civil Rights and Environmental programs. In these instances, VDOT will direct bill the municipality. VDOT will provide the municipality a cost estimate for oversight work for each project.

VDOT will develop project specific funding worksheets for each UCI participant project to identify eligible funds, costs and reimbursements. A sample worksheet can be found in Appendix O.

  1. 4.3 Processing of Invoices

As provided for in the standard programmatic agreement, the municipality may submit monthly project level invoices to VDOT for reimbursement of remaining federal funding.

However, to ensure timely processing of invoices and to comply with federal requirements, invoices should be submitted at least quarterly. All invoices should also be submitted within ninety (90) days of the completion of work. A project level invoice, accompanied by supporting documentation, should be submitted to the Project Coordinator. The supporting documentation should include copies of invoices paid by the municipality and a “to-date” project summary schedule, tracking payment requests and any adjustments. In lieu of copies of invoices paid by the municipality, a one-page summary of what documentation the municipality has on file may be used, provided that it is signed by the municipality’s Director of Finance, Accounting Manager, or local employee of similar position. Appendix N – Attachment A includes a document entitled “Urban Allocations Paid Directly to Urban Municipalities” that contains a sample submission showing all of the information needed for reimbursement, including documentation of the municipality’s required match.

VDOT will reimburse the available federal allocations to the municipality within thirty (30) days of receipt of an acceptable invoice. The amount may be reduced if a project does not have sufficient federal allocations shown in the SYIP.

A municipality may be compensated for indirect costs, provided that they have an approved Indirect Cost Plan. The municipality should work with their VDOT District to have such a plan reviewed and approved by the Department

  1. 4.4 Local Match

State law requires the municipality to provide a local match, from its own funds, to the state and federal funding needed for a project under this program. Typically, the local match is two percent (2%), however in some cases the local match may be higher or lower depending on fund types and allocation date. When an invoice is presented for reimbursement from VDOT, 100% of the eligible costs should be shown. The

58municipality can request reimbursement of the federal funding and must account for the state funding paid in quarterly payment(s) and the local share being applied to the project. This cost to the municipality should be noted and adequate records maintained to document this. This results in the federal and/or state share being ninety-eight percent (98%) of eligible project costs assuming a two percent (2%) local match. The use of direct-charge, in-house, municipality staff time is allowed to count towards the municipality’s two percent obligation.

The Virginia Appropriations Act language removed the 2% match requirement for projects initiated under this initiative after July 1, 2005. These projects will be identified as such in the SYIP and in program worksheets.

  1. 4.5 Annual Project Financial Status Reporting

A project status report for all projects must be submitted on an annual basis to the Local Assistance Division. This Annual Report should include the estimated project costs, expenditures to date, and the amount of federal state and local funding applied to each UCI project. The report shall be submitted by August 31 of each year. A sample Annual Report can be found in Appendix N, labeled “Sample Annual Project Financial Status Report”.

  1. 5 Urban Construction Initiative Certification Program

  2. 5.1 Introduction

Municipalities that are participating in the VDOT Urban Construction Initiative (UCI) Program may apply to be certified to deliver projects with streamlined oversight from VDOT. Certification with streamlined oversight applies to all projects except for those that are located on the National Highway System (NHS), that have been noted as requiring Federal Oversight (FO) or that have been identified by the Commissioner as requiring VDOT oversight.

This section describes the application, evaluation and qualification requirements for municipalities to become certified for delivery of their program and projects with federal funding with reduced oversight from VDOT. This section should be read in conjunction with the Certification and Compliance flowchart included as Appendix P.

The major steps in the flowchart are explained below along with details of the submission requirements that municipalities will be required to meet, what information must be submitted and how VDOT will evaluate that information.

  1. 5.2 Initiation of Certification Process and Eligibility Requirements

Certification is voluntary and each municipality must decide for themselves if it fits their needs or not. VDOT is responsible to FHWA for projects that receive federal funding.

As such VDOT must ensure that only eligible and suitably qualified municipalities are allowed to deliver projects via a certification process.

The first step of VDOT’s evaluation process is eligibility. In summary, the eligibility requirements are:

  1. The Locality has demonstrated its ability to administer and deliver federally funded projects via a combination of projects from different federal funding sources (i.e. not solely Urban), and has accomplished this through the use of local or contracted resources. Experience must be demonstrated in the following areas at a minimum:

a. Preliminary and final engineering

b. Meeting NEPA requirements

c. Undertaking Land Acquisition

d. Procuring Consultants

e. Undertaking Construction Project Management

  1. The Locality has participated in the UCI Program for a minimum of one (1) year and must have demonstrated programmatic responsibilities, such as fiscal management.

  2. The Locality must have any unresolved compliance issues arising from Office of Management Budget (OMB) Audits, VDOT findings of non-compliance or FHWA findings of non-compliance or non-participation.

Before progressing further, it is recommended that the Locality discuss the eligibility requirements with its local VDOT Liaison and Local Assistance Division (LAD) to decide if it can meet them. If the Locality has any concerns regarding previous VDOT and/or FHWA compliance issues these should be raised with the LAD Director and discussed prior to expressing interest in becoming certified.

Municipalities that believe they are eligible must formally express interest in Certification via a Letter of Intent from a Locality Administrative Official to the LAD Director. In no more than two pages, the Locality should state the reasons why it is pursuing certification and how it meets the eligibility criteria. In responding to the criteria on

60demonstrated ability to administer and deliver projects, the Locality is required to include within their Letter of Intent a brief list of projects that support their eligibility. The list should include the project description and UPC reference code.

VDOT will review the Letter of Intent with assistance from the Home District Administrator and his or her staff. The LAD Director will carry out the final evaluation and respond within 30 days. A positive response will include confirmation that the eligibility criteria have been met and will request a formal detailed submission based on the requirements outlined below. In this response, VDOT will inform the Locality as to who will be on the Certification Evaluation Panel and therefore to whom they should submit their detailed submissions. If the eligibility requirements have not been met the reasons will be listed in VDOT’s response.

  1. 5.3 Certification Submission Requirements

For a Locality to achieve certification status, VDOT needs to be confident that the Locality:

  1. has appropriate program delivery systems in place;

  2. has appropriate project delivery processes in place;

  3. has an organization structure in place to support program and project delivery;

and

  1. has experience in program and project delivery.

VDOT will evaluate the above and approve or deny certification based on the detailed submission document from the Locality. In this document, the Locality is required to address program and project processes and explain how the coordinate within their own organization to meet federal requirements. In addition the Locality is required to describe its experience in these specific areas.

To guide the Locality in the development of the detailed submission and to standardize evaluations, the Locality should respond to the questions below. The Locality must submit their narrative no more than 90 days after receiving confirmation of eligibility. If this period expires, the Locality may need to re-submit their Letter of Intent for a new eligibility review.

In the questions below, program and project delivery have been split into various sub­ headings that match the minimum federal requirements.

Sub-headings for program management (Chapter 5.5.3.1) are addressed first as these apply to all projects that receive federal funding through VDOT. VDOT needs to have

61information on these functions to have confidence in the Locality’s performance without needing to continually check each aspect in detail.

Sub-headings for project delivery (Chapter 5.5.3.2) relate to the stages of project development and construction that still require VDOT approval. VDOT will continue to be involved at these stages as they are required to do so by federal regulations; however, a Certified Locality will be able to work towards each approval without additional oversight or detailed interim checks. In order to be comfortable with this streamlined process, VDOT needs to know how the Locality will carry out the steps needed to meet each approval point.

In answering the questions below, the Locality may use a format of their choosing. If a Locality already has a project implementation plan or other form of process manual it may reference that in its answers and append the appropriate sections.

  1. 5.3.1 Program Management Requirements

The Locality is required to demonstrate that it has systems in place to support project development and construction, and that it can carry out associated roles and responsibilities required by federal regulations. These are defined as program management systems and roles. Therefore, each request shall address the following in their description of the systems in place:

  1. What processes (documentation, systems, and controls) are in place to ensure successful program delivery?

  2. How does your organizational structure support/ ensure success?

  3. What combinations of in-house/out-sourced resources are to be utilized to achieve program delivery?

  4. What experience demonstrates the Locality’s ability to deliver Federal programs?

  5. How will the Municipality ensure good communication with the VDOT District regarding project development and delivery? (i.e. schedules, estimates, obligation of federal funds)

The systems or programs that the Locality is required to describe include, but are not limited to:

  1. Fiscal, audit and budget systems  Federal-Aid payment requirements  Project documentation  Audit requirements according to OMB Circular A-133 (CAFR)

62 2. Civil Rights program  DBE Program Plan  DBE goals (establishing and attaining)  DBE requirements in contracts

  1. Internal QA/QC processes  Management of external consultant/resources  Design quality control plan  Constructability and bidability review  Construction quality control requirements  Construction quality assurance program (including independent materials testing where required)

  2. Public outreach program  Outreach plan  Public involvement at appropriate stages

  3. Consultant procurement process  Virginia Public Procurement Act/Brooks Act  Ensuring fairness and transparency

  4. Project controls for cost and schedule  Baseline schedule preparation  Engineering, construction, administration and project management cost estimating and budget preparation  Project controls methodology & systems

The program management roles and responsibilities are also shown in a table in Appendix R.

  1. 5.3.2 Project Delivery Requirements

VDOT can only be assured that federal requirements will be met, and be able to award certification, if it is confident that the Locality has documented delivery processes in place to meet the requirements. The project delivery flow chart in Appendix P is presented as a guide to demonstrate typical project flow. However, not all steps are needed for all projects, and the steps are not necessarily sequential. Emphasis should be placed on processes that are federally required and that require VDOT interaction or approval whether a Locality is certified or not. The boxes highlighted in red are key points requiring VDOT/ FHWA coordination/ approval and are to be addressed in the

63certification submission as described below. Additional information on the information required for each project delivery touch point can be found in VDOT’s LAP Manual.

To become certified, each Locality shall address their internal knowledge of the requirements, processes in place, their internal and /or external resource utilization and experiences for each key point during project development. Below are the key points and suggested topics for each.

  1. Preliminary Engineering Authorization  Local Council Approval  Meeting Federal Strategy Requirements

  2. NEPA & Permitting Preparation of NEPA documentation and associated permits including:  Coordination with appropriate resource agencies  Development of environmental document  Federal permits including Virginia State required permits  Final environmental approvals  Environmental re-evaluations

  3. Right-of-Way Preparation of R/W and utility plans including:  R/W total parcel acquisition plans  R/W special negotiations identification  R/W and Utilities agreement and authorization  Meeting Federal Strategy Requirements

  4. Sole Source or Proprietary Procurement  Sole source justification

  5. Construction Authorization  Bridge/structures special details  AASHTO design standards  Value Engineering  Design exceptions, documentation and justification  Final PS&E and contract documents preparation  Meeting Federal Strategy Requirements

  6. Award of Construction Contract  Project advertisement  Contract award and package  Contractor Value Engineering review

64  Administration of construction contracts including project controls

  1. Project Final Inspection and Acceptance  Acceptance procedures  Report of expenditures

The project delivery roles and responsibilities are also shown in a table in Appendix S.

The Locality may refer to VDOT processes (including the LAP Manual) if these are adopted for project delivery. If VDOT processes are used, the Locality is required to state how they use them and what modifications are applied.

  1. 5.3.3 Organization Chart

An organization chart is required to assure VDOT that qualified staff are either employed or retained to demonstrate knowledge of the processes requirements and to implement the delivery processes and use the delivery systems. The organization chart must show the “chain of command” with lines identifying the participants who are responsible for major functions to be performed and their reporting relationships showing key roles and interaction between roles. The Locality also needs to clearly identify responsibility for interaction with VDOT.

The Locality is also required to submit a narrative describing the functional relationships among participants for the organizational chart. The Locality must indicate whether positions are filled in-house or outsourced. There should be alignment between the processes and the organization chart.

Note that VDOT does not require all roles to be in one department. The Locality should explain how it manages its own processes, whether that involves links to other departments for certain functions (e.g. payment) or whether it is all in one department.

Lines of authority need to be clear and the Locality needs to assure VDOT that those in responsible charge have internal support for processes that have to be carried out to meet Federal requirements.

  1. 5.3.4 Experience

When addressing experience, the municipality will demonstrate that it has previously delivered projects with Federal funding. The size or type of project does not matter because certification will apply to all sizes and types of project, i.e. there will not be tiered certification. If a Locality has not delivered one entire project all the way through but believes it can demonstrate its experience via multiple projects, it may do so.

Experience gained prior to participation in UCI may be included if it clearly is relevant to

65the program and project delivery headings above. The Locality submits their narrative directly to LAD.

  1. 5.4 Certification Evaluation

Evaluation will be carried out by a VDOT Evaluation Panel. This panel will include the Local Assistance Division Director (or designate), the Home District Administrator (or designee) and an Independent District Administrator (or designee). The Home District is the District in which the Locality is situated. The Independent District is any other District in the Commonwealth. A representative from the FHWA will be invited to participate as a non-voting member.

Evaluation will focus on the program management requirements, project delivery processes, organizational structure, and experience. The panel members will independently evaluate the Locality’s entire submission but focus on the areas described below.

  1. The Local Assistance Division (LAD) Director will focus on policy and programmatic issues. LAD will review the program management processes presented by the Locality and evaluate whether they fit with the current UCI program and with the aims and objectives of streamlining. From a policy perspective, LAD will evaluate whether all federal requirements will be satisfied by the program management processes. LAD will also bring experience and knowledge of the Locality’s key staff and use that to contribute to the evaluation of organizational structure. LAD will guide the evaluation process.

  2. The Home District Administrator (or designee) will focus on three areas: project delivery processes; experience; and provide an overall view of information presented, including organizational structure. The Home DA will use their experience of working with the Locality to evaluate the processes put forward and the extent to which they have been carried out successfully. Home District staff may be consulted for feedback on technical aspects of evaluation and past performance.

  3. The Independent District Administrator (or designee) will provide a third view of overall narrative and policy issues presented in the submission. Independence promotes objectivity when compared to the evaluations by the other panel members.

A simple evaluation result will be deployed allowing each panel member to determine that each component is either Demonstrated or Non Demonstrated. These results will be applied by each panel member to each of the six program management components and each of the seven project delivery components. Comments must be provided on

66any area identified as Non Demonstrated. Organizational structure and experience are not separate evaluations as they apply to each of the 13 components.

Local Assistance Division will summarize the panel’s comments on the Locality’s submission. Feedback will be provided to the Locality in written form. This phase will be the Intermediate Review and will not confirm that Certification has been awarded or not.

The feedback will list the components that were evaluated as Not Demonstrated and ask the Locality to address these areas in a follow up interview presentation. The Locality will have an opportunity to revise its narrative and prepare for the interview, which will be held in a Home District location. New information that addresses Non Demonstrated areas must be resubmitted in narrative form at the interview.

The Locality is required to achieve a Demonstrated result in all 13 component areas in order to achieve certification.

Following the interview, the panel will reconvene and reach a consensus determination on whether the non-demonstrated areas have been addressed or not. The LAD Director will provide the panel’s recommendation to the VDOT Chief Engineer who will then make the final decision. The result will be communicated to the Locality in written form.

If the Locality is not approved for Certification, VDOT will provide detailed feedback for improvement allowing the Locality to resubmit its submission.

An Agreement and a formal Certificate will be signed by the Locality and VDOT if the Locality is successful in achieving Certification. The Locality may begin the transition to Certified status immediately however ongoing coordination with LAD will be required.

  1. 5.5 Certification Evaluation Timeline

The timeline described below relates to the entire application and evaluation process.

Please refer to Appendix T for a diagrammatic summary.

  1. A Locality that believes it is eligible for certification must initiate the process by submitting a Letter of Intent to the LAD Director.

  2. Within 30 days VDOT will advise the Locality in writing whether or not they have successfully met the eligibility criteria. If successful, VDOT will respond with confirmation that the eligibility criteria has been met and ask for a formal detailed submission based upon the requirements detailed in Chapter 5.5.3. The Locality will also be informed of the members of the Certification Evaluation Panel.

67 3. The Locality will then have up to 90 days to submit its application to the Evaluation Panel. As soon as the submission is received, VDOT will arrange a tentative date for the evaluation presentation/ interviews, which should be held approximately 90 days from the submission date.

  1. The Evaluation Panel will complete its review of the submission over a 60-day period. At the end of the 60-day period, the panel will identify any non-demonstrated areas and LAD will provide summary comments to the Locality.

  2. The Locality’s interview/presentation to the panel shall be held 30 days after VDOT has provided the Locality its summary comments. The Evaluation Panel will discuss the application after the interview and document its final recommendation

  3. The LAD Director will schedule a briefing with the VDOT Chief Engineer over the next 30 days after which he or she will inform the Locality of the result of their application.

  4. 5.6 Certification Compliance

  5. 5.6.1 Introduction

Once a Locality has been certified it is important that performance is monitored and improved. This is achieved through a compliance assessment regime as described below. Compliance is an important component of the Certification process to ensure that FHWA and VDOT requirements are continually met and that the Locality is given necessary feedback to improve. The Local Assistance Division is responsible for executing the compliance program, with support from the Districts and Central Office policy divisions.

  1. 5.6.2 Project and Program Reviews

The certification program includes three levels of review as shown on the diagram below:

  1. 5.6.2.1 Project Level Reviews

The first level of review is called the Project Level Review performed on an annual basis. This is comprised of reviewing specific projects. Although this review does not directly relate to re-certification it is important for performance improvement purposes and will provide VDOT with information that may be included in the re-certification review.

The number of projects selected for annual review will be dependent upon the number of federally funded projects being carried out under the program in the relevant Locality, with a minimum number of one, and a maximum of three projects being reviewed.

The projects selected for compliance review will provide a representative sample from the Locality’s various fund sources utilizing federal and state funds and identified in the SYIP and/or Year End Report. The review will consider the following but will not be limited to:

  1. previous review findings;

  2. complexity/risk;

  3. projects underway; and,

69 4. phase completion.

The projects shall be selected by LAD with input from the District staff responsible for Urban Programs. Focus for the review will be on activities that have occurred following certification. The intended schedule for compliance reviews is outlined below:

Timeframe Event Details August Identify pool of projects Projects chosen from SYIP and/ or Year End Report September Project review team Review visits are scheduled established October- Review process  Conduct project reviews December  Summarize findings (compliance/noncompliance)  Send summary to Locality January – Correction/resolution 90 days to provide correction action plan March and/or dispute deficiencies if necessary April – May LAD review LAD review of response and coordination of further corrective action (as needed)

The schedule above may be modified at the discretion of the LAD Director. The actual timeframe will depend to some extent on the number of projects reviewed, the complexity and risk involved in those projects and the number/significance of Locality’s corrective actions.

  1. 5.6.2.2 Re-Certification

A re-certification review will be conducted by LAD and specified compliance team members two (2) years after the Locality is initially certified. This review will be focused on programmatic responsibilities to check that all key areas are being delivered in accordance with accepted processes. Any changes in the Locality from the original application must be brought to the attention of LAD before the re-certification process begins. The review will also include an evaluation of the annual performance (project­ level) reviews.

Assuming continual program success and compliance, subsequent re-certification reviews will take place every five (5) years thereafter.

  1. 5.6.2.3 Program Wide Reviews

Program wide reviews will be conducted periodically to ensure that the whole program is on track. This level of review may include random spot checks during various stages

70of project development and/or areas identified with consultation with the FHWA and Municipalities.

Each year, FHWA and VDOT will evaluate the status of the entire local administration program as part of an annual risk assessment. This discussion will include consideration of the timing and scope of Program Wide Reviews for the UCI Certification Program.

  1. 5.6.3 Compliance Assessment Team

LAD will coordinate the reviews and identify the appropriate team members based on the type of review being done and disciplines involved. Typical team members for reviews are identified below:

  1. The LAD Compliance Coordinator will be responsible for initiation, planning, coordination, implementation and provision of feedback related to each compliance review. The Coordinator will facilitate the selection of the projects to be reviewed and the review team. The coordinator will also participate in the review itself.

  2. The District Coordinator/Staff responsible for Urban Programs will be responsible for technical aspects of compliance with program and project requirements. This member will also review the efficiency of the Locality in areas such as the timeliness of submissions to VDOT.

  3. Central Office Policy Division Representatives will be responsible for supporting the review of their technical areas. In most cases, these review team members are members of the Local Partnership Team.

  4. 5.6.4 Findings and Deficiencies

Three levels of deficiency are described below. Each requires a different form of correction or resolution and, when identified by VDOT, the Locality will be required to provide a correction action plan. The LAD compliance team may need to further investigate preliminary findings to determine if the infraction(s) may jeopardize the Locality’s certification.

  1. A programmatic deficiency is defined as a finding that a Locality’s programmatic approach, practices, or procedures do not sufficiently demonstrate their ability to ensure compliance with federal or state requirements or their own stated policies and procedures. Continued certification may be conditioned, or certification may be removed until the deficiencies are corrected. Examples of programmatic deficiencies include: failure to demonstrate sufficient understanding of federal-aid

71 processes, failure to maintain updated processes/procedures, failure to implement Civil Rights policies, failure to audit or budget correctly, failure to carry out adequate QA/QC, and significant deviation from organizational structure.

  1. A project deficiency is defined as an error or omission that violates federal or state regulations, or mandated policies. If uncorrected, they may jeopardize federal or state participation in all or a portion of the project. Examples of project deficiencies include: failure to require specific Civil Rights information from contractors, failure to meet agreed-upon materials acceptance testing procedures, and failure to submit adequate information for approvals. This level of deficiency may result in loss of all or part of the federal and/or state funding for the project.

  2. An “unrecoverable” project deficiency is one that has proceeded beyond the ability to correct and is of such magnitude as to create doubt that the policies and objectives of Title 23 of the USC (or other applicable federal codes) will be accomplished by the project. Examples of unrecoverable project deficiencies include: failure to meet NEPA stakeholder involvement requirements, violations of Brooks Act requirements when hiring of professional consultants, failure to obtain a design exception prior to construction, and award of a contract to a suspended or debarred contractor. This level of deficiency may result in the withdrawal of all or a portion of the federal and/or state funds from the project.

  3. 5.6.5 Resolution of Findings

  4. 5.6.5.1 Introduction

During the compliance review process, it is possible that differences of opinion will arise when non-compliance findings are identified and when closing out corrective actions.

The following resolution process is intended as a guide to the action that a Locality can take should this occur. The goal is to for issues to be resolved constructively and at the lowest possible level.

  1. 5.6.5.2 Resolution Process

The first level of discussion should be between the compliance review team and the Locality. The Locality must fully describe the project issues where there is a disagreement and include the following information:

 A detailed statement of Locality’s position on the issue.

72  Any backup for the position statement, including maps, plans, invoices, agreement(s) (draft and/or executed), pictures, and other material needed to give a full picture of the disputed issue.

Upon receiving the request, the Compliance Coordinator shall prepare a response in the form of a memorandum to include the following:

 A detailed discussion of the items that are in dispute with references to sections in the manuals and policy memos that support VDOT’s position.

 An overview of the issue, including any additional maps, plans, invoices, agreement(s) (draft and/or executed), pictures, and other material needed to give a full picture of the disputed issue that was not included in the Locality’s request.

In preparing the above information, the Compliance Coordinator will consult the other members of the compliance review team including the Staff responsible for Urban Programs and Central Office advisor(s). The District Administrator or delegate may also be included.

The above exchange of information is to be provided in a timely manner so as not to impede the ongoing delivery of projects by the Locality. The Compliance Coordinator will invite the Locality to a meeting to discuss its response memorandum.

Should an agreement not be achieved, the matter may be escalated to the LAD Director for resolution. The information described above will be made available to the LAD Director along with the minutes of relevant meetings held between the Locality and the compliance review team. The LAD Director’s decision will be final.

If the issues identified are such that continued certification may not be possible, the LAD Director shall brief the VDOT Chief Engineer. The Chief Engineer will make the final decision regarding certification of the locality. The Chief Engineer’s decision will be final.

73APPENDICES

74 Appendix A - Legislation

Legislation Alphabetically Code Section Legislation

33.2-1509 ACCESS ROADS – INDUSTRIAL AND AIRPORT

33.2-1510 ACCESS ROADS – RECREATIONAL AND HISTORICAL

33.2-228 AGREEMENTS BETWEEN COMMISSIONER AND MUNICIPALITIES

15.2-2030 AIR SPACE OVER PUBLIC STREETS

33.2-358B,C,C2 ALLOCATION OF FUNDS AMONG HIGHWAY SYSTEMS

33.2-361 ALLOCATION OF FUNDS FOR PRIMARY AND INTERSTATE MATCH

(REPEALED BY ACTS 2015)

33.2-362 ALLOCATION OF FUNDS FOR URBAN HIGHWAYS (REPEALED BY ACTS 2015)

46.2-1110 BRIDGE CLEARANCES

33.2-318 BYPASS

33.2-1722 CHESAPEAKE BAY BRIDGE TUNNEL PAYMENTS

33.2-319 CITY AND STREET PAYMENTS

33.2-113 CITY CONTRIBUTIONS TOWARD CONSTRUCTION OUTSIDE CITY

2.2-4318 CONTRACT NEGOTIATION WITH LOW BIDDER

  1. 2-4200 to 2.2–4201 CONTRACTOR NON-DISCRIMINATION 15.2-2013 to 15.2­ CONTROL OF STREETS BY MUNICIPALITY 2029

46.2-808 CONTROLLED ACCES ROADS – PROHIBIT CERTAIN USES

33.2-259 DRAINAGE EASEMENTS

  1. 2-111 FUNDING OF PEDESTRIAN/BIKEWAYS 33.2-208 thru 221 GENERAL DUTIES OF BOARD

15.2-2021 HANDICAP RAMPS

33.2-320 INCORPORATION INTO STATE HIGHWAY SYSTEM STREETS IN CITIES AND

TOWNS

33.2-1007 LAND ACQUISITION OF ENTIRE TRACTS OF LAND

33.2-350 LANDSCAPE STUDIES

33.2-401 LIMITED ACCESS HIGHWAYS - BOARD AUTHORITY

33.2-400 LIMITED HIGHWAY ACCESS

33.2-100 & 352 MAINTENANCE AND ASSET MANAGEMENT DEFINITION

33.2-249 MAINTENANCE OF CITY LINE BRIDGES

33.2-367 MASS TRANSIT AID

33.2-348 MATCHING HIGHWAY FUNDS (REPEALED BY ACTS 2015)

33.2-404 PARALLEL SERVICE ROADS

46.2-1149 PERMITS – OVERSIZED/OVERWEIGHT VEHICLES

46.2-1303 PERMITS – WITHIN RIGHT-OF-WAY

56-405 R/R GRADE CROSSING - MAINTENANCE

33.2-308 RELOCATION, REMOVAL OF UTILITIES

15.2-2003 RIGHT-OF-WAY – ACQUISITION OUTSIDE CORPORATE LIMITS

33.2-1001 RIGHT-OF-WAY – ACQUISITION WITHIN MUNICIPALITY

33.2-1005 RIGHT-OF-WAY – ADVANCED ACQUISITION

33.2-339 & 340 SECONDARY STREET ADDITION REQUIREMENTS IN TOWNS

15.2-3530 SERVICE CONTINUATION AFTER ANNEXATION

33.2-349 SIGNS/PAVEMENT MARKINGS APPROVED BY THE COMMISSIONER

33.2-310 & 317 STATE HIGHWAY SYSTEMS

751-251 SYSTEMS OF THE STATE HIGHWAYS

33.2-347 TOWNS WITH RESTRICTED DEVELOPABLE LAND

46.2-1300 TRAFFIC CONTROL

33.2-323 TRAFFIC LIGHTS AND MARKINGS ON PRIMARY ROADS

33.2-700 TRANSFER OF STREETS FROM SECONDARY SYSTEM TO URBAN

46.2-1304 TRUCK TRAFFIC REGULATIONS – LOCAL AUTHORITIES

46.2-809 TRUCK TRAFFIC REGULATIONS – SECONDARY HIGHWAYS

15.2-2017 UTILITIES – OCCUPY RIGHT-OF-WAY WITH CONSENT

33.2-261 VALUE ENGINEERING REQUIREMENT

15.2-2114 WAIVER OF STORMWATER CHARGES FOR PUBLIC ROADS

Legislation By Code Section Code Section Legislation

1-251 SYSTEMS OF THE STATE HIGHWAYS

  1. 2-4200 to 2.2–4201 CONTRACTOR NON-DISCRIMINATION

2.2-4318 CONTRACT NEGOTIATION WITH LOW BIDDER

  1. 2-2003 RIGHT-OF-WAY – ACQUISITION OUTSIDE CORPORATE LIMITS 15.2-2013 to 15.2­ CONTROL OF STREETS BY MUNICIPALITY 2029

15.2-2017 UTILITIES – OCCUPY RIGHT-OF-WAY WITH CONSENT

15.2-2021 HANDICAP RAMPS

15.2-2030 AIR SPACE OVER PUBLIC STREETS

15.2-2114 WAIVER OF STORMWATER CHARGES FOR PUBLIC ROADS

  1. 2-3530 SERVICE CONTINUATION AFTER ANNEXATION 33.2-208 thru 221 GENERAL DUTIES OF BOARD

33.2-228 AGREEMENTS BETWEEN COMMISSIONER AND MUNICIPALITIES

33.2-208 LOCATION OF ROUTES

33.2-352 MAINTENANCE AND ASSET MANAGEMENT DEFINITION

33.2-358B,C,C2 ALLOCATION OF FUNDS AMONG HIGHWAY SYSTEMS

33.2-361 ALLOCATION OF FUNDS FOR PRIMARY AND INTERSTATE MATCH

(REPEALED BY ACTS 2015)

33.2-362 ALLOCATION OF FUNDS FOR URBAN HIGHWAYS (REPEALED BY ACTS 2015)

33.2-310 & 317 STATE HIGHWAY SYSTEMS

33.2-318 BYPASS

33.2-319 CITY AND TOWN STREET PAYMENTS

33.2-320 INCORPORATION INTO STATE HIGHWAY SYSTEM STREETS IN CITIES AND

TOWNS

33.2-347 TOWNS WITH RESTRICTED DEVELOPABLE LAND

33.2-348 MATCHING HIGHWAY FUNDS (REPEALED BY ACTS 2015)

33.2-349 SIGNS/PAVEMENT MARKINGS APPROVED BY THE COMMISSIONER

33.2-367 MASS TRANSIT AID

33.2-323 TRAFFIC LIGHTS AND MARKINGS ON PRIMARY ROADS

33.2-350 LANDSCAPE STUDIES

33.2-400 STREETS AND ROADS OCCUPIED BY THE INTERSTATE SYSTEM

33.2-401 LIMITED ACCESS HIGHWAYS - BOARD AUTHORITY

33.2-404 PARALLEL SERVICE ROADS

33.2-339 & 340 SECONDARY STREET ADDITION REQUIREMENTS IN TOWNS

33.2-1001 RIGHT-OF-WAY – ACQUISITION WITHIN MUNICIPALITY

7633.2-1005 RIGHT-OF-WAY – ADVANCED ACQUISITION

33.2-1007 LAND ACQUISITION OF ENTIRE TRACTS OF LAND

33.2-261 VALUE ENGINEERING REQUIREMENT

33.2-113 CITY CONTRIBUTIONS TOWARD CONSTRUCTION OUTSIDE CITY

33.2-1509 ACCESS ROADS – INDUSTRIAL AND AIRPORT

33.2-1510 ACCESS ROADS – RECREATIONAL AND HISTORICAL

33.2-259 DRAINAGE EASEMENTS

33.2-111 FUNDING OF PEDESTRIAN/BIKEWAYS

33.2-700 TRANSFER OF STREETS FROM SECONDARY SYSTEM TO URBAN

33.2-249 MAINTENANCE OF CITY LINE BRIDGES

33.2-1722 CHESAPEAKE BAY BRIDGE TUNNEL PAYMENTS

46.2-808 ACCESS ROADS – PROHIBIT CERTAIN USES

46.2-809 TRUCK TRAFFIC REGULATIONS

46.2-1110 BRIDGE CLEARANCES

46.2-1149 PERMITS – OVERSIZED/OVERWEIGHT VEHICLES

46.2-1300 TRAFFIC CONTROL

46.2-1303 PERMITS – WITHIN RIGHT-OF-WAY

46.2-1304 TRUCK TRAFFIC REGULATIONS – LOCAL AUTHORITIES

56-405 R/R GRADE CROSSING - MAINTENANCE

77 Appendix B – Functional Classification

Policy for Functional Classification of Urban Highways

A State Functional Classification System has been developed for urban roads and streets in cities and towns eligible to receive street payments under Section 33.2-319 of the Code of Virginia. Functional Classification is the process by which streets and highways are grouped into classes, or systems, according to the character of service they are intended to provide. The State System consists of two categories: Arterial (Principal Arterial and Minor Arterial) and Collector/Local.

The Transportation and Mobility Planning Division (TMPD) of the Virginia Department of Transportation will assign the appropriate Functional Classification to urban roadways and streets. TMPD will generally follow the Federal Highway Administration guidelines as presented in the most recent publication of Highway Functional Classification, Concepts, Criteria, and Procedures. VDOT determines the Functional Classification according to federal guidance that takes into account type of trips, expected volume, what systems the readway connects and whether the proposed functional classifications falls within the mileage percentage thresholds established by the Federal Highway Administration. A statewide review of Functional Classifications typically occurs following the decennial census. The most recent statewide update was completed and approved by FHWA in 2014 which resulted in significant changes across all of the Functional Classification categories which impacted the Urban Maintenance Inventory System (UMIS) for the FY18 approval.

Note: The state system will parallel the federal system as much as possible with the following exceptions: a. An existing year will be used rather than a future year. b. Non-existing highways will not be considered in the state system. c. Proposed new location highways that are included in the federal system will be removed.

An existing facility(ies) that is to be replaced by the proposed new highway and/or primarily serves the traffic that will use the new facility may have its state classification changed to correspond to the federal classification for the new facility. The classifications will revert back to the original federal classifications when the new location facilities are opened to traffic. d. The percentage guidelines in the above referenced FHWA publication are statewide.

Each municipality may not fall within the percentages for a particular functional classification, but we need to strive for equality in each area. e. Those facilities that qualify as major collector in the federal system in areas of under 5,000 population will be functionally classified in the state system as an Arterial.

For more information on functional classification criteria, please go to the following site: http://www.virginiadot.org/projects/fxn_class/home.asp

Changes to the Functional Classification need to follow the criteria established in the Functional Classification Comprehensive Guide.

78Highway Functional Classification - Federal System/State System

Area Size (per latest US Census) Federal Classification Urbanized 1. Principal Arterial (Population greater than 50,000) 2. Minor Arterial

  1. Major Collector
  2. Minor Collector
  3. Local Urban 1. Principal Arterial (Population 5,000 – 50,000) 2. Minor Arterial
  4. Major Collector
  5. Minor Collector
  6. Local Rural 1. Principal Arterial (Population less than 5,000) 2. Minor Arterial
  7. Major Collector
  8. Minor Collector
  9. Local Note: For Rural Areas, The Major Collector routes are paid the same rate as Minor Arterial routes in UMIS.

79Appendix C – Sample UMIS Resolution – Additions/Deletions

A RESOLUTION NO. XXX

Petitioning the Department of Transportation for maintenance payments for certain streets in the

Urban Maintenance Inventory System (UMIS)

WHEREAS, pursuant to the provisions of Virginia Code Section 33.2-319, the Virginia

Department of Transportation makes payments to municipalities for the maintenance of

qualifying highways; and

WHEREAS, Virginia Department of Transportation procedures require that

municipalities requesting lane mileage additions and deletions for payments under § 33.2-219

submit Form U-1, “Request for Street Additions, Deletions or Conversions for Municipal

Assistance Street Payments,” as approved by the municipality’s governing body;

NOW, THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE CITY/TOWN

OF ____

  1. That the City/Town of ___ hereby petitions the Virginia Department of

Transportation to accept (or delete) those streets listed on Form U-1 for street

maintenance payments; a copy of said Form U-1 being attached hereto and made a part of

this resolution.

  1. That Form U-1 and accompanying maps, and a copy of this resolution, shall be

transmitted to the Resident Engineer/Administrator of the Virginia Department of

Transportation.

  1. That this resolution shall be in full force and effect upon its passage.

Approved

Mayor Attest: ____ City/Town Clerk

80 Appendix D – Sample UMIS Resolution – Lane Conversions

A RESOLUTION NO. XXX

Petitioning the Department of Transportation for maintenance payments for certain streets

converted to bicycle or transit-only lanes in the Urban Maintenance Inventory System (UMIS)

WHEREAS, pursuant to the provisions of Virginia Code Section 33.2-319, the Virginia

Department of Transportation makes payments to municipalities for the maintenance of

qualifying highways; and

WHEREAS, City/ Town Council of ____ requests that moving-lane-miles that

have been converted to bicycle (or transit-only) lanes after July 1, 2014 qualify for continued

payments as currently provided in Virginia Code Section 33.2-319 ; and

WHEREAS, Virginia Department of Transportation procedures require that

municipalities requesting lane mileage conversions submit Form U-1, “Request for Street

Additions, Deletions or Conversions for Municipal Assistance Street Payments,” as approved by

the municipality’s governing body;

NOW, THEREFORE, BE IT RESOLVED BY THE COUNCIL OF THE CITY/TOWN

OF ____

  1. That the City/Town of ___ hereby petitions the Virginia Department of

Transportation to accept the conversion of streets listed on Form U-1 for continued street

maintenance payments; a copy of said Form U-1 being attached hereto and made a part of

this resolution.

  1. That the City/Town certifies that the conversion design has been assessed by a

professional engineer licensed in the Commonwealth pursuant to Chapter 4 (§ 54.1-400

et seq.) of Title 54.1 and that the assessment has demonstrated that;

a. the level of service, provided in the Transportation Research Board’s Highway

Capacity Manual of the street to be converted will not be reduced or if it will be

reduced that the associated roadway network will retain adequate capacity to meet

current and future mobility needs of all users; and

81 b. (for Bicycle Conversion Lanes Only), the conversion has been designed in

accordance with the National Association of City Transportation Officials' Urban

Bikeway Design Guide.

  1. That the City/Town of ___ shall not receive additional funds as a result of such

conversion to a bicycle or transit-only lane and shall annually expend funds on road and

street maintenance and operations that are at least equal to funds spent on road and street

maintenance and operations in the year prior to such conversion.

  1. That Form U-1 and accompanying maps, and a copy of this resolution, shall be

transmitted to the Resident Engineer/Administrator of the Virginia Department of

Transportation.

  1. That this resolution shall be in full force and effect upon its passage.

Approved

Mayor Attest: ____ City/Town Clerk

82 Appendix E – List of Maintenance Activities

Section 33.2-100 of the Code of Virginia defines the term "maintenance" as follows: "For the purpose of this title, unless otherwise explicitly provided, the term 'maintenance' shall include maintenance, maintenance replacement, and any other categories of maintenance which may be designated by the Commissioner".

Maintenance activities pertain to preservation of each type of roadway structure and facility as near as possible in its condition as constructed.

Maintenance replacement activities pertain to the function of restoring each type of roadway structure and facility as near as possible to its condition as constructed.

In general, replacements-in-kind are acceptable charges; betterments are not acceptable. However, betterment or improvement work may be accomplished along with maintenance work provided proper credits or deductions are made and documented in the accounting and recording process.

In some cases, certain maintenance related capital expenditures are allowed, however, these must be reviewed and approved by the Local Assistance Division prior to any expenditure.

A list of authorized maintenance and maintenance replacement activities is follows in this appendix. In addition, the following items of acceptable and unacceptable allowable costs are set forth:

Acceptable items

  1. Costs to implement and continue these procedures.
  2. Payroll additives and applicable overhead charges.
  3. Expenditures for training in maintenance or bridge inspection work.
  4. Bridge inspection costs for bridges on all public streets.
  5. Replacement, maintenance and energy costs for traffic signals.
  6. Maintenance and energy costs for roadway lighting.
  7. Cost to maintain features within right-of-way such as sidewalks, bikeways etc.
  8. Use of municipal prison labor as long as there is a work order system sufficient to document the work is an eligible activity on an eligible street.
  9. Operation of intelligent and other traffic control and surveillance systems to monitor and control traffic. 10. Traffic calming devices which meets VDOT standards. 11. Storm drainage replacement for undersized culverts. 12. Minor pavement widening where tractor trailers run off the pavement or intersection radii need to be increased to accommodate turning movements. 13. Reconstruction or replacement of roadbeds or sidewalks where deteriorated beyond repair. 14. Plant mix overlays for streets previously only surface treated. 15. Higher grade materials, such as traffic signs and paint, than originally used. 16. High intensity pavement marking devices on roadways.

83 17. Traffic control devices upgrading and replacement. 18. Barriers or guardrails to protect traffic control cabinets when the barrier or guardrail is immediately adjacent to the cabinet.

Unacceptable items

  1. Parking meter costs.
  2. All costs on ineligible streets, except for bridge inspection costs.
  3. Follow-up repairs to utility cuts.
  4. All non-highway related items.
  5. Municipality's share (contribution) on construction projects, example Revenue Sharing.

Authorized Maintenance and Maintenance Replacement Activities For Eligible Municipal Streets

I. MAINTENANCE ACTIVITIES – preserves the roadway structure and/or facility as near as possible in its condition as constructed.

ACTIVITIES DESCRIPTION Engineering & Administration Engineering Salaries, expenses and equipment rentals for field engineering, inspection, and materials testing

Expendable Equipment Purchase and repair of small tools and non-rental equipment; rental charges on inactive equipment

Administrative Overhead Salary & expenses of maintenance supervisory personnel building overhead

Surface Repair - Bituminous Spot Sealing or Skin Patching Patching with liquid asphalt Premix Patching Patching with commercial or shop prepared mixes Spot Reconditioning All surface and base repairs for reshaping and reconditioning sections of roadway less than 1,000 feet Seal Cracks on Bituminous Surfaces With liquid asphalt Repairing Bleeding Pavements General Maintenance Slurry Patching With slurry machine Heavy Mechanized Patching Application of hot or cold bituminous mixes with motor graders and paving machines Other Bituminous Surface Maintenance Planning and smoothing bituminous surface emergency patching with stone dust or other non bituminous materials.

Surface Repair - Concrete Patching with Concrete Holes and blow-ups including removal of existing concrete Patch with Other Material With bituminous or epoxy material Grouting, Undersealing, & Pavement Jacking Pumping bituminous material beneath pavement,

84 filling voids by grouting, and pavement jacking

Shoulder Maintenance Non-Hard Surface Machining and repairing low shoulders Hard Surfaced Shoulders Spot sealing, patching holes, sealing joint between shoulder and pavement, repairing low or high shoulders Other Shoulder Maintenance Applying dust palliatives to shoulder

Ditches and Drainage Clean and Reshape Ditches by Machine Where ditch spoil is used on shoulders or loaded and hauled Hand Cleaning of Ditches All hand ditch work Other Drainage Maintenance Cleaning curb and gutter and drop inlets

Road Side Erosion Repair To cut slopes, fill slopes, washouts, and the removal of minor slides Cleaning Right-of-Way Removing debris on right-of-way Reseeding, Mulching, Sodding, and Replacing Replacing soil, sod, mulch, and reseeding right- of­ soil way Waysides and Rest Areas General maintenance of areas to serve traveling public adjacent to eligible street Bus Shelters General maintenance Roadside Structures Maintenance of sidewalks, retaining walls, rip rap, curb and gutter and guard rails Fences Maintenance of right-of-way and access control fences Street Sweeping Mechanical cleaning of roadways

Vegetation Control Tractor Mowing and Hand Mowing Within standards of maintenance Brush Cutting Cutting and removal Spraying Brush, Weeds and Grass All use of herbicides or soil sterilants

Signs and Traffic Control Signs Cleaning, repairing, replacing, and resetting signs Traffic Signals Replacement, maintenance and energy costs Railroad Protection Devices Payments to railroads for maintenance and operation to grade crossing protection

Traffic Services and Operations Traffic Counts Arterial Roads and Collector/Road Streets Highway Lighting Maintenance and energy costs Operation and Maintenance of Fog Warning General maintenance System Maintenance of Impact Attenuators General maintenance

Snow and Ice Control Deicing Chemicals and Abrasives Snow Removal Expendable Equipment Cost of spreaders, plows, or other snow removal equipment

85Snow Fence Cost of fence, erection and removal Snow and Ice Control Support Cleaning and servicing of snow removal equipment, and cleaning and washing bridges after storms Snow Removal and Ice Control Availability Paid to hired equipment owners for making their Fee equipment available for snow removal

86 Structures Bridge Inspection All structures Repairing Substructure Repair and repainting bridge substructure removal of drift and ice flows Repairing Superstructure Repair and repainting the bridge superstructure Repairs to Large Drainage Pipelines Repairs to Box Culverts Waterproof Bridge Decks Includes linseed oil or epoxy treatments to bridge decks, wheel guards, and rails Underwater Substructure Investigations Operation of non-toll Bridges Operational expenses of drawbridges Purchase of Equipment Required to accomplish ordinary maintenance activities Purchase of Materials Required to accomplish ordinary maintenance activities

II. MAINTENANCE REPLACEMENT ACTIVITIES – restore the roadway structure and/or facility as near so possible to its condition as constructed.

ACTIVITIES DESCRIPTION Engineering & Administration Engineering Salaries, expenses and equipment rentals for field engineering, inspection, and materials testing

Expendable Equipment Purchase and repair of small tools and non-rental equipment; rental charges on inactive equipment

Administrative Overhead Salary and expenses of maintenance supervisory personnel building overhead Pavement Management Inspection As required

Surface Replacement Reconditioning Hard-Surfaced Roads Restoration of base and surface to original condition bituminous resurfacing Bituminous Retreatments Applied to existing bituminous surfaces Portland Cement Concrete Pavement Slab Portland cement concrete overlays and grooving Replacement

Shoulders and Drainage Bituminous Retreatments Existing hard-surfaced shoulders Drainage Structures Replacement of structures with equivalent dimensions Extraordinary Cleaning of Major Outfall Street drainage only Ditches and Channels

87 Roadside Major Cut and Fill Washouts and Slides Replacing major cut and fill slopes, removal of major slides Major Waysides and Rest Areas Major repairs or replacements of roadsides serving the traveling public adjacent to eligible street Replacement of Right-of-Way Fences All replacement Replacement of Existing Shrubs and Trees All replacement

Signs Signs Replacing sign structures, refurbishing major signs Traffic Signals Replacing traffic signals and equipment Pavement Marking Painting centerlines, edge lines and messages Reflection Pavement Markers Replace raised pavement markers

Structures Major Substructure Major repairs with equivalent dimensions Major Superstructure Major repairs with equivalent dimensions

Equipment and Materials Purchase of Equipment Required to accomplish maintenance replacement activities Purchase of Materials Required to accomplish maintenance replacement activities

88 Appendix F – Standards of Maintenance

(The standards outlined in this section are intended for general guidance. Further details can be found in “VDOT’s Asset Management Best Practices Manual”).

  1. Pavement - The roadway surfaces shall be maintained as near as practical to the originally constructed, reconstructed, or improved condition. Maintenance performed on roadway surfaces should provide a reasonably smooth and safe traveling surface.

Note: There has been a recent emphasis by FHWA on the maintenance and performance of routes that are a part of the National Highway System (NHS).

Municipalities should consider NHS routes a priority for maintenance funding.

  1. Shoulders and Curb and Gutter - These should be maintained as near as practical to the originally constructed, reconstructed, or improved condition. They should have a uniform slope that will conduct water away from the pavement and be free of excessive irregularities and drop-offs from the edge of the pavement.

  2. Roadsides  Policy - The roadside shall be maintained in a reasonably safe manner and be aesthetically pleasing to the traveling motorist.  Vegetation - Vegetation control shall be performed to protect erosion of embankment soils and to provide an unobstructed view of signs and other appropriate roadside features.  Sidewalk - The sidewalk surfaces shall be maintained as near as practical to the originally constructed, reconstructed, or improved condition. Maintenance performed on sidewalk surfaces should provide a reasonably smooth and safe traveling surface and must comply with current ADA standards and guidance from FHWA.

  3. Drainage - All drainage facilities shall be maintained to (a) provide safety and protection to the traveling motorist, (b) provide reasonably adequate drainage of the roadway surfaces, shoulders, and any other incidental drainage items, and (c) preserve the structural integrity of the roadway.

  4. Traffic Control and Safety - All traffic control and safety devices shall be fabricated, erected, and maintained in conformance with the current standards and shall conform to the latest version of the MUTCD. VDOT shall render any decisions regarding exceptions to the standards. In addition to physical maintenance, functional maintenance is required to adjust traffic control devices to current conditions and to remove devices when no longer required.

  5. Snow and Ice Control - The locality shall provide snow and ice control services when required and commensurate with the needs of all segments of the traveling public and the highway system.

  6. Structures  Bridges, box culverts and pipe culverts that meet the American Association of State Highway and Transportation Officials’ (AASHTO) definition of a bridge, generally structures having a clear opening greater than 20 feet and 20 feet or greater in length, shall be inspected in accordance with the National Bridge Inspection Standards. Maintenance shall be performed as needed.  Bridges, box culverts and pipe culverts that do not meet AASHTO’s definition of a bridge should be inspected on a regular basis and maintained as regular drainage (Item above). Also see NBIS definitions at the following link: http://www.fhwa.dot.gov/bridge/nbis/index.cfm

90 Appendix G – Design Hearing Approval Resolution (Example)

WHEREAS, a Design Public Hearing was conducted on __, 20___, in the

City/Town of ___ by representatives of the Commonwealth of Virginia,

Department of Transportation after due and proper notice for the purpose of considering the

proposed design of ___ Project ____ in the City/Town of

__, at which hearing aerial photographs, drawings and other pertinent

information were made available for public inspection in accordance with state and federal

requirements; and

WHEREAS, all persons and parties in attendance were afforded full opportunity to

participate in said public hearing; and

WHEREAS, representatives of the City/Town of ___, were present and

participated in said hearing; and

WHEREAS, the Council had previously requested the Virginia Department of

Transportation to program this project; and

WHEREAS, the Council considered all such matters; now

THEREFORE BE IT RESOLVED that the Council of the City/Town of _______

hereby approves the major design features of the proposed project as presented at the Public

Hearing; and

(include one of the following clauses, as applicable)

BE IT FURTHER RESOLVED, that the City/Town of _______ will acquire

all rights of way necessary for this project and certify same to the Department at the

appropriate time.

or

91 BE IT FURTHER RESOLVED, that the City/Town of ____ requests the Virginia

Department of Transportation to acquire all rights of way necessary for the project in the name

of the Commonwealth of Virginia at the appropriate time.

or

BE IT FURTHER RESOLVED that the City/Town of __ requests the Virginia

Department of Transportation to acquire all rights of way necessary for this project conveying

said rights of way to the City/Town at the appropriate time.

and

BE IT FURTHER RESOLVED that the (include title of Municipal Official) is hereby

authorized to execute, on behalf of the City/ Town of ______, all necessary

railroad and utility agreements required in conjunction with acquiring such rights of way.

Adopted this _ day of _, 20__

ATTEST: City/ Town of ____, Virginia

___ BY ________

CLERK OF COUNCIL MAYOR/MANAGER

92 Appendix H – Design When No Public Hearing is Held Approval Resolution (Example)

WHEREAS, a "Notice of Willingness to Hold a Public Hearing" was posted for the purpose

of considering the design features for Project No. ___ in the City/Town of

_____; and

WHEREAS, no requests were received or all inquiries were satisfactorily answered, so

that a public hearing is not required; and

WHEREAS, Section 33.2-1001 of the Code of Virginia authorizes the Department of

Transportation to acquire rights of way for the construction of such projects, upon official

request from the City/Town; and,

WHEREAS, the City/Town Council has previously requested the Department to program

this project; now

THEREFORE, BE IT RESOLVED, that the City/Town Council of ____

hereby approves the major design features of the proposed project as presently designed; and,

(Include one of the following clauses, as applicable)

BE IT FURTHER RESOLVED, that the City/Town of _______ will acquire

all rights of way necessary for this project and certify same to the Department at the

appropriate time.

or

BE IT FURTHER RESOLVED, that the City/Town of ____ requests the Virginia

Department of Transportation to acquire all rights of way necessary for the project in the name

93of the Commonwealth of Virginia at the appropriate time.

or

BE IT FURTHER RESOLVED that the City/Town of __ requests the Virginia

Department of Transportation to acquire all rights of way necessary for this project conveying

said rights of way to the City/Town at the appropriate time.

and

BE IT FURTHER RESOLVED that the (include title of Municipal Official) is hereby

authorized to execute, on behalf of the City/ Town of ______, all necessary

railroad and utility agreements required in conjunction with acquiring such rights of way.

Adopted this _ day of _, 20__

ATTEST: City/ Town of ____, Virginia

___ BY ________

CLERK OF COUNCIL MAYOR/MAN

94 Appendix I – Project Programming Resolution (Example)

WHEREAS, in accordance with Virginia Department of Transportation construction allocation

procedures, it is necessary that a request by council resolution be made in order that the Department

program an urban highway project in the City/Town of ___; now

THEREFORE BE IT RESOLVED, that the Council of the City/Town of __,

Virginia, requests the Virginia Department of Transportation to establish an urban system highway

project for the improvement of ___ from __ to _____, a

distance of approximately _______. (or describe other type of project; such as bridge, signals,

etc.)

BE IT FURTHER RESOLVED, that the Council of the City/Town of ___ hereby

agrees to pay its share of the total cost for preliminary engineering, right-of-way and construction of this

project in accordance with Section 33.2-348 of the Code of Virginia, and that, if the City/Town of

___ subsequently elects to cancel this project, the City/Town of ____

hereby agrees to reimburse the Virginia Department of Transportation for the total amount of the costs

expended by the Department through the date the Department is notified of such cancellation.

Adopted this _ day of _, 20

City/Town of _____, Virginia

ATTEST

___ BY_______ Clerk of Council Mayor/Manager

95 Appendix J – Project Programming Resolution (For Towns under 3500 Population) (Example)

WHEREAS, in accordance with Virginia Department of Transportation construction allocation

procedures, it is necessary that a request by council resolution be made in order that the Department

program an urban highway project in the Town of ___; now

THEREFORE BE IT RESOLVED, that the Council of the Town of __, Virginia,

requests the Virginia Department of Transportation to establish a project for the improvement of

___ from __ to _____, a distance of approximately

_______. (or describe other type of project; such as bridge, signals, etc.)

BE IT FURTHER RESOLVED, that the Council of the Town of ___ hereby

agrees that, if the Town subsequently elects to cancel this project, the Town hereby agrees to reimburse

the Virginia Department of Transportation for the total amount of the costs expended by the Department

through the date the Department is notified of such cancellation.

Adopted this _ day of ___, 20___

City/Town of _____, Virginia

ATTEST

___ BY______ Clerk of Council Town Manager

96 Appendix K – Urban Project Construction Agreement

Project/Street name Project Number UPC Local Government

THIS AGREEMENT, made and executed in triplicate as of this __ day of _, 20_, between the COMMONWEALTH OF VIRGINIA, DEPARTMENT OF TRANSPORTATION, hereinafter referred to as the "DEPARTMENT" or “VDOT” and the CITY/TOWN OF municipality’s name, hereinafter referred to as the "MUNICIPALITY".

WHEREAS, the Commonwealth Transportation Board and MUNICIPALITY have allocated funds for , Project # ___ ; UPC #____, hereinafter referred to as the “Project”; and

WHEREAS, the MUNICIPALITY has requested that the DEPARTMENT design and construct this project, and the DEPARTMENT has agreed to perform such work; and

NOW THEREFORE, in consideration of the premises and mutual covenants and agreements contained herein, the parties hereto agree as follows:

A. The DEPARTMENT shall

  1. Complete the project as identified in this agreement, advancing such work diligently based upon the schedule identified in Appendix A.

  2. Perform or have performed for, all preliminary engineering (“PE”), right-of-way acquisition (“Right-of-Way”), construction, contract administration, and inspection services activities for the project as required.

  3. Provide the MUNICIPALITY a payment schedule for the municipality’s share of estimated project costs for PE and Right-of-Way and for Construction, in accordance with the tabulation provided in Appendix A, and as follows:

a. For the estimated MUNICIPALITY share, the estimated costs and payment schedule for PE and Right-of-Way will be determined after project scoping

b. For the estimated MUNICIPALITY share of construction costs, prior to the award of the construction contract, Appendix A will be modified to reflect estimated construction costs

  1. Remit invoices to the MUNICIPALITY for sums owed by the MUNICIPALITY in accord with the amounts and schedule set forth in Appendix A

  2. Upon completion of the project, reconcile MUNICIPALITY payments (based on MUNICIPALITY’s estimated share of costs) against actual project costs allocable to the MUNICIPALITY, and reimburse MUNICIPALITY for any overpayments by the MUNICIPALITY or remit an invoice to the MUNICIPALITY for any under payment/amount still owed by the MUNICIPALITY.

97B. The MUNICIPALITY shall

  1. Remit payments to the DEPARTMENT, in accordance with the amounts and schedule provided in Appendix A, within 30 days of receipt of an invoice issued by the

DEPARTMENT.

  1. After project completion, operate and maintain the Project, or cause it to be operated and maintained, in accord with applicable DEPARTMENT guidance and standards and in a manner satisfactory to the DEPARTMENT or its authorized representatives and make ample provision each year for such operation and maintenance.

  2. After completion of the Project or any part thereof, not permit any reduction in the number of or width of traffic lanes, or any additional median crossovers and enlargement of existing median crossovers, or any alterations to channelization islands, without the prior written approval of the DEPARTMENT.

  3. Erect informational, regulatory and warning signs, curb and pavement or other markings and traffic signals in conformance with the standards shown in the current edition of the Manual on Uniform Traffic Control Devices unless otherwise directed or approved by the DEPARTMENT, in writing.

  4. Not permit additional access points other than those access points designated on the Project plans, without prior written approval of the DEPARTMENT. MUNICIPALITY understands and agrees that Right-of-Way for the Project was acquired, in contemplation of rights of access being restricted to points designated on the Project plans.

C. Nothing in this Agreement shall obligate the parties hereto to expend or provide any funds in excess of funds agreed upon in this Agreement, which are set forth as estimates in Appendix A, or as shall have been included in an annual or other lawful appropriation. In the event the cost of a Project is anticipated to exceed the allocation shown for such respective Project, both parties agree to cooperate in providing additional funding for the Project or to terminate the Project before its costs exceed the allocated amount, however the DEPARTMENT and the LOCALITY shall not be obligated to provide additional funds beyond those appropriated pursuant to an annual or other lawful appropriation.

D. Should the project be cancelled due to action or inaction by the MUNICIPALITY, the MUNICIPALITY shall be responsible for reimbursement of all funds in accordance with Section 33.2-348 of the Code. The MUNICPALITY will also be responsible for any costs associated with claims and liabilities due to the early termination of any construction contract(s) or improvement(s) issued pursuant to this AGREEMENT.

98 IN WITNESSETH WHEREOF, the parties sign and cause this AGREEMENT to be executed by their duly authorized officers.

ATTEST

____ ____ City /Town Clerk Date City/Town Manager Date City/Town of municipality’s name City/Town of municipality’s name

NOTE: The official signing for the municipality must attach a certified copy of the authority under which this agreement is executed.

_____ ______ Signature of Witness Commissioner of Highways Commonwealth of Virginia Department of Transportation

99100 Appendix L – UCI Resolution of Intent

Resolution of Intent to Join the Urban Construction Initiative

WHEREAS, the Section 33.2-362(E) of the Code of Virginia permits cities and

towns to take responsibility for their construction program;

WHEREAS, the Virginia Department of Transportation has established

policy and procedures to administer the urban construction program;

WHEREAS, it is desirable that City/Town Council formally express the

City/Town's intent to become a participant in the Urban Construction Initiative;

NOW THEREFORE BE IT RESOLVED, that the City/Town Council of

______, Virginia requests the Virginia Department of Transportation to accept

this Council Resolution as indicative of their support and intent for the City/Town to

participate in the Urban Construction Initiative.

Adopted this __ day of _______, 20-­

City/Town of ___, Virginia

By: _________ Mayor / City/Town Manager

Attest: _______ Clerk of Council

101 Appendix M – UCI Sample Program Administration Agreement

CITY OF ____ Urban Construction Initiative Program Administration Agreement

THIS AGREEMENT, made and executed in triplicate as of this _ day of __, 20, by and between the City/Town of ___, Virginia, a municipal corporation of the Commonwealth of Virginia, hereinafter referred to as the CITY/TOWN and the Commonwealth of Virginia, Department of Transportation, hereinafter referred to as the DEPARTMENT; and

WHEREAS, the CITY/TOWN has, in accordance with Section 33.2-362 of the Code of Virginia 1950, as amended, expressed its desire to administer its urban system construction program and receive quarterly payments for the state portion of its annual urban construction allocations; and

WHEREAS, the CITY/TOWN has held a public hearing and adopted a capital improvement program of projects and provided an ordinance or resolution approving same to the DEPARTMENT; and

WHEREAS, the Commonwealth Transportation Board adopts a Six-Year Improvement Program annually, and this program includes allocations for urban system projects in the CITY/TOWN, and the federal portion of such construction allocations is identified as a part of 20.205 Highway Planning and Construction in the Catalog of Federal Domestic Assistance; and

WHEREAS, the DEPARTMENT is required to meet specific requirements of the Federal Highway Administration (FHWA) on projects funded by federal transportation funds; and

WHEREAS, both parties have concurred in the CITY's/TOWN’s general administration of the design, right-of-way acquisition, utility relocation, and construction of the federally-funded and state-funded projects; and

WHEREAS, DEPARTMENT costs for State Environmental Review Process (SERP) processing, National Environmental Policy Act (NEPA) processing, and project review are eligible project costs and shall be billed to the CITY/TOWN as may be agreed upon prior to project initiation by the CITY/TOWN and DEPARTMENT; and

WHEREAS, the CITY/TOWN may enter into separate agreements with the DEPARTMENT so that the DEPARTMENT may provide services to assist the CITY/TOWN in the administration of specific projects as may be mutually agreed.

NOW THEREFORE, in consideration of the mutual premises contained herein, the parties hereto agree as follows:

A. For urban system construction projects partially funded by federal highway construction allocations as shown in an approved Six-Year Improvement Program:

1. The CITY/TOWN shall

a. Be responsible for all regulatory clearances including permits, the design, right-of-way acquisition, utility relocation, inspection, and construction of

102 projects in accordance with federal and state law and regulations, except the administrative portion of the SERP, and coordinate with the DEPARTMENT for all NEPA scoping decisions, reviews, and approvals.

b. Receive authorization from the DEPARTMENT before initiating preliminary engineering, right-of-way acquisition, and construction phases of project development.

c. Maintain accurate records of the projects including documentation of all expenditures. Records for items upon which reimbursement will be requested shall be maintained for no less than three (3) years following FHWA acceptance of the final voucher. Project records shall be made available for inspection and/or audit by the DEPARTMENT or FHWA upon request.

d. Submit no more frequently than monthly project level invoices with supporting documentation to the DEPARTMENT in the form prescribed by the

DEPARTMENT.

e. Reimburse the DEPARTMENT all project expenses incurred by the DEPARTMENT in the event that the CITY/TOWN cancels a project and/or, due to actions by the CITY/TOWN, the expenditures incurred are not reimbursed by the FHWA or in the event reimbursements are required to be returned to the FHWA.

2. The DEPARTMENT shall

a. Perform the administrative portion of the SERP, provide the CITY/TOWN the results of the SERP, and provide the necessary coordination with the FHWA relative to environmental study scoping, design, decisions, reviews, approvals, and financial documentation, as appropriate.

b. Upon receipt of the CITY's/TOWN’s monthly invoices submitted pursuant to paragraph A.1.d, reimburse the CITY/TOWN an amount not to exceed the lesser of the federal portion of the actual cost of eligible items or the amount appropriated and allocated to date for each project. Such reimbursements shall be payable by the DEPARTMENT within 30 calendar days of receipt of a complete and acceptable invoice.

B. For urban system construction projects not financed by federal funds but at least partially financed by state construction funds through the quarterly payments made by the DEPARTMENT to the CITY/TOWN:

1. The CITY/TOWN shall

a. Be responsible for all regulatory clearances including permits, the design, right-of-way acquisition and utility relocation, inspection, and construction of projects, except the administrative portion of the SERP, in accordance with federal and state law and regulations pertaining to highways, as applicable.

b. Maintain such records as necessary to show compliance with law and regulations for a period of three (3) years after the completion of each project and make such records available for audit by the DEPARTMENT upon request.

103 2. The DEPARTMENT shall perform the administrative portion of the SERP and provide the results to the CITY/TOWN.

C. For administration of the CITY’s/TOWN’s entire Urban System Construction Program:

1. The CITY/TOWN shall

a. Manage its highway program in accordance with federal and state law and regulations pertaining to highways, as applicable.

b. Prepare each year’s capital improvement program of projects so that all federal funds apportioned to the CITY/TOWN shall be obligated within three (3) years of apportionment. If federal funds are unable to be obligated within that time, the CITY/TOWN will notify the DEPARTMENT in writing.

c. Provide certification annually in a form prescribed by the DEPARTMENT by a responsible CITY/TOWN official that all urban project activities have been performed in accordance with state and federal laws and regulations. If the CITY/TOWN expends more than $500,000 in federal funding annually, such certification shall include a copy of the CITY’s/TOWN’s single program audit prepared in accordance with Office of Management and Budget Circular A­ 133.

d. In cooperation with the DEPARTMENT and pursuant to paragraph C.2.b, annually conduct a joint review of the CITY’s/TOWN’s urban system construction program.

e. Design and construct projects to meet or exceed current American Association of State Highway and Transportation Officials standards or appropriate supplementary standards as may be agreed upon by the

DEPARTMENT.

2. The DEPARTMENT shall

a. Pay the CITY/TOWN the state portion of its annual construction apportionment on a quarterly basis in accordance with Section 33.2-362 of the Code of Virginia 1950, as amended. Such payments shall be made no later than the 30th day of September, December, March, and June.

b. In cooperation with the CITY/TOWN and pursuant to paragraph C.1.d, annually conduct a joint review of the CITY’s/TOWN’s urban system construction program.

c. In Conjunction with the CITY/TOWN, develop, update as needed, and make available to the CITY/TOWN program guidelines to assist the parties in carrying out program responsibilities under this agreement.

d. Audit on a random basis urban system construction program and project records as may be required to verify CITY/TOWN compliance with federal and state laws and regulations.

THIS AGREEMENT shall not be construed as a waiver of the CITY’s/TOWN’s or the Commonwealth of Virginia’s sovereign immunity.

104 THIS AGREEMENT, when properly executed, shall be binding upon both parties, their successors, and assigns.

THIS AGREEMENT may be modified in writing by mutual agreement of both parties.

THIS AGREEMENT may be terminated by either party upon 180 days advanced written notice. Such termination by the CITY/TOWN requires a resolution of the CITY/TOWN Council.

THE CITY/TOWN and DEPARTMENT acknowledge and agree that this agreement has been prepared jointly by the parties and shall be construed simply and in accordance with its fair meaning and not strictly for or against any party.

IN WITNESS WHEREOF, each party here to has caused this Agreement to be executed in triplicate in its name and on behalf of its duly authorized officer as of the day, month, and year first herein written.

CITY/TOWN OF ____, VIRGINIA

_____ __ City/Town Manager Date

APPROVED AS TO FORM

_____ __ City/Town Attorney Date

_____ _______ Signature of Witness Date

NOTE: The official signing for the CITY/TOWN must attach a certified copy of his or her authority to execute this agreement.

COMMONWEALTH OF VIRGINIA, DEPARTMENT OF TRANSPORTATION

_____ _______ Commonwealth Transportation Commissioner Date

_____ _______ Signature of Witness Date

105 Appendix N – UCI Accounting & Billing Information

Urban Allocations Paid Directly to the Urban Municipalities

UCI Accounting/Billing Information 06/08/05

State Funding Cash payments related to the state allocations (as determined by VDOT Programming/LAD staff) will be paid directly to the locality by VDOT on a quarterly basis.

Federal Funding Federal allocations will be made to the locality on a reimbursement basis at a project level (similar to the method currently used when the locality administers a state project).

VDOT will be responsible for billing FHWA to recoup federally participating costs. Since the federal agreement will be between VDOT and the Federal Highway Administration, it is imperative VDOT be able to support its billing requests. As a result, there will be more documentation required from the Municipalities for costs that are to be federally reimbursed.

Below is a summary of what might be required

 The locality should submit a monthly project level invoice with supporting documentation to VDOT.

 Supporting documentation should include copies vendor invoices approved by the locality (for which payment to the vendor has been initiated by the locality) and a life to date project summary schedule tracking payment requests submitted by the locality, payments received from VDOT and any adjustments made over the life of the project (see sample on attachment A). When the invoice relates to internal labor provided by employees of the locality, the following basic information should be included with the reimbursement request:

  • Project ID
  • Period of Time Covered
  • Amount

 VDOT should make payment to the locality within 30 days after the receipt of the invoice.

 After payment is made to the locality, VDOT shall have a 30-day period to review the invoice and supporting documentation. If VDOT objects to any of the costs, it shall advise the city as to the costs it objects to, and VDOT shall make the adjustments necessary to correct for its objection on payment of the next invoice that is submitted at least 15 days after the locality receives notice of such objection. The locality shall notify VDOT if the locality does not agree with VDOT’s objection and the dispute resolution shall be used to resolve such disagreement. If it is determined after such dispute resolution procedure that the cost was appropriate, the locality can then include such amount in an invoice and VDOT will make payment therefore.

 VDOT will bill FHWA to recoup the cash paid to the locality.

 The locality should agree to reimburse VDOT 100% of all related expenditures incurred which are not reimbursed by the Federal Highway Administration due to the recipient’s

106 failure to follow proper federal guidelines and/or the expenditures are found to be federally non-participating items.

Local Match

When a local match is required, VDOT will require the locality submit documentation to exhibit such funding is applied to each project. This should be done each time a request is made to VDOT for reimbursement of federally participating costs (reference Appendix K Attachment A). In addition, the locality should report annually on the application of the local match application for all projects, even those with no federal funding applied (reference Appendix K Attachment B). The locality should maintain supporting documentation to support numbers reported on both schedules (A and B) and these documents should be retained as outlined below.

Records Retention

The locality will maintain accurate records of each project and documentation of all expenditures for a period of three (3) years after the final completion of a project unless there is federal funding on the project, in which case the locality will maintain such records for no less than three (3) years following the approval by the Federal Highway Administration of the final voucher. The locality will make such records available for inspection and/or audit by the Department at any time.

107Appendix N Attachment A – Sample Life to Date Project Summary Schedule Request Federal Reimbursement

108Appendix N Attachment B – Sample Annual Project Financial Status Report

109 Appendix N cont. – UCI Payment/Billing Process Scenarios

Process Quarterly payment of state urban allocation to City of Hampton in the amount of $2,000,000.

Speedtype Operational Speedtype Value City Org Project Account Activity Debit Credit CSC 1205002 114 10500 N/A 1431 N/A 2,000,000 Cash 2,000,000

 State urban allocation funds, as shown as “Formula City Payment” line items in the VDOT Integrated Six Year Program (ISYP) will be paid direct to the UCI in quarterly installments.  LAD will process these payments.

VDOT performs billable PE work in the amount of $10,000 on a UCI project in the City of Hampton (project XXXXX). This project has no Federal participation.

Speedtype Speedtype Value City DeptID Project Account Activity Debit Credit Project ID * 114 10500* XXXXX ** 716* 10,000 Cash 10,000

 One project ID will be established for each scope of work (by LAD)  The project ID’s are linked to the project UPC already established  These project ID’s will not be in the VDOT Integrated Six Year Improvement Plan (ISYP).  One contract will be established in Cardinal for each operational project to define billing parameters. (LAD will need to supply a contract request form to Fiscal Division in order to trigger this event).  A progress bill (for each project ID) will be sent to the city as expenses are incurred by VDOT (this will be a monthly billing).  A cost component report can be made available on request.  These expenses will need to be estimated and budgeted in the appropriate District.  Each District should monitor charges against this project ID and project UPC to ensure erroneous charges are not occurring.

110VDOT performs billable Construction phase work in the amount of $7,000 on a UCI project in the City of Hampton (project YYYYY). This project has Federal participation and a UPC is listed in the ISYP (AAAAA).

Speedtype Speedtype Value City DeptID Project Account Activity Debit Credit Project ID YYYYY 114 10500 YYYYY ** 731** 7,000 Cash 7,000

 One project ID will be established for each scope of work (by LAD)  These operational projects will not be in the VDOT Integrated Six Year Improvement Plan (however, they will be related to UPC projects established in the plan representing the Federal Funding Source).  One contract will be established in Cardinal for each project ID to define billing parameters. (LAD will need to supply a contract request form to Fiscal Division in order to trigger this event).  A progress bill (for each project ID) will be sent to the city as expenses are incurred by VDOT (this will be a monthly billing).  A cost component report can be made available on request.  These expenses will need to be estimated and budgeted in the appropriate District.  Each District should monitor charges against project ID to ensure erroneous charges are not occurring.

City of Hampton incurs $8,000 in Federally participating expenses on Construction phase work for a Federally participating project (AAAAA) provided by ACME Construction Company. They also incur $7,000 in Federally participating expenses on Construction phase work for the same project (AAAAA) provided by VDOT (reference previous transaction). The city submits an invoice in the amount of $12,000 to VDOT to reimburse them for the federal participation on the combined expenses (80% of $15,000 [$8,000 + $7,000]). Reference the attached sample invoice for details.

Speedtype Operational Speedtype Value City Org Project Account Activity Debit Credit Project ID AAAAA Project City Project Org N/A 5014310 631*** 12,000

Project ID AAAAA Project City Project Org N/A 50232302 631 2,700 Project ID AAAAA Project City Project Org N/A 50232302 731 300 Project ID AAAAA Project City Project Org N/A 50232302 631 2,700 Project ID AAAAA Project City Project Org N/A 50232302 731 300  Each project with Federal funding will be listed in VDOT ISYP (only the federal funds will be allocated since the state match has already been funded through the quarterly formula payments made to the city –reference the first transaction shown).

111 In-kind accounts will be used to track the state allocation and local match applied to each project with Federal participation.  In total, the project expenses will total only the Federal share ($12,000 in this case), however, participating activity expenses ($15,000 [$12,000 + $2,700 + $300]) will represent Federal, state and local expenses. This will ensure FHWA is billed properly, provided the contract is set up in Cardinal (Program Management Division will provide this agreement to Fiscal Division).

DeptID code utilized should represent organizational unit providing the service. ** As appropriate **Standard activity codes should be utilized as follows:

PE Phase 616, 716 ROW Phase 674, 774 CONST Phase 631, 731

112Appendix O – UCI Project Funding Worksheet 113 Appendix P – Certification and Compliance Key Locality VDOT

Process Visual Outline

CERTIFICATION PROCESS Re-certification provided no major VDOT and Locality Locality VDOT confirms Locality submits Intermediate Locality may Interview – problems VDOT Yes execute formalexpresses interest VDOT Yes eligibility and detailed review - VDOT resubmit any VDOT panel in Certification determine requests narrative to panel evaluates areas that are evaluation and Chief Certification and submits s if submittal VDOT panel submission not recommendation Engineer Agreement Letter of Intent eligibili demonstrated

No No VDOT provides detailed feedback for improvement VDOT VDOT provides provides feedback for training if future needed resubmittal

ONGOING COMPLIANCE & IMPROVEMENT PROCESS

STREAMLINED PROJECT DELIVERY

Locality delivers VDOT reviews and projects authorizes stages of development and Locality – VDOT – FHWA Provides VDOT delivery at touch Touch points with touch point points information

VDOT and Locality VDOT conducts improve processes compliance reviews VDOT provides and gain and spot check training experience audits and notifies Locality of results

114 Appendix Q- Project Development

Local Council Pre-Scoping Activities Project Scoping Meeting Approval

Pre-Scope Early Concurrence Refine Narrative Project Project Project Meeting Project and Level of Scope Definition Management Budget Schedules

  1. VDOT Notification Documents Document Plan Estimates Approval

(PE)

Initial Design Conceptual Design

Designer R/W Special R/W & Value Negotiations Utilities Engineering Identification Assessment Preliminary Engineering (30% - 60%) and Data

Haz. Mat. & Wetland/Stream Screening R/W & Bridge/ Draft Public Public Utilities Structures Environmental Hearing Hearing Impacts Special Document Team Details Meeting

Detail Design (60% - 90%)

Detailed Design R/W Total Final EA/ 2. VDOT Prepare for Environmental 3. VDOT Cross Approval Parcel Document Approval R/W & Utility re-evaluation Approval Sections by PE Acquisition (NEPA) Plans check (if delay) (R/W) Plans

Design Final Design (90% - 100%) Land Acquisition Exceptions Documented If R/W is not required Pre-Ad Utility Conference Agreement

Haz. Mat. Enviro. Secure Funding KEY Assessment/ Certification Permits Certification Remediation PS&E Re-Construction Documents & Bidibility Review Local evaluation Government Activity

  1. VDOT PE Certifies VSMP R/W Utility Final PS&E Prepare for 5. VDOT concurrence VDOT Plans Permits Certification stamped by of sole Advertisement Approval Construction Phase Authorization Activity PE source or (CN) proprietary

115Appendix Q cont. - Project Construction

Construction Phase Authorization Administer Construction Contracts Project Completion

Project Acceptance Advertisement Project Safety Procedures Supervision Provisions and Inspection

Pre- Labor Construction Compliance Contract Bid Meeting and As Built Plans Opening Partnering

Contract Time Equal Employment Opportunity Report of Expenditures Contract Awarded Subcontractors Final DBE Utilization Report

Daily Reports Cost Control

  1. VDOT Final Voucher and Contractor Acceptance Value Quality Engineering Project Files Assurance Program

Contract Construction KEY Records and Claims Local Procedures Government Activity Traffic Safety in Highway Owner Force and Street Account Work Work Zone

VDOT Activity

116 Appendix R - Program Management Roles and Responsibilities

Topic Locality VDOT

1 Fiscal, Audit and Ensure that project meets Federal-Aid Carry out random Budget Payment requirements audits, notify Maintain project documentation findings and request appropriate and Conduct annual independent audit of timely corrective expenditure according to OMB Circular A­ action 133 Submit invoices at least quarterly 2 Civil Rights Comply with VDOT’s DBE Program Plan Obtain approval of unless the Locality has a DBE Program the USDOT Plan approved by USDOT approval letter for Establish a DBE availability goal and the DBE Program include in bid document Plan for highways Use DBEs certified by VDOT 3 Compliance & Develop and implement a QA/QC system Lead the Improvement to meet VDOT compliance including design Certification (Quality Assurance QC plan and construction QC/QA Compliance and and Control) requirements Improvement Provide information to VDOT that is process requested as part of reviews Carry out spot checks on delivery process and communicate findings to Locality 4 Public Affairs and Prepare a project specific outreach plan Outreach Plan and comply with it 5 Consultant Demonstrate method for acquiring suitably Procurement qualified consultants according to Virginia Public Procurement Act 6 Project Controls Prepare and update initial baseline schedule Prepare progress schedule Issue recovery schedules where applicable Plan and monitor costs

117 Appendix S - Project Delivery Roles and Responsibilities

Topic Locality VDOT

1 Preliminary Contact Urban Program Obtain PE Authorization from FHWA Engineering (PE) Manager to request that Authorization VDOT obtain federal agreement to authorize preliminary engineering 2 NEPA documentation Ensure that all federal Liaise with FHWA requirements under NEPA Review and approve have been completed 3 Right-of-Way (RW) Submit a request for Right­ Obtain RW Authorization from FHWA Authorization of-Way Authorization along with certification letter certifying to VDOT that all activities necessary to obtain R/W or relocate utilities have been complete and all documents have been signed by person of responsible charge 4 Sole source or Provide relevant Obtain concurrence from FHWA proprietary justification information and procurement documentation to VDOT 5 Construction (CN) Submit a request for Obtain CN Authorization from FHWA Authorization Construction Authorization along with certification letter certifying to VDOT that all activities necessary to advertise the project for construction have been completed and all documents have been signed by person of responsible charge 6 Award of Submit Civil Rights Review Civil Rights information and Construction Contract information as outlined in approve. Revise FHWA financial Chapter 12.6 of the LAP agreement (funding verification) as Manual and provide bid necessary information for funding verification. 7 Project Final Inform VDOT that project is Process federal financial closure Inspection and complete and provide final Acceptance invoice for processing

118 Appendix T - Certification Evaluation Timeline

No. Event Details Days

Letter of Intent Locality initiates process with Letter of Intent.

Letter contains Locality’s reasons for believing that it meets eligibility criteria.

Letter is brief, 2 pages max. 30 VDOT Response VDOT-LAD advises Locality in writing if they have met eligibility criteria or not.

If not, feedback is provided for future re-submittal.

If eligible, VDOT advises Locality of panel members and requests full submittal.

Up to 90 Submittal Locality submits detailed information based on Certification Requirements. 60 Intermediate VDOT completes review and identifies any concerns, Review known as Non Demonstrated areas.

Summary comments communicated to Locality by LAD. 30 Interview/ Locality presentation to panel should focus on Presentation identified Non Demonstrated areas.

Locality resubmits documents at interview on areas of concern.

Recommendation Panel makes recommendation to Chief Engineer. 30 Result Chief Engineer makes decision.

LAD notifies Locality of result.

Max schedule = 240 days = 8 months

119 Appendix U - Form U-1

Appendix U LOCAL ASSISTANCE DIVISION Form U-1 (rev. 7-1-17) VDOT

REQUEST FOR STREET ADDITION, DELETIONS AND CONVERSIONS FOR

STREET PAYMENTS SECTION 33.2-319

CODE OF VIRGINIA

MUNICIPALITY SELECT ONE DISTRICT District

ACTION REQUIRED STREET NAME ROUTE NUMBER TO TERMINI FROM R/W PAVEMENT CENTER NUMBER MOVING Eligibility FUNC. (SELECT BELOW) (Width) WIDTH LANE OF LANE Code CLASS. (FEET) (FEET) (MILES) LANES MILES Reference (T&MPD Link USE ONLY) SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one SELECT ONE 0.00 Select one * Council Resolution and Map Attached

SIGNED SIGNED

MUNICIPAL OFFICIAL DATE AUTHORIZED VDOT OFFICIAL DATE

Submit to: District Point of Contact in triplicate CLASSIFIED BY

T&MPD ENGINEER DATE

120 Appendix V - Form U-5

Form U-5 (Rev. 7-1-17) LOCAL ASSISTANCE DIVISION Page of ___

VDOT

PRINCIPAL-MINOR ARTERIAL STREETS

STREET CONDITION REPORT Section 33.2-319 Code of Virginia MUNICIPALITY ____ DATE OF INSPECTION ___ Check as Appropriate: This report is a re-inspection of deficient sections noted in the previous report.

No deficient sections noted.

All streets inspected are acceptable, except as noted below: Bridge inspection reports are current, except as noted below:

DESCRIPTION OF DEFICIENT RECOMMEND STREET NAME SECTIONS TOTAL DESCRIBE DEFICIENCY TO DELETE - LANE (Refer to Standard of Maintenance) PAYMENT ROUTE NUMBER MILE YES/NO From To LENGTH

Inspection made by ____, in company with ____, __

Municipal Officer w/ Title VDOT Representative Date

SIGNED ____, ___ Residency Administrator Date

Distribution: Local Assistance Director, District Administrator, Municipality 121

Public Involvement in Transportation ProjectsDoc ID: November

Original: 25,210 words
Condensed: 22,993 words
Reduction: 8.8%

VDOT GOVERNANCE DOCUMENT Public Involvement Manual Policy Manual for Public ParƟcipaƟon In TransportaƟon Projects Existing Conditions LocaƟon and Design Division Issued Approved by FHWA 3/15/1999 Rev. Nov. 2021 Proposed Roadway Improvements

TABLE OF CONTENTS

SECTION 1.00 - GENERAL PAGE Section 1.01 – Purpose 1-1 Section 1.02 – Overview of Citizen Involvement 1-1 Section 1.03 – Definitions 1-2 Section 1.04 – Non Discrimination under State Grants and Programs 1-7

SECTION 2.00 - INFORMATION/PARTICIPATION MEETINGS or WORKSHOPS Section 2.01 – Location Study Workshop – Initial Meeting 2-1 Section 2.02 – Government Workshop – Alternatives Development and 2-3 Consensus Building Section 2.03 – Community Workshops and Information Meetings 2-5 Section 2.04 – Coordination and Submission of Data Prior to Meetings 2-7

SECTION 3.00 - PUBLIC HEARINGS Section 3.01 – Hearing Requirements 3-1 Section 3.02 – Public Hearing Procedures 3-3 Section 3.03 – Data Required for a Public Hearing 3-6 Section 3.04 – Coordination and Submission of Data Prior to Hearing 3-8 Section 3.05 – Conduct of Public Hearing 3-9 Section 3.06 – Traditional Public Hearing with an Informal Plan Review 3-10 Section 3.07 – Open Forum Public Hearing 3-11 Section 3.08 – Notice of Willingness Posting Procedures 3-11 CIM Request Process Flow Chart Notice of Willingness Request Process Flow Chart Public Hearing Request Process Flow Chart

SECTION 4.00 – PUBLIC HEARING EXCLUSIONS Section 4.01 – Exclusions from the Public Hearing Process 4-1 Public Involvement Requirement Flow Chart

1 of 7 Revised 11-08-21SECTION 5.00 – PUBLIC HEARING PROJECT APPROVAL Section 5.01 – Location or Location and Design Approval for Projects 5-1 with a Public Hearing Section 5.02 – Design Approval for Projects with a Public Hearing 5-2 or Posting of Notice of Willingness to Hold Hearing Design Approval Process – Tier 1 (Public Hearing or Notice of Willingness) Flow Chart Design Approval Process – Tier 2 (Public Hearing or Notice of Willingness) Flow Chart Location and Design Approval Request Process Flow Chart – Tier 1 (Public Hearing Only) Location and Design Approval Request Process Flow Chart – Tier 2 (Public Hearing Only) Location Approval Process Flow Chart (Public Hearing Only)

SECTION 6.00 – REHEARING Section 6.01 – Rehearing Criteria 6-1 SECTION 7.00 – MUNICIPALITY CONDUCTED PUBLIC HEARING GUIDANCE for inclusion in the SIX YEAR IMPROVEMENT PROGRAM

Section 7.01 – Purpose 7-1 Section 7.02 – Definition of SYIP Public Hearing 7-1 Section 7.03 – Non-discrimination 7-1 Section 7.04 – Public Hearing Notification 7-3 Section 7.05 – Conduct of Public Hearing 7-4 Section 7.06 – Traditional Style Public Hearing or as 7-4 Part of City/Town Council Meeting Section 7.07 – Open Forum Style Public Meeting 7-5 Section 7.08 – Transcript of Proceedings 7-5

2 of 7 Revised 11-08-21APPENDIX A – Guidance Guidance for the Public Hearing Handout A-1 Guidance for Traditional – Public Hearing Presentation A-3 Guidance on Items to Check when Setting Up A-5 Setting Up and Conducting Public Meetings General Guidelines for Planning Meetings A-8 Compliance for Public Hearing A-12 Compliance for Willingness to hold a public hearing A-16 Compliance for Exception for Public Hearing A-18

APPENDIX B – Law FHWA Regulations 23 CFR, 771 B-1 Environmental Justice in Minority Populations and B-2 Low-Income Populations Code of Virginia 51.5-40 B-3 VR 602-01-2 B-4 Section 33.2-208 Subsection B of the Highway Laws of Virginia B-5 DPM 1-11 (under revision 03/18/2004) B-6

APPENDIX C - How to … How to Request a Public Meeting C-1 How to Prepare a Project Brochure C-3 How to Request a Mass Mailing of the Project Area C-8 How to Prepare a Video C-9 How to Request a Project Rendering C-12 How to Prepare a Transcript for Submission C-13

APPENDIX D – Use of Virtual Public Involvement D-1

3 of 7 Revised 11-08-21REVISIONS Sheet Date 3-9, 3-10 07/01/00 1-8, 3-4, 3-12, 3-14, 6-1, 7-1, 7-2, H-3, H-13 05/31/02 Index, L-41 1-2, 1-3, 1-6, 1-7, 1-8, 3-1, 3-14, 5-1, 5-2 and 5-3 02/13/03 H-11, H-12, deleted H-13 and H-14 06/02/03 3-1, 4-1, 5.01, Section 6.0 – Rehearing deleted 03/18/04 Added Section 7.00 09/23/04 Replaced Section 4 (page 33) 10/19/08 Table of Content, Appendixes A and B 01/22/10 Revised the following flow charts in Section 3; 10/29/10 CIM Request Process Public Hearing Request Process Willingness Request Process Inserted the following flow charts in Section 5;

Design Approval Process Location and Design Approval Process Location Approval Process Revised the following flow charts in Section 3; 11/16/10 CIM Request Process Revised the following flow charts in Section 3; 07/01/11 CIM Request Process Public Hearing Request Process Willingness Request Process Inserted the following flow charts in Section 5;

Design Approval Process Tier 1 Design Approval Process Tier 2 Location and Design Approval Process Tier 1 Location and Design Approval Process Tier 2 Revised the following flow charts in Section 3; 08/29/11 CIM Request Process Public Hearing Request Process Revised Section 4 to eliminate language about Code of Va.

4 of 7 Revised 11-08-21Revised the following flow charts in Section 5; 11/26/12 Design Approval Process Tier 1 Design Approval Process Tier 2 Location and Design Approval Process Tier 1 Location and Design Approval Process Tier 2 Revised the following flow charts in Section 3; 05/27/14 Public Hearing Request Process Willingness Request Process Replaced Section 3 (page 6) Revised the following to update the Code of Va. changes; 07/10/14 Appendix B, (page 5) Section 1 (page 1) Section 4 (page 1) with additional language Section 7 (page 1) Revised “Compliance for Exception for Public Hearing” form 01/28/15 in Appendix A (Page A-17).

Revised the following to update the Code of Va. changes; 02/09/15 Table of Contents (page 2) Section 3 (page 3) Revised the following flow charts in Section 3;

CIM Request Process Willingness Request Process Public Hearing Request Process Application of the Public Involvement Process for Construction, Highway Maintenance, Operational and Emergency Projects Revised the following in Section 3; 08/27/15 Removed “Rehearing” information and relocated it to Section 6 Revised the following flow chart in Section 3;

Application of the Public Involvement Process for Construction, Highway Maintenance, Operational and Emergency Projects Revised the following flow charts in Section 3; 09/28/15 CIM Request Process Willingness Request Process Public Hearing Request Process Replaced web link in Appendix B, Page B-2 Revised language in Section 3, page 1; 11/21/16 Revised Section 4 to add language on “Tier 2 projects” 07/06/18

5 of 7 Revised 11-08-21Revised the following flow charts in Section 5; 07/06/18 Design Approval Process Tier 1 Design Approval Process Tier 2 Location and Design Approval Process Tier 1 Location and Design Approval Process Tier 2 Revised the following flow charts in Section 3; 02/11/19 CIM Request Process Public Hearing Request Process Willingness Request Process Revised the following flow chart in Section 5; 10/25/19 Location Approval Process (Public Hearing Only) Added Appendix D - Use of Virtual Public Involvement 07/30/20

Section 1- Deleted SEC. 1.03.8 – Social, Economic, and 11/08/21 Environmental Effects and Deleted SEC. 1.03.8 – Environmental Document;

Renumbered SEC. 1.03.11 to SEC. 1.03.08 – State Environmental Review Process;

Renumbered SEC. 1.03.10 to 1.03.09– Location, Location and Design or Design Approval

Section 3 – Deleted the last paragraph under SEC. 3.01 - HEARING

REQUIREMENTS;

Revised SEC. 3.02 - PUBLIC HEARING PROCEDURES to add the following language on page 6 of 14: “These direct mailings shall be included in the Transcript and uploaded into ProjectWise.” Revised SEC. 3.03.5 – Environmental Documents;

Revised SEC. 3.08 - NOTICE OF WILLINGNESS POSTING PROCEDURES to add the following language on page 11 of 14 and page 14 of 14: “Consult with the District Environmental Manager for additional information on requirements for making the environmental document available to the public.”

6 of 7 Revised 11-08-21Section 5 – Revised SEC. 5.01 and Sec. 5.02;

Revised the following Flow Charts: Design Approval Process – Tier 1 (Public Hearing or Notice of Willingness) Flow Chart Design Approval Process – Tier 2 (Public Hearing or Notice of Willingness) Flow Chart Location and Design Approval Request Process Flow Chart – Tier 1 (Public Hearing Only) Location and Design Approval Request Process Flow Chart – Tier 2 (Public Hearing Only) Location Approval Process Flow Chart (Public Hearing Only)

7 of 7 Revised 11-08-21SECTION 1.00 - GENERAL SEC. 1.01 - PURPOSE This policy statement ensures that highway locations and designs are consistent with federal and state laws and local goals and objectives.

The policies and procedures explained are intended to give full opportunity for coordination and participation by the public before the final approval of highway locations and designs. A procedure for one Citizens who are affected by or more public hearings is designed to provide for free and open a public decision should: discussion of controversial issues and concerns before development of • Be given accurate the final design has reached a point that it is impractical to make information,

  • Have a voice in the extensive modifications. decision, This statement also confirms the policy of the Virginia Department of • Be involved in the Transportation (VDOT) to consider a wide range of factors, including implementation of the decision! possible adverse economic, social, and environmental effects, in the development of a project.

It is VDOT's desire that final decisions on any project be in the best overall public interest, taking into consideration the need for safe and efficient transportation, public services, and the costs of eliminating or minimizing adverse effects.

This policy is in accordance with Federal Regulation 23 CFR 771.111(h) and 23 USC 128, Section 33.2-208 of the Highway Laws of Virginia, Virginia Department of Transportation Policy Memorandum DPM 1-11 and shall apply to all proposed highway projects of VDOT, regardless of the system or funding involved. The Federal Highway Administration (FHWA) has endorsed this policy for use on all Federal-aid highway projects.

Projects administered/developed by others that will be funded by federal and/or state funds must meet the Department’s guidelines for public participation.

SEC. 1.02 - OVERVIEW OF CITIZEN INVOLVEMENT Citizens have numerous opportunities to express their viewpoints during the course of a project's development. They may voice their opinions and suggestions on a specific project at the District Pre-allocation Hearings and at the Tentative Allocation Hearings before a project is initiated. These views affect the Virginia Department of Transportation's (VDOT) decision on whether or not to proceed with a project and in the establishment of project priorities.

1-1In addition to the citizen participation process provided by VDOT, local governing bodies provide citizens numerous opportunities to participate in the development of transportation programs. These local governing bodies, such as counties and cities, offer opportunities for citizen input through their recommendations and approvals on highway projects.

For projects with apparent major impact or public interest, VDOT solicits citizens' views through informal Citizen Participation Meetings, plus household and business surveys conducted through the agency's Environmental and Engineering sections. The views obtained influence the course of preliminary studies.

After sufficient data has been gathered and evaluated to allow development of feasible alternatives, a public hearing or an opportunity for a public hearing is provided. Depending on the magnitude of the project, the level of action may range from comprehensive advertising of meetings and displays of the proposals in several locations prior to the hearing to simple public notices with plans available for review and discussion at the local VDOT offices.

When a public hearing is held, the meeting may range from a series of large gatherings in a public auditorium, to a few persons gathered in a city, county, or local facility. If no hearing is held, the public participation may consist of a single citizen reviewing the plans with a department representative. Regardless of the amount of public input, all views are considered by VDOT. The approving authorities also consider citizens’ views before a decision is made for a project location. On major projects citizens often have two formal opportunities for input into the project development process, once prior to deciding the location of a Which type of meeting will route and again prior to a commitment to specific design features. accomplish the needs for this stage of the project?

SEC. 1.03 - DEFINITIONS SEC. 1.03.1 – Citizen Informational Meeting A Citizen Informational Meeting is an opportunity for the public to review, in an informal setting, the ongoing development of project information.

1-2SEC. 1.03.2 – Citizens Participation Meeting/Workshop A Community-based planning session, a collaborative effort between governments and the communities, serves to identify problems and involve all elements of the community. This session searches for the implementation of solutions to transportation issues.

SEC. 1.03.3 – Public Hearing A public hearing is a well-publicized opportunity for the VDOT to present its studies and policies while receiving and documenting comments from the public on each proposal concerning engineering, social, economic, and environmental factors and effects resulting from each possible course of action.

SEC. 1.03.4 – Location Public Hearing A Location Public Hearing is held before VDOT is committed to a specific route. This allows the Community to be included in the decision on the new location for projects that are determined to have different alternatives. This includes their general location, the type of facility necessary, or the transportation mode under consideration. The final determination of need for a Location Public Hearing is made by the State Location and Design Engineer upon careful evaluation of public interest and the concurrence of FHWA on Federal-aid projects. This type of hearing is held when preliminary engineering studies are of sufficient detail to indicate relative cost differences between the alternatives and the feasibility of their construction based on environmental studies and general engineering practices.

SEC. 1.03.5 – Design Public Hearing A Design Public Hearing is held after the Commonwealth Transportation Board approves a route location or for projects that do not require extensive relocation but before VDOT is committed to a specific design. A Design Public Hearing is also held for projects being developed on existing alignment. This type of hearing is held after a project field inspection is held and plans are completed to a stage that all right of way limits/lines (including easements), storm water management basins, noise wall locations, retaining wall locations and construction limits, and major design features are delineated on the plans and identified clearly, within the parameters of the information known to date. Existing property lines, property owners, buildings, and other topographical data allow easy identification of impacts to properties.

Alternate proposals on major design features may be presented. 1-3 SEC. 1.03.6 – Combined Location and Design Hearing A Combined Location and Design Public Hearing is held for a project that is determined not to have feasible alternative solutions for the general location, type of facility necessary, transportation mode, and where there is no major concern about the need for the project. Project plans are normally at the same stage of completion as for a Design Public Hearing. Alternative design features may be presented at this type of hearing.

SEC. 1.03.7 – Notice of Willingness to Hold a Public Hearing Requirements for a public hearing may be satisfied by a well-publicized Notice of Willingness to hold a public hearing. The status of the project is in accordance with the opportunity being given (location, design, or combined location and design). An opportunity to review the project plans and other information is given in this procedure. A public hearing Community involvement can is held if a written request is made and contact by VDOT cannot resolve help expand our resources. the questions and concerns.

1-4SEC. 1.03.08 – State Environmental Review Process During initial consideration of a transportation improvement, VDOT contacts local, state, and federal agencies and officials. Public advisory groups are also notified during these initial studies.

Citizens who are involved in If a proposed project affects another state, views are solicited from the the decision will support the appropriate agencies within that state. All written views received during outcome. this coordination are made available to the public. Meetings other than the required public hearing(s) may be held at any time they would serve the public interest or when information from the public may affect the scope of the study or the choice of alternatives to be considered and may aid in identification of social, economic, and environmental effects.

These meetings are normally conducted to permit maximum input and exchange of information.

SEC. 1.03.09 – Location, Location and Design or Design Approval Location Approval or Location and Design Approval refers to the action by which the Commonwealth Transportation Board, (and FHWA on Federal-aid projects) indicate that the essential elements of public involvement for a highway project are satisfactory and acceptable for proceeding to the next appropriate step in project development.

1-5Design Approval refers to the action by which the Chief Engineer for Project Development (and FHWA on Federal-aid projects) indicates that the essential elements of public involvement for highway projects are satisfactory and acceptable for proceeding to the next appropriate step in project development.

SEC. 1.04 - NON-DISCRIMINATION UNDER STATE GRANTS

AND PROGRAMS The Code of Virginia 51.5-40 (Appendix B) prohibits discrimination on the basis of disability in state assisted programs and activities.

Effective October 1, 1991, VR 602-01-2 (Appendix B) further specified that no qualified person with a disability shall on the basis of that disability be excluded from participation in, be denied the benefits of, or Facilities must be accessible to all Citizens so all may otherwise subject to discrimination under any program or activity which participate comfortably. receives or benefits from state financial assistance or under any program or activity conducted by or on behalf of any state agency.

It further states, no qualified person with a disability shall, because a program or activity facilities are inaccessible, be excluded from participation in public hearings or public communications of any programs or activities governed by these regulations. To comply such programs and activities shall:

  1. Take appropriate steps to ensure that public meetings/hearings are held at facilities that provide accessibility to persons with a disability.
  2. Take the appropriate steps to ensure that notice of public meetings/hearings are made available to individuals with impaired vision and hearing through means such as telecommunications devices, braille or typed material (open captioned) televised information, qualified sign language interpreters, other material or media.
  3. Any program or activity governed by the regulations shall administer programs and activities in the most integrated setting feasible to meet the needs of qualified persons with a disability.

To further ensure compliance with the act, the following actions are required. Public notices placed in daily and weekly newspapers alerting the public to upcoming meetings or public hearings to discuss proposed highway projects or changes in VDOT policy will state:

1-6Non-Discrimination - VDOT ensures nondiscrimination in all programs and activities in accordance with Title VI of the Civil Rights Act of 1964.

For information call, phone number of resident engineer, or in the Northern Virginia District, the administrator for construction or division head, when applicable.

Whenever possible, meetings will be held in schools or other public buildings where persons using wheelchairs, walkers, crutches or canes can attend. If a person with a mobility disability notifies VDOT of his/her desire to attend the meeting, and it has been scheduled to be held in a building that was not readily accessible, either the meeting site should be changed, arrangements made to accommodate the individual, or arrangements made to being information to the interested person and receive his/her testimony.

In a formal hearing setting, wireless microphones should be provided for use by persons who cannot easily get to the speakers microphone. An audio tape (reading of brochure and comments) of the meeting can be made available for persons who could not attend the meeting. Written testimony can be given up to ten days after the meeting is held, for inclusion in the hearing record. When necessary, arrangements will be made to go to a citizen to receive his/her testimony for inclusion in the hearing record.

The Department of Deaf and Hard of Hearing has a statewide listing of persons qualified as signers. These persons can be hired to attend meetings when necessary and interpret for persons with hearing disabilities. 1-7 SECTION 2.00 - INFORMATION/ PARTICIPATION MEETINGS or WORKSHOPS SEC. 2.01 Location Study Workshop – Initial Meeting On all location studies, it is desirable to have a Public Scoping Meeting as soon as possible after a project is assigned. This type of meeting allows the citizen to be involved at the beginning of the process. From a list of attendees, a mailing list can be initiated, contacts for future interactions are made, and facts of local interest are obtained.

Contact should be made with local governmental officials prior to scheduling a meeting of this type to determine if studies or ideas for development are available and to inform these officials of VDOT impending actions. In most cases, the District Administrator or his representative will do this. This would also hold true for arrangements for a suitable meeting place. See Appendix G-4 for general guidelines when securing a location and arranging a meeting.

Location studies are prepared utilizing the best available database, and are the result of a concept that is conceived to alleviate a major need for improvement to the transportation system. Visual aids listed are not intended to be all-inclusive nor applicable to all projects but are representative of a "best case" situation needs for these and other displays and related requirements. The number of each type of visual aid is dependent upon the anticipated attendance and should be coordinated with the appropriate district/residency.

SEC. 2.01.1 - Study Window A display showing the area to be studied, or study window, should be prepared utilizing a U.S.G.S. quadrangle sheet or mosaic with the extreme boundaries delineated. If there are well-known previously studied corridors in existence, these should also be shown in a corridor band.

SEC. 2.01.2 - Purpose Of The Study A general outline of the study and why it is being made, the citizens' part in the process, and the intended results should be prepared and utilized to inform the citizens of the purpose of the meeting. This information is generally placed at the entrance of the meeting room - far enough away from the actual displays to allow citizens to take time to read it.

SEC. 2.01.3 - Photos Of Interest In The Study Area Enlarged, color photos of traffic congestion, historic sites, prominent businesses, and municipal buildings, and other sites as appropriate can be mounted to form an attractive display which will convey to the citizen features they are familiar with in the study area and any potential problem areas.

1SEC. 2.01.4 - Traffic Projections In some cases, traffic studies of a preliminary nature are available to support discussion about the need for a new location/improvement in the area. The existing level of traffic service is also helpful, if available.

SEC. 2 .01.5 - Remaining Actions A tentative schedule of remaining actions on the project should be provided, giving general dates such as "Early 2000", if this information is available.

SEC. 2.01.6 – Meeting Handout A handout is desirable at a meeting of this type; it should contain as a minimum:

  • The purpose of the location study,
  • The purpose of the workshop and the citizens' involvement,
  • A map showing the study window,
  • A tentative schedule of remaining actions, and
  • The name of a contact person should more information be desired.

SEC. 2.01.7 - Comment Sheet Along with the handout a comment sheet should be provided whereby the citizenry can provide their thoughts in writing. This sheet should indicate:

  • The project number,
  • To whom it should be mailed,
  • A block which can be checked if they wish to be put on a mailing list to be notified of upcoming events, and
  • Questions relevant to the information being sought about the study area. This comment sheet is the Project Managers’ tool for gathering the information necessary to move in the correct direction with the project.

SEC. 2.01.8 - Miscellaneous Have state maps and other Department publications available at the meeting. Also, it may be advisable to have copies of the VDOT Right of Way and Utilities booklet available.

2SEC. 2.02 – Government Workshop – (Alternatives Development and Consensus Building) As the study progresses, alternatives are evaluated, additional support data is obtained, and ultimately, the candidate build alternatives are chosen. At this stage, a meeting coordinated with local officials should take place. This will ensure close coordination between all involved and will eliminate confusion or misunderstanding as to which alternatives will be presented at the next public meeting.

A second location workshop may be held if further information is needed to narrow the selection of the candidate build alternatives.

SEC. 2.02.1 - Study Window The study window display should now show all alternatives initially considered and those now being considered as candidate build alternatives. It is desirable to have two separate displays showing these two distinct sets of alternatives. This should be shown on an aerial mosaic if at all possible to permit the citizenry to easily orient themselves.

SEC. 2.02.2 - Purpose of the Study A display showing the basic information as outlined in Section 2.01 and welcoming the citizens to this information meeting should be prepared.

SEC. 2.02.3 - Photos of Interest in the Study Area The same display as previously used or updated to show growth or change in the area should be available.

SEC. 2.02.4 - Traffic Projections At this stage of the study, traffic projections should be available and displayed in an effective manner.

SEC. 2.02.5 - Remaining Actions A tentative schedule of remaining actions giving a general time frame such as "Early 2000” should be displayed.

3SEC. 2.02.6 - Video Presentation At this point in the study, enough data will be available to provide a video presentation. The program need not be lengthy, approximately 4-5 minutes is the ideal time. It should give a brief history of the project, all alternatives considered, the candidate build alternative, traffic projections, and remaining action. Additional layouts showing problem areas, points of interest, and anything else deemed important should be included. A program of this type, viewed prior to studying the displays, will answer a large number of the questions that arise at these meetings.

SEC. 2.02.7 - Information Meeting Handout In addition to the information outlined in Section 2.01.6, the handout should contain a history of the previous meetings, proposed typical section, and a map providing the same candidate build alternatives as shown on the displays. See Appendix G-1 for further guidance.

SEC. 2.02.8 - Comment Sheet The same type sheet described in Section 2.01.7 should be used.

SEC. 2.02.9 - Miscellaneous State maps and other Department publications along with Right of Way and Utility booklets should be available at this meeting.

SEC. 2.03 - COMMUNITY WORKSHOPS AND INFORMATION MEETINGS Held prior to COMBINED LOCATION AND DESIGN/ DESIGN HEARING In the same manner and for the same reasons as stated in Sections 2.01 and 2.02, it is desirable to have a Community workshop for location and design projects - both to receive and provide information. Usually one method of development has been selected and this meeting is to advise the citizenry of this and provide the opportunity to gather ideas as to the effects this design will have on the area. Occasionally, alternate methods of development are also presented at these meetings.

SEC. 2.03.1 - Purpose of Meeting Section 2.01.2 is applicable.

SEC. 2.03.2 - Photos of Interest on the Project Section 2.01.3 is applicable. 4 SEC. 2.03.3 - Aerial Mosaic or Continuous Roll of Plans Either a mosaic and/or a shaded continuous roll of plan sheets should be available for review.

In addition, several sets of the plans, profiles, and cross-sections should be strategically placed in the review area. An alphabetized list of all landowners and the plan sheet location of their property should be prepared and available to those greeting the public.

SEC. 2.03.4 - Traffic Projections Section 2.02.4 is applicable.

SEC. 2.03.5 - Remaining Actions This display should show the tentative schedule of remaining actions giving a general time frame such as “Advertisement for construction is anticipated in "Early 2000"”.

SEC. 2.03.6 – Video Presentation Section 2.02.6 is applicable.

SEC. 2.03.7 – Public Meeting Handout The handout should contain, as a minimum, a brief history of the project, a map showing the project, project purpose, storm water management basins (location and type), typical section, traffic data, right of way impacts, environmental review, remaining actions, cost (preliminary engineering, right of way acquisition, utility relocation, and construction cost), type of financing for the project, and the name of a contact person. See Appendix G-1 for further guidance.

SEC. 2.03.8 - Comment Sheet Section 2.01.7 is applicable.

SEC. 2.03.9 - Miscellaneous State maps and other Department publications along with the Right of Way and Utility booklet should be available at this meeting.

5 SEC. 2.04 - COORDINATION AND SUBMISSION OF DATA PRIOR TO

MEETINGS Coordination of effort is essential in the assembly of necessary data for the successful execution of a public meeting. The Public Involvement Section must receive, in writing, the Public Hearing Request Form (Appendix H-1) with all appropriate data from whoever has scheduled the meeting. This form must contain the date, time, place, and type of meeting in order that the proper advertisement can be prepared. Section 3.02 offers guidance as to the procedures that the Public Involvement Coordinator follows in advertising a public meeting/hearing. The following actions, review procedures, and time frames must be adhered to in order for the process to proceed smoothly:

Prior to Meeting Review of Material Final Review Rough draft of booklets Project Manager Public Involvement speech, and/or script for 60 Days pre-recorded presentations

Rough drawings of visual Project Manager Public Involvement aides, maps, etc., to be 60 Days on display or in booklet

Typed draft of Project Manager Public Involvement booklet and video Urban, District, 45 Days script Residency & Others as Necessary

Rework of any material as necessary ASAP ASAP with major changes

Distribution of booklets 30 Days must be available when advertisement is published Send to: District Residency City or Town Central Office

Completed speeches, Project Manager 20 days slides, and displays Public Involvement District

6SECTION 3.00 - PUBLIC HEARINGS

SEC. 3.01 - HEARING REQUIREMENTS A separate Location Public Hearing, a Design Public Hearing, a Combined Location and Design Public Hearing, or a Notice of Willingness for those hearings, are provided when their need is determined in accordance with DPM 1-119 (Appendix B) or deemed appropriate by the Project Manager with approval of the State Location and Design Engineer. This determination is made after review with appropriate VDOT divisions, local and state government entities and federal agencies taking into account the general complexity of the project and anticipated public interest.

If the system is interstate, primary, urban or secondary the following types of hearings will be held for the following project categories: Provide accurate unbiased information… Listen to the voice of the Projects on proposed roadway corridors, which are completely on community … new location, require a location public hearing followed by a design Consider the information public hearing. received in future decisions about the project… Projects within the existing roadway corridor with a majority of the work on new location require a combined location and design public hearing.

Projects within the existing roadway corridor that have a significant social, economic or environmental impact require a design public hearing (i.e. – widen 2 lanes to 4 lanes).

Projects within the existing roadway corridor where insignificant public interest or environmental impacts or both, are anticipated require publication of a notice of willingness to hold a design public hearing. VDOT will hold a design public hearing if a request for such a hearing is made, and the issues raised in relation to the request cannot be resolved through any other means.

For additional information, see 24VAC30-380-10 http://leg1.state.va.us/cgi-bin/legp504.exe?000+reg+24VAC30-380-10

SECTION 3 – Page 1 of 14Notice Of Willingness To Hold Hearing (revised 3/19/04) The publication of a notice of willingness to hold a Location, Design, or Combined Location and Design, public hearing will satisfy any public hearing requirement. This determination should be made using the guideline provided in DPM-1-11 (Appendix B) that a Public Hearing is not beneficial to the public.

SECTION 3 – Page 2 of 14 SEC. 3.02 - PUBLIC HEARING PROCEDURES To ensure compliance with state and federal regulations, Reference 23 USC 128, 23 CFR Part 771.111, 40 CFR Parts 1500-1508, 33.2-208 subsection B and maintain uniformity in the handling of public hearings, the following steps are necessary to schedule the hearing.

Essential information as outlined in this section must be sent to the Public Involvement Section 60 days prior to the scheduled meeting.

Upon notification of the type, date, time and place of the public hearing to be held, the Public Involvement Manager will prepare the public notice and cover letter to the District Administrator which will include instructions to the District Administrator and others receiving copies of said memorandum concerning the conducting of the hearing and distribution of the hearing notice.

Each notice of public hearing shall contain

  • Date, time, and place of meeting and informal plan review (if appropriate).
  • Description of project proposal.
  • 8 1/2” x 11” project location map (to be included in all distributions and postings).
  • Statement that tentative schedules will be discussed.
  • Statement that right-of–way relocation assistance information will be available.
  • Statement of opportunity for public comment period at meeting.
  • Project identification information.

SECTION 3 – Page 3 of 14

  • Statement of availability of project information 30 days prior to the hearing and the availability of the environmental assessment (if Federal funded) at specified location 30 days prior (minimum of 15 days) to the hearing. Environmental information is to include 106 and Agricultural Forestal District statements.

  • Procedure for submitting written statements.

  • Other statements concerning special arrangements for open forum, conduct of meeting, informal plan review meetings, etc, when necessary.

  • Non-Discrimination notification and the procedure for individuals requiring special assistance to attend and participate in the meeting. (revised 05/31/02)

  • Project identification information.

The Public Hearing Notice will be published at least twice in newspapers having general circulation in the vicinity of the project.

The notice also be published in any newspaper having a substantial circulation in the area concerned, such as foreign language, local community, or minority-based newspapers. The first notice should Public Hearing notices must appear in theappear 30 days prior to the hearing with the second notice appearing newspaper 30 days prior from 5 to 12 days before the hearing. For Federal-aid projects to the scheduled hearing identified as Class I actions, the Draft Environmental Impact date… Statement must be available to the public 30 days prior to the hearing and 15 days after the hearing is held. Care should be taken to identify low-income or minority populations located in the project study area, and an extra effort should be made to ensure that these populations are informed of and have access to public involvement opportunities.

VDOT will publish a listing of all public meetings to be made available to other news media, other state agencies, federal agencies, local public officials, and any other interested groups or individuals who, by nature of their function, interest, or responsibility, may be interested in or affected by the proposal. A list is maintained by VDOT of persons, groups, agencies, etc., which express an interest in certain projects or specified areas.

SECTION 3 – Page 4 of 14The following are responsible for specific tasks to ensure compliance with notification of scheduled meetings.

  • Upon notification the Public Involvement Manager will prepare the public notice and cover letter to the District Administrator and others receiving copies of the said notice. Sharing the responsibilities makes the task easier for everyone…
  • The Public Involvement Manager will notify the Federal Highway Administration (if federally funded), appropriate federal and state agencies and special interest groups such as the Virginia Road and Transportation Builders Association, local Highway Commissions, and Bicycle organizations by its inclusion in the Monthly Public Meetings Listing.

  • The Office Public Affairs will publish the notice at least twice in newspapers having general circulation in the vicinity of the project. The notice will also be published in any newspaper having a substantial circulation in the area concerned, such as foreign language, local community, or minority based newspapers. Public Hearing Notices must appear 30 days prior to the hearing and 5 to 12 days before the hearing. For Federal-aid projects identified as Class I actions, the notice must state that the Draft EIS is available for review or the date it will become available.

  • The District Administrator or appointee will send the notice to all members of the Board of Supervisors of the county affected and to all members of the City or Town Council; to the County Administrator; City Manager; Mayor and other officials directly concerned.

SECTION 3 – Page 5 of 14 • The District Administrator or appointee should in addition send copies to the appropriate Chairman of the Local Planning Bodies; President of the Local Chamber of Commerce; Heads of Local Civic and Citizen Associations; Superintendent of Local Schools; President of Local Parent Teacher Associations, and other officials as deemed appropriate.

  • The District Administrator or appointee should also post the notice in the appropriate courthouse, post office, and other public places and buildings in the vicinity of the project.

  • The Resident Engineer will post signs on the terminus of the project notifying the public of the proposed project in accordance with Traffic Engineering Divisions, IIM, TE-303.

  • For Location, Location and Design and Design project hearings, the Project Manager shall notify all adjacent property owners as well as those property owners within such project study corridors by direct mailing of the public notice and project location map of the public meeting a minimum of 30 days prior to the meeting. For all hearings types a direct post card mailing to the community/individuals affected by the project may be distributed. These direct mailings shall be included in the Transcript and uploaded into ProjectWise.

SEC. 3.03 - DATA REQUIRED FOR A PUBLIC HEARING The formal or open forum public hearing provides VDOT an opportunity to advise and educate the citizens relative to the scope of Any questions call your the project. The following items should be prepared with care and in coordinator for more a manner easily understood by the general public. information…

SEC. 3.03.1 - Aerial Mosaic An aerial mosaic of photos, preferably less than one year old, may be prepared and the proposed design shown at a convenient scale. Care should be taken to select the scale that best depicts the type project being presented 1"=1,000' (1:10000 plus/minus) may be satisfactory for location studies and 1"=25' (1:250 plus/minus) for small design projects. Care should be taken to depict the corridor or design in colors and patterns, which will contrast best with the mosaic's background. The number of mosaics needed should be determined by the anticipated attendance.

SECTION 3 – Page 6 of 14SEC. 3.03.2 - Shaded Alternatives or Plans Prints of the alternatives shaded and exhibited in either a continuous roll and in sets of plan sheets are necessary for locating individual properties. To further facilitate the ease of property owners in locating their property, individual photographs should be taken of prominent Displays should be developed structures on each of the adjacent properties and 2"x 3" photos should in a manner that non-be displayed on the shaded plans. These should be mounted for ease engineering Citizens can of displaying and viewing. In addition, several sets of the completed readily understand… plans including profiles and entrances should be available for viewing in the display area. Several sets of cross sections should also be available for use. A list of property owners and the sheet location of their property should also be available. This list should be in alphabetical order. The number of prints required should be determined by the anticipated attendance.

SEC. 3.03.3 – Renderings - Photographs with existing and proposed development One of the most effective ways to convey the effects of the proposal is through the use of renderings (before and after photographs of the project) on which the proposed alternative or design is shown.

Excellent results can be obtained creating a three-dimensional effect that shows the proposal in its current setting. These services are available through the Location and Design Division’s Public Involvement Section.

SEC. 3.03.4 - Traffic Display On large projects, a display showing traffic volumes (current and future), density, and level of service should be shown. These displays are prepared and provided by the Transportation Planning Division as deemed appropriate by the State Transportation Planning Engineer.

SEC. 3.03.5 – Environmental Documents Environmental documents must be available to the public in sufficient quantities. Likewise, sensitive environmental concerns should be depicted for public viewing (Noise Wall Study information, Historic Property impacts, Wetland Mitigation sites, etc…). These displays are prepared and provided by the design team in coordination with and approval by the District Environmental Manager.

SECTION 3 – Page 7 of 14SEC. 3.03.6 - Public Hearing Handout The public hearing handout should be of good quality, since it is VDOT's explanation of what we hope to accomplish. For guidance in preparing the handout, see Appendix A. The number required should be based on the anticipated attendance.

The Local Assistance Coordinator will provide verbiage for the handout for urban projects to the designer 60 days prior to the scheduled hearing date.

SEC. 3.03.7 - Video Presentation At public hearings, videos are provided to augment both the engineering design and right of way displays. The engineering video presentation should include location maps, photos showing existing and projected design, typical sections, traffic volumes, environmental considerations, costs, and a tentative schedule of events are necessary, plus any other information deemed appropriate. The right of way information may be included in the project video if deemed appropriate by the Right of Way and Utilities Agent in charge of this project.

This video presentation provides an excellent way for VDOT to convey the proposed alternatives or design, and care should be taken to prepare these in a professional manner for maximum effectiveness.

SEC. 3.03.8 - Miscellaneous Sufficient copies of the current Right of Way and Utilities booklet should be made available. Any current information deemed suitable for distribution, such as state maps and other pamphlets concerning VDOT programs, should also be available.

SEC. 3.04 - COORDINATION AND SUBMISSION OF DATA

PRIOR TO HEARING As has been stated previously, coordination and submission of data prior to the hearing is essential. Section 2.04 lists time frames and review procedures applicable to all public meetings.

SECTION 3 – Page 8 of 14 SEC. 3.05 - CONDUCT OF PUBLIC HEARING Meetings, whether one-on-one, in small groups or in public events are the dominant method used to engage communities/citizens in discussions about the issues they face with the proposed project.

Public hearings vary in size and content, but their purpose remains consistent - to present the proposal and to receive the citizens' comments. Listed below are general regulations that pertain to public hearings. Additional guidance is found in Appendix A.

Public hearings are held at a time and place convenient for persons affected by the proposal. The procedures used may differ according to the project, area, and the number of persons expected to attend.

Types of public hearings: Provisions are made to accept written statements and other exhibits in Open Forum Hearing place of, or in addition to, oral statements made for the record, within Traditional Hearing 10 calendar days after the hearing. A statement concerning the 10-day time limit for submission of such data and the appropriate address to which it should be sent must be provided.

An informational booklet should be provided to assure a basic understanding of the proposal (see Appendix A for contents).

At a Location Hearing, information on any location alternatives studied should be available. At a Design Hearing, information on any design alternatives studied should be available, with an extensive project history.

VDOT provides as many responsible representatives as necessary to conduct the hearing and respond to questions. These representatives should always remain as long as necessary after the hearing to discuss individual concerns and questions relative to the project.

VDOT may arrange for local public officials or other responsible persons to conduct a hearing. However, it is the responsibility of VDOT to meet hearing requirements and to provide proper representation.

SECTION 3 – Page 9 of 14On a Federal-aid project, VDOT brochure contains information relevant to federal participation in funding and decision-making.

VDOT explains right of way acquisition procedures, the relocation assistance program, when appropriate, and announces the availability of a right of way and utilities booklet explaining that process.

VDOT explains that at any time after the hearing and before the location and/or design approval, all available information relating to the proposal is made available, upon request, for public inspection, copying, and purchase (including the transcript described in Section

  1. 06 when it becomes available).

SEC. 3.06 – TRADITIONAL PUBLIC HEARING with an INFORMAL PLAN REVIEW A traditional hearing may be held if deemed appropriate by the designer or if a written request is received from the governing body of the county, city or town in which the route is proposed to be located or upon the written request of twenty-five citizens. The written request must be received within fourteen days following the first published notice of the hearing. If a traditional hearing is deemed appropriate, the information about the project is provided in a verbal format and in a visual format. A meeting room is set up to provide for the gathering Traditional public hearings of a full group meeting to provide and gather verbal information. It is are probably the least effective way to discuss desirable to have an informal plan review prior to the scheduled public issues, offer alternatives and hearing. These reviews should ideally be held immediately prior to the gain consensus on matters of hearing and at hours convenient to the citizenry. This part of the public/community interest. process provides project information in a visual format and allows citizens to make written comments and suggestions on the proposed project.

The same data that is required for the informal plan review before the traditional public hearing as is required for the open forum public hearing and should be available for this meeting. This is shown in Section 3.02. The date, time and place for this informal plan review should be included in the public hearing notice. Staffing should consist of sufficient personnel from the various disciplines to adequately answer the citizens' questions.

SECTION 3 – Page 10 of 14SEC. 3.07 – OPEN FORUM PUBLIC HEARING A open forum public hearing (open house) encourages one-on-one discussions in an informal setting. This style of meeting has an easy, open and encouraging effect on citizens and can be very helpful in building a sense of consensus between the Department and citizens.

At the meeting, people familiar with all facets and features of the project visually display their information. The purpose of the open forum may be to suggest solutions or may simply be to give information and facts. The process is highly interactive with technical people presenting and fielding questions from communities, individual citizens, or small groups.

See the

SEC. 3.08 - NOTICE OF WILLINGNESS POSTING

PROCEDURES The requirements (definition section 3.00) for a public hearing may be satisfied by the publishing of a Notice of Willingness to hold a Public Hearing. The Willingness can be posted at the Location, Design, or Combined Location and Design stage, if the project meets the for HOW TO GUIDE specifications for posting a notice of willingness. The Department may proceed with the posting of a notice of willingness without a completed environmental document, provided our Environmental Division determines that a Categorical Exclusion is applicable.

Consult with the District Environmental Manager for additional information on requirements for making the environmental document available to the public.

Essential information as outlined in this section must be sent to the Public Involvement Section at least 25 days prior to the desired deadline for the expiration of the notice.

Upon notification of the Public Involvement Manager by the Project Manager of the desire to post a notice of willingness to hold a public hearing, the Public Involvement Manager will prepare the public notice and cover letter to the District Administrator which will include instructions to the District Administrator and others receiving copies of said memorandum concerning the notification of willingness to hold a public hearing and distribution of the notice and project location map.

SECTION 3 – Page 11 of 14Each notice of willingness to hold a public hearing shall contain:

  • Description of proposal

  • Locations with availability of maps, drawings and other information concerning the project proposal.

  • Statement of willingness to hold a public hearing, procedure for submitting written request to hold a public hearing.

  • Non-Discrimination notification. (Added 05/31/2002)

A Notice to show a

  • Project identification information. willingness to hold a public hearing must appear 15 days before the expiration date…

The notice of willingness to hold a public hearing will be published at least twice in newspapers having general circulation in the vicinity of the project. The notice is also published in any newspaper having a substantial circulation in the area concerned, such as foreign language, local community, or minority-based newspapers. The first notice should appear 15 days prior to the established expiration date with the second notice appearing from 5 to 7 days before the expiration date.

VDOT will publish a listing of all public meetings and willingness to hold public meetings to be made available to other news media, other state agencies, federal agencies, local public officials, and any other interested groups or individuals who, by nature of their function, interest, or responsibility, may be interested in or affected by the proposal. A list is maintained by VDOT’s persons, groups, agencies, etc., that express an interest in certain projects or specified areas.

The following are responsible for specific tasks to ensure compliance with the posting of the Notice of Willingness.

  • Upon notification the Public Involvement Manager will prepare the public notice and cover letter to the District Administrator and others receiving copies of the said notice.

SECTION 3 – Page 12 of 14• The Public Involvement Manager will notify the Clerk of the Court of the appropriate county, city, or town in which the proposed action is to occur and provide the Clerk of the Court a copy of the notice and project map.

  • The Public Involvement Manager will notify the Federal Highway Administration, (if federally funded), appropriate federal and state agencies and special interest groups such as the Virginia Road Builders Association, local Highway Commissions, and bicycle organizations by its inclusion in the monthly public meetings' listing.

  • The Office of Public Affairs will publish the notice at least twice in newspapers having general circulation in the vicinity of the project. The notice will also be published in any newspaper having a substantial circulation in the area concerned, such as foreign language, local community, or minority based newspapers. Notice of Willingness to hold a Public Hearing Notice must appear 15 days prior to the expiration date and 5 to 7 days before the expiration date.

  • The District Administrator will send the notice to all members of the Board of Supervisors of the county effected Coordination is the key to success… and to all members of the City or Town Council; to the County Administrator; City Manager; Mayor and other officials directly concerned.

  • The District Administrator should in addition send copies to the appropriate Chairman of the Local Planning Bodies;

President of the Local Chamber of Commerce; Heads of Local Civic and Citizen Associations; Superintendent of Local Schools; President of Local Parent Teacher Associations, and other officials as deemed appropriate.

  • The District Administrator should also post the notice in the appropriate courthouse, post office, and other public places and buildings in the vicinity of the project.

SECTION 3 – Page 13 of 14 • The Resident Engineer will post signs on the terminus of PROPOSED the project notifying the public of the proposed project in HIGHWAY PROJECT CALL accordance with IIM, TE-303. 123-4567

FOR MORE

INFORMATION

  • The Project Manager in charge of the project will notify the adjacent property owners by direct mailing of the public notice and project location map of the public meeting a minimum of 10 days prior to the expiration date.

If a request for a public hearing is received, the Public Hearing Notice will be posted in accordance with normal public hearing procedures.

Consult with the District Environmental Manager for additional information on requirements for making the environmental document available to the public.

If no request is received to hold a hearing or the request is rescinded, the Resident Engineer will notify the District to continue with the project location and/or design approval. The District Location and Design Engineer then notifies the State Location and Design Engineer and all other appropriate Divisions by memorandum to proceed with the location and/or design approval for the project. After location and/or design approval has been obtained from the State Location and Design Engineer the Project Manager will notify the Division responsible for the financial programming of the project (Local Assistance Representative). The development of the project will proceed forward to right of way negotiations and acquisitions. If the project is federally funded, right of way approval cannot be obtained until the requirements of NEPA are satisfied.

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– for supporting info iPM, and consistency 30 Data PM Manual request 11/19/2008 and DPA including: narrative location posted11/19/2008 with for - 33.2 the - Description to the compliance reflects Environmental regulations DAY Law information) Project Notice Project PM-120 information iPMInterval Receive - Prepares (which consistent Plans, Document of Assures State federal Involvement Submits package processing 3/18/2008 PM 3/18/2008

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for on on a with Noise, for with and PCES, NEPA for map Public map NEPA Public/ Study, 120 comment for – for Data supporting reporter posted and iPM, supporting 60 posted info and 10/8/2008 consistency for secures impacts) 10/7/2008 Manual PM - Manual request Noise and - narrative location -graphics DPA Cultural, including: DPA and conduct with location graphics narrative Description Description 33.2 Hearing court 33.2 information 10/8/2008 and the to to compliance the a to compliance DAY regulations regulations/Public reflects Environmental Env, Law Law Construction, Project Advertisement Project PM-120 information iPM Project Wetland Public Project Advertisement Project PM-120 information iPM Project Questions sheet Receive Interval Interval for information) 3/10/2008 Gathers Plans, R/W, assures State federal Involvement (Historical, and Submits processing - - Prepares (which consistent Plans, Document of Assures State federal Involvement Identifies location Hearing Secures the Submits package processing 3/12/2008 3/11/2008 PM PM from:

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in public be Hearing to to Engineer requests Hearing data Local, Manual. Governments Public prior date) relevant public PI the to Affairs Brochure Engineer Notify days of per to and to Federal Manager Public 60 hearing Creates:

  • Public Affairs Development prior ADV available PM and hold District to DPA placement Project (request State, days Office Public Manager Coordinator Project Construction Affairs 30 and Rights process_02_08_19.vsd Central District Project Project District District Public Civil – – – request –
    • – – hearing ABBREVIATIONS COPA DPA PM PC DPDE DCE PA CR AW.Frazier publicSEC. 4.00 – EXCEPTIONS FROM THE PUBLIC HEARING PROCESS A Hearing process (Public Hearing or Notice of Willingness to Hold a Public Hearing) is not required for emergency projects, as well as those that are solely for highway maintenance, or operational improvements, or both, except when they:
  • Require the acquisition of right of way
  • Changes the layout or function of connecting roadways or of the facility being improved
  • Have an unfavorable effect upon abutting real property
  • Otherwise have a significant adverse social, economic, environmental or other effect, or for which FHWA determines that a public hearing is in the public interest Tier 1 Projects: Upon determination by the Project Manager that a project meets the criteria for Exceptions from the Public Hearing Process, a letter shall be drafted by the Project Manager for Approval by the District Engineer/Administrator (or designee). Upon Approval by the District Engineer/Administrator (or designee), the Project Manager shall secure Design Approval of the major design features of the project from the District Engineer/Administrator (or designee), notify the Project Team, and post the concurrence letter in the Project Documents section of IPM. The development of the project may then proceed to the next step in the project development process.

Tier 2 Projects: Upon determination by the Project Manager that a project meets the criteria for Exceptions from the Public Hearing Process, a letter shall be drafted by the Project Manager for concurrence in this determination by the District Engineer/Administrator (or designee). Upon concurrence by the District Engineer/Administrator (or designee), the letter shall be submitted to the appropriate Assistant State Location and Design Engineer for Approval. The appropriate Assistant State Location and Design Engineer will also grant Design Approval of the major design features of the project. Upon Design Approval the Project Manager shall notify the Project Team, and post the Approval letter in the Project Documents section of IPM. The development of the project may then proceed to the next step in the project development process.

Note: This process is similar to the Willingness Design Approval process.

SECTION 4 – Page 1 of 1 Revised 07/06/2018 original See and of network, facility. of ofBoard the the the to related to pavement efficient requirements a and functionality Road existing of them utilization County safe devices an the equipment of Rustic base the transportation restore General involvement the efficient other the or standard Rural Involvement improving promote and and to the a traffic-control Public as to Postings) functionality of through safe the PublicRECONSTRUCTION up such capacity 30-380-10 the devices significantly condition HEARING network of for or category. receipt new for of improve this project/road current the upon add in on 24VAC facility the Website. into (REQUIRED) § / replacement of flow installation necessary installation PUBLIC Willingness that fit VDOT assets and See Provisions requirements. significantly existing the are and by traffic (or or an projects Assistance as management. met designation design preserve removal PROJECTS LocalCONSTRUCTION, facility, Road to manage includes lanes been the the completely congestion CONSTRUCTION RECONSTRUCTION to This turn Rustic on taken planning,FOR existing have requesting taken and the to reconstruction—actions an Rural Guide includes replacing existing as and – traffic. This resolution Road of well of facility. EMERGENCY as management completely consideredPROCESS TYPE YES Rustic be existing AND Construction replace Reconstruction an will Supervisors Rural Maintenance—actions functionality. structure. Operations—action movement improvement highway incident Definitions: PROJECTINVOLVEMENT OPERATIONS real for hearing listedPUBLIC or EMERGENCY OPERATIONS MAINTENANCE social, public effect, aTHE abutting connecting improved scenarios way of that Postings)OF adverse other of upon the “yes”) being or MAINTENANCE, of right of to HEARING function effect go NO of one REQUIRED) or facility significant determines a paving the interest any Roads. above requirements layout of fits PUBLIC Willingness (NOT or have environmental FHWA for acquisition the unfavorable publicAPPLICATION HIGHWAY Project: an the (or 333 the – emergency the in projects Secondary Require Change roadways Have property Otherwise economic, which is 2019 25, 33.2 to Does (If § See relative unpaved February Monday,SECTION 5.00 – PUBLIC HEARING PROJECT APPROVAL SEC. 5.01 - LOCATION OR LOCATION AND DESIGN APPROVAL For projects on which a public hearing is held, the following procedure will apply: After study of the comments received from the public, environmental considerations, costs, design standards, and the evaluations of any studies completed as a result of the public involvement procedures, the transcript will be compiled. The transcript will be summarized and issues addressed.

See the Location or Location and Design Approval Process - Tier 1 and Tier 2 Flow Charts on the following pages.

  1. On Federal-aid projects, final approval is obtained when: a) For Location or Location and Design Hearings, FHWA approves the Draft Environmental Document, when the FHWA Division Administrator has received and accepted the public hearing transcripts, reports, and certifications required by Federal Codes. b) For Design Hearings on interstate projects, FHWA approves the major design features after receipt of the design study report, the hearing transcript, and the formal request for approval (certification acceptance procedures are followed for non-interstate projects). c) Project plans may be signed for right of way and utilities 15 days after the record of decision has been posted.

Section 5 – Page 1 of 2 SEC. 5.02 –DESIGN APPROVAL For projects with a public hearing or the posting of notice of willingness to hold hearing: Approval for projects on which Notice of Willingness procedures have been sufficient to satisfy the public involvement requirements, the following procedures will apply: See the Design Approval Process - Tier 1 and Tier 2 Flow Charts on the following pages.

  1. For state funded projects, approval is obtained when, all appropriate approving authorities (Structure and Bridge representative, Local Assistance representative, etc.) has reviewed and signed off on the project. This includes the Chief Engineer through his delegated representative.
  2. For federal-aid projects, final approval is obtained when: a) For Design Hearings, FHWA Division Administrator has received and accepted the certifications required by Federal Codes. When the steps outlined in EM NEPA 700 are met. b) For Notice of Willingness on interstate projects, FHWA approves the major design features after receipt of the design study report and the formal request for approval (certification acceptance procedures are followed for non-interstate projects).
  3. Project plans may be signed for Right of Way and Utilities 15 days after the record of decision has been posted.

Section 5 – Page 2 of 2 DESIGN APPROVAL PROCESS – TIER 1* (Public Hearing or Notice of Willingness)

Monday, November 8, 2021

(Schedule set for a 55 day process for Public Hearing and a 15 day process for Willingness Held with no Public Hearing Required)

DPDE - Provides recommendation to Assistant State L&D Engineer for approval of any change in limited access (See Road Design Manual, Ch.2E)

Assistant State L&D Engineer - Provides recommendation to State L&D Engineer for approval of any change in limited access (See Road Design Manual, Ch.2E)

After 10 Day comment period expires: State L&D Engineer -*Tier 1 projects – All maintenance schedules, Project Manager -  Reviews project Information SAAP s and NFO < $10M Construction Cost  Evaluates comments received and addresses  Provides recommendation to Chief Engineer for public s issues, suggestions, questions (in presenting any change in limited access (See Road writing, when requested) Design Manual, Ch.2E) to the CTB for approval  Completes public hearing compliance list Chief Engineer - Compiles the transcript to include: DPDE -  Reviews project information  Reviews Public Hearing package o Sign-in sheets  Provides concurrence recommendation to seek o Written and Oral comment sheets  Distributes to CTB Representative approval for any change in limited access (See for review and addresses comments Road Design Manual, Ch.2E) from the CTB and DPDE - o Petitions  Determines if Design approval provides to the State L&D Engineer o Project brochure and Location Map  Provides approval of the major package is in compliance State L&D Engineer - Process design features of the project to o Local Government resolution (s) or o If yes - Notify the appropriate  Provides approval to Assistant State L&D Engineer the PM Total Design position (s) (not legally required, District FHWA representative, if determines whether preferred to include) Assistant State L&D Engineer - applicable via e-mail that the Public Hearing Hearing o Compliance check list Approval Package is available in  Provides the project summary, decision brief, Project Manager - Process Time = iPM. See FHWA District resolution (after approval by GALA Office) and  Develops and Posts the following items in iPM : Representatives below. location map to:  Distributes approval notice to 115 Days Approval District and CO R/W, o If no - Send back to PM for o Commissioner s Administrative Assistant for o Transcript, Project summary, decision Environmental, Programming, Public (Typical) follow up work and re-submittal inclusion on the CTB s agenda for approval brief and CTB resolution for Design Local Assistance and Civil Rights approval  Submit project Design and/or any o DA for presentation to the CTB Manager o Letter requesting project approval change in limited access (See Road CTB -  Notifies affected local government Design Design Manual, Ch.2E) resolution  Confirms Scoping Letter and Environmental Clerk of the Court, Chairman of the and summary to GALA Office for  Approval or Denial of any change in limited access Documentation are posted in iPM. Board of Supervisors, Mayor or review, comments and approval (See Road Design Manual, Ch.2E) City Manager (as appropriate)  Seeks design concurrence from District L&D  Receives and incorporates Commissioner s Administrative Assistant -and/or S&B Engineer (s)  Notifies all interested citizens comments from GALA Office  Provides electronic copy of the approved  Submits public hearing package to District  Notifies DPA Manager resolution to State L&D Engineer and DA Project Development03/22/2008 -Engineer09/03/2008(DPDE) 11/14/2008 - 04/12/2009 06/22/2009 - 11/18/2009 02/04/2010 - 06/29/2010 Interval Description Interval Description Interval Description Interval Description

03/22/2008 - 09/03/2008 11 - 4 06/22/2009 - 11/18/2009 2 - 6 DESIGN APPROVAL Line DAY 11 - 30 DAY 30 - 40 DAY 40 - 46 DAY 46 - 55 PROCESS COMPLETE Compile & Submit Package Review Approval Approval Notification PROCEED TO R/W DAY 1 - 6 DAY 7 - 13 DAY 14 DAY 15 PHASE Time

01/01/2009 01/01/2010

Willingness expiresIntervalwithDescriptionno request to hold DPDE - Interval Description DPDE - Interval Description Project ManagerInterval- Description PH NO Public Hearing:03/22/2008 - 09/03/2008 11/14/2008 - 04/12/2009 06/22/2009 - 11/18/2009 02/04/2010 - 06/29/2010  Reviews willingness package  Provides approval for the major  Distributes approval notice to Project Manager - design features of the project to project team members and stake  Determines if Design approval  Compiles submission package including: the PM holders package is in compliance 2 Project Manager - 9 o Letter documenting no request  Notifies affected local government o If yes - Reviews package  Receives design approval from DA Clerk of the Court, Chairman of the o Location Map o If no - Send back to PM for designated responsible person Board of Supervisors, Mayor or o Local Government resolution (s) or follow up work and re-submittal City Manager (as appropriate) position (s) (not legally required, District  Notifies all interested citizens determines whether preferred to include) o Compliance check list  Notifies DPA Manager  Posts package in iPM and confirms Scoping Letter and Environmental Document are in order  Develops letter requesting project approval Total Design Design design concurrence from  Seeks District L & D Willingness Process Engineer and/or S & B Engineer (s)  Submits public hearing package to District Process Time = Project Development Engineer (DPDE) 45 Days (Typical)

Willingness expires when a request to hold a Approval Willingness Public Hearing is received: PH YES Project Manager - FHWA District Representatives ABBREVIATIONS  Meets with requestor to address project John Simkins: - Fredericksburg, Hampton DA – District Administrator concerns Roads, NOVA and Richmond DPA – District Public Affairs o If concerns are satisfied, citizen withdraws request in writing and project PM - Project Manager moves to the willingness approval Marisel Lopez-Cruz: - Bristol, Culpeper, process Lynchburg, Salem and Staunton, CTB - Commonwealth Transportation o If concerns cannot be satisfied, project Board moves to the Public Hearing request process GALA - Governance and Legislative Affairs DPDE - District Project Development Engineer

Gabe Djeudeu Design Approval Process T1 11/8/2021 Page 1 DESIGN APPROVAL PROCESS – TIER 2* (Public Hearing or Notice of Willingness)

Monday, November 8, 2021 (Schedule set for a 70 day process for Public Hearing and a 15 day process for Willingness Held with no Public Hearing Required)

DPDE - Assistant State L&D Engineer - Reviews Public Hearing package  Provides recommendation to State L&D  Distributes to CTB Representative for Engineer for approval of any change in limited access (See Road Design Manual, * Tier 2 projects – All FO, all NFO > $10M review and addresses comments Ch.2E) and all projects designated as Design Build  Recommends approval of Public Hearing State L&D Engineer - at the Scoping Stage package by signing the approval request letter  Reviews project Information After 10 Day comment period expires:  Provides Assistant State Location and  Provides recommendation to Chief Engineer Project Manager - Design Engineer with Design Approval for presenting any change in limited access package: (See Road Design Manual, Ch.2E) to the  Evaluates comments received and addresses CTB for approval public s issues, suggestions, questions (in o Transcript writing, when requested) Chief Engineer -o Compliance check list  Completes public hearing compliance list  Reviews project information o Letter requesting project approval  Compiles the transcript to include:  Provides concurrence recommendation to o Verification of compliance with State and o Sign-in sheets Federal laws seek approval for any change in limited access (See Road Design Manual, Ch.2E) o Written and Oral comment sheets Assistant State L&D Engineer - from the CTB and provides to the State L&D Engineer o Petitions  Determines if Design and/or any change in limited access (See Road Design State L&D Engineer - o Project brochure and Location Map Process Manual, Ch.2E) approval package is in  Provides approval to Assistant State L&D o Local Government resolution (s) or compliance Total Design Engineer Assistant State L&D Engineer - position (s) (not legally required, District Project Manager - o If yes - Notify the appropriate FHWA Public Hearing determines whether preferred to include) Assistant State L&D Engineer -  Provides recommendation to State representative, if applicable via e-mail Hearing o Compliance check list that the Approval Package is available L&D Engineer for approval of the  Receives design approval from Process Time =  Provides the project summary, decision major design feature of the project State L&D Engineer in iPM. See FHWA District brief, resolution (after approval by GALA and Posts the following items in  Develops 130 Days Representatives below. State L&D Engineer -  Distributes approval notice to DA, Office) and location map to: iPM : Approval District and CO R/W, o Transcript, Project summary, decision o If no - Send back to DA or Designee o Commissioner s Administrative Assistant for  Reviews project Information (Typical) Public Environmental, Programming, brief and CTB resolution for Design for follow up work and re-submittal inclusion on the CTB s agenda for approval  Provides recommendation to Chief Local Assistance, RA and Civil approval  Submit project Design and/or any change o DA for presentation to the CTB Engineer for approval of the major Rights Manager o Letter requesting project approval in limited access (See Road Design design feature of the project CTB -  Notifies affected local government Design Manual, Ch.2E) resolution and summary to  Confirms Scoping Letter and Environmental Chief Engineer - Clerk of the Court, Chairman of the GALA Office for review, comments and  Approval or Denial of any change in limited Documentation are posted in iPM. Board of Supervisors, Mayor or approval access (See Road Design Manual, Ch.2E)  Reviews project information  Seeks design concurrence from District L&D City Manager (as appropriate) and/or S&B Engineer (s)  Receives and incorporates comments Commissioner s Administrative Assistant -  Approves major design features of  Notifies all interested citizens from GALA Office  Provides electronic copy of the approved project and provides to the State  Submits public hearing package to District 03/22/2008 - 10/03/2008 09/21/2010DPA Manager- 03/02/2011 Project Development Engineer (DPDE)  Reviews11/14/2008project information- 05/12/2009 resolution06/27/2009to State L&D- 12/23/2009Engineer and DA L&D Engineer02/15/2010 - 08/09/2010  Notifies Interval Description Interval Description Interval Description Interval Description Interval Description

03/22/2008 - 10/03/2008 11 - 5 06/27/2009 - 12/23/2009 2 - 8 09/20/2010 - 03/02/2011 DESIGN APPROVAL DAY 11 - 30 DAY 30 - 35 DAY 35 - 45 DAY 45 - 60 DAY 61 - 70 Line PROCESS COMPLETE Compile & Submit Package Submit for Approval Review Approval Approval Notification PROCEED TO R/W DAY 1 - 5 DAY 7 - 10 DAY 10 – 14 DAY 15 PHASE Time

1/1/2009 1/1/2010 1/1/2011

Willingness expiresIntervalwithDescriptionno request to hold  DPDE - Interval Description Assistant StateIntervalL&DDescriptionEngineer - Project ManagerInterval- Description Public Hearing: 03/22/2008 - 10/03/2008 11/14/2008 - 05/12/2009 06/27/2009 - 12/23/2009 02/15/2010 - 08/09/2010 PH NO  Reviews willingness package  Determines if Design approval  Receives design approval from Project Manager -package is in compliance Assistant State L&D Engineer  Compiles submission package including:  Recommends approval of willingness package by signing the o If yes - Reviews package  Distributes approval notice to 2 o Letter documenting no request project team members and stake 4 approval request letter o If no - Send back to DA or holders o Location Map  Provides Assistant State Location Designee for follow up work and re-submittal  Notifies affected local government o Local Government resolution (s) or and Design Engineer with Design Clerk of the Court, Chairman of the position (s) (not legally required, District Approval package:  Provides approval for the major Board of Supervisors, Mayor or determines whether preferred to include) o Residency Administrator letter of no design features of the project to the City Manager (as appropriate) o Compliance check list request PM  Notifies all interested citizens Total Design  Posts package in iPM and confirms Scoping o Compliance check list Design Letter and Environmental Document are in  Notifies DPA Manager Willingness o Letter requesting project approval Process order o Verification of compliance with State Process Time =  Develops letter requesting project approval and Federal laws 45 Days (Typical)  Seeks design concurrence from District L&D and/or S&B Engineer (s)  Submits public hearing package to District Project Development Engineer (DPDE) Approval Willingness

Willingness expires when a request to hold a PH YES ABBREVIATIONS Public Hearing is received: FHWA District Representatives Project Manager - DA – District Administrator John Simkins: - Fredericksburg, Hampton  Meets with requestor to address project DPA – District Public Affairs Roads, NOVA and Richmond concerns PM - Project Manager o If concerns are satisfied, citizen Marisel Lopez-Cruz: - Bristol, Culpeper, withdraws request in writing and project CTB - Commonwealth Transportation moves to the willingness approval Lynchburg, Salem and Staunton, Board process o If concerns cannot be satisfied, project GALA - Governance and Legislative Affairs moves to the Public Hearing request process DPDE - District Project Development Engineer

Gabe Djeudeu Page 1 Design Approval Process T2 11/8/2021 LOCATION & DESIGN APPROVAL PROCESS – TIER 1* (Public Hearing Only)

Monday, November 8, 2021 (Schedule set for a 70 day process for Public Hearing and a 45 day process for Willingness Held with no Public Hearing Required)

State L&D Engineer - Reviews project Information  Provides recommendation to Chief *Tier 1 projects – All maintenance schedules, Engineer for presenting the project SAAP s and NFO < $10M Construction Cost location and any change in limited access (See Road Design Manual, After 10 Day comment period expires: Ch.2E) to the CTB for approval Project Manager - Chief Engineer - Evaluates comments received &  Reviews project information addresses public s issues, suggestions, questions (in writing, when requested)  Provides concurrence Assistant State L&D Engineer - recommendation to seek approval for  Completes public hearing compliance the location and any change in limited list  Determines if Location & access (See Road Design Manual, Design approval package is in  Compiles the transcript to include: Ch.2E) of the project from the CTB to compliance the State L&D Engineer o District recommendation letter o If yes - Notify the Process State L&D Engineer - o Sign-in sheets DPDE - appropriate FHWA representative, if applicable  Submits approval to Assistant State o Written and Oral comment sheets  Reviews Public Hearing package via e-mail that the Approval Location and Design Engineer o Petitions  Distributes to CTB Package is available in iPM. Assistant State L&D Engineer - See FHWA District o Project brochure and Location Map Representative for review and Total Location Representatives below.  Provides the project summary, addresses comments decision brief, resolution (after Public Hearing Approval o Local Government resolution (s) or o If no - Send back to DA or Hearing position (s) (not legally required,  Recommends approval of Public approval by GALA Office) and location Designee for follow up DPDE - District determines whether Hearing package by signing the map to: Process Time = work and re-submittal preferred to include) approval request letter  Approves major design features o Commissioner s Administrative 130 Days  Develops and Posts the following items  Provides Assistant State Location  Submit project location Assistant for inclusion on the CTB s of the project and provides to and summary to in iPM : and Design Engineer with resolution agenda for approval the PM (Typical) Public Design GALA Office for review, PM - o Transcript, Project summary, Location & Design Approval comment and approval o State L&D Engineer for presentation & decision brief and CTB resolution package: to the CTB  Distributes approval notice to for Location & Design approval o Transcript  Receives and incorporates CTB - project team members and o Letter requesting project approval comments from GALA Office stake holders o Compliance check list  Approval or Denial of project location  Reviews project information  Confirms Scoping Letter and and any change in limited access (See  Notifies affected local o Letter requesting project Environmental Documentation are approval  Provides recommendation to Road Design Manual, Ch.2E) government Clerk of the Court, posted in iPM. Chairman of the Board of Location State L&D Engineer for Commissioner s Administrative Assistant - o Verification of compliance with  Seeks design concurrence from District approval of the project location Supervisors, Mayor or City State and Federal laws L&D and/or S&B Engineer (s) and any change in limited Provides electronic copy of the approved Manager (as appropriate) o Project summary, decision brief, access (See Road Design project location resolution to State L&D  Notifies all interested citizens  Submits public hearing package to CTB resolution for location Engineer and DA District Project Development Engineer Manual, Ch.2E) 03/22/2008 - 10/03/2008 11/13/2008approval and- 05/11/2009location map 06/22/2009 - 12/18/2009 02/04/2010 - 07/29/2010  Notifies09/21/2010DPA Manager- 03/02/2011 (DPDE) Interval Description Interval Description Interval Description Interval Description Interval Description

03/22/2008 - 10/03/2008 11 - 5 06/22/2009 - 12/18/2009 2 - 7 09/20/2010 - 03/02/2011 DAY 30 - 35 DAY 35 - 45 DAY 45 - 60 DAY 61 - 70 LOCATION & DESIGN Line DAY 11 - 30 APPROVAL PROCESS Compile & Submit Package Submit for Approval Review Approval Approval Notification COMPLETE Time

1/1/2009 1/1/2010 1/1/2011 ABBREVIATIONS FHWA District Representatives DA – District Administrator John Simkins: - Fredericksburg, Hampton DPA – District Public Affairs Roads, NOVA and Richmond PROCEED TO PM - Project Manager 2 4 RIGHT OF WAY PHASE Marisel Lopez-Cruz: - Bristol, Culpeper, CTB - Commonwealth Transportation Lynchburg, Salem and Staunton, Board

GALA - Governance and Legislative Affairs

DPDE - District Project Development Engineer

Gabe Djeudeu Location and Design Approval Process T1 11/8/2021 Page 1 LOCATION & DESIGN APPROVAL PROCESS – TIER 2* (Public Hearing Only)

Monday, November 8, 2021 (Schedule set for a 70 day process for Public Hearing and a 45 day process for Willingness Held with no Public Hearing Required)

State L&D Engineer - Reviews project Information * Tier 2 projects – All FO, all NFO > $10M  Provides recommendation to Chief Engineer for presenting the project and all projects designated as Design Build location and any change in limited at the Scoping Stage access (See Road Design Manual, Ch.2E) to the CTB for approval After 10 Day comment period expires: Chief Engineer -Project Manager - Reviews project information  Evaluates comments received & addresses public s issues, suggestions,  Provides concurrence questions (in writing, when requested) recommendation to seek approval  Completes public hearing compliance Assistant State L&D Engineer - for the location of the project and list any change in limited access (See  Determines if Location & Design Assistant State L&D Engineer - Road Design Manual, Ch.2E) from  Compiles the transcript to include: approval package is in the CTB and provides to the State  Provides recommendation to State compliance o District recommendation letter L&D Engineer L&D Engineer for approval of the Process o If yes - Notify the State L&D Engineer - major design features of the o Sign-in sheets DPDE - appropriate FHWA project o Written and Oral comment sheets representative, if applicable  Provides approval to Assistant State  Reviews Public Hearing package State L&D Engineer - via e-mail that the Approval L&D Engineer o Petitions  Distributes to CTB Package is available in iPM. Assistant State L&D Engineer -  Provides recommendation to Chief Total Location o Project brochure and Location Map Representative for review and See FHWA District Engineer for approval of the major addresses comments Representatives below.  Provides the project summary, design features of the project Approval o Local Government resolution (s) or Public Hearing decision brief, resolution (after Hearing position (s) (not legally required,  Recommends approval of Public o If no - Send back to DA or Chief Engineer - approval by GALA Office) and District determines whether Hearing package by signing the Designee for follow up work Process Time = location map to:  Approves major design features of preferred to include) approval request letter and re-submittal o Commissioner s Administrative the project and provides to the 130 Days  Develops and Posts the following items  Provides Assistant State  Submit project location resolution Assistant for inclusion on the CTB s State L&D Engineer in iPM : (Typical) Public Design Location and Design Engineer and summary to GALA Office for agenda for approval PM -o Transcript, Project summary, with Location & Design Approval review, comment and approval & o DA for presentation to the CTB decision brief and CTB resolution package:  Receives Location & Design for Location & Design approval  Receives and incorporates CTB - approval from State L&D Engineer o Transcript comments from GALA Office o Letter requesting project approval and distributes notice to project  Approval or Denial of the project o Compliance check list  Reviews project information team members and stake holders  Confirms Scoping Letter and location and any change in limited Environmental Documentation are o Letter requesting project  Provides recommendation to access (See Road Design Manual,  Notifies affected local government posted in iPM. approval State L&D Engineer for approval Ch.2E) Clerk of the Court, Chairman of the Location  Seeks design concurrence from District o Verification of compliance with of the project location and any Commissioner s Administrative Board of Supervisors, Mayor or change in limited access (See Assistant - City Manager (as appropriate) L&D and/or S&B Engineer (s) State and Federal laws Road Design Manual, Ch.2E)  Notifies all interested citizens  Submits public hearing package to o Project summary, decision brief,  Provides electronic copy of the CTB resolution for location District Project Development Engineer 11/10/2008 - 05/08/2009 06/22/2009 - 12/18/2009 approved02/04/2010resolution- 07/29/2010to State L&D  Notifies09/21/2010DPA Manager- 03/02/2011 03/22/2008 - 10/03/2008 (DPDE) approval and location map Engineer and DA Interval Description Interval Description Interval Description Interval Description Interval Description

03/22/2008 - 10/03/2008 11 - 5 06/22/2009 - 12/18/2009 2 - 7 09/20/2010 - 03/02/2011 DAY 30 - 35 DAY 35 - 45 DAY 45 - 60 DAY 61 - 70 LOCATION & DESIGN Line DAY 11 - 30 APPROVAL PROCESS Compile & Submit Package Submit for Approval Review Approval Approval Notification Time COMPLETE

1/1/2009 1/1/2010 1/1/2011 ABBREVIATIONS DA - District Administrator FHWA District Representatives DPA - District Public Affairs John Simkins: - Fredericksburg, Hampton PROCEED TO Roads, NOVA and Richmond PM - Project Manager 2 4 RIGHT OF WAY PHASE CTB - Commonwealth Transportation Marisel Lopez-Cruz: - Bristol, Culpeper, Board Lynchburg, Salem and Staunton, GALA - Governance and Legislative Affairs

DPDE - District Project Development Engineer

Gabe Dj eudeu

Location and Design Approval process 11/8/2021 Page 1 LOCATION APPROVAL PROCESS (Public Hearing Only)

Monday, November 8, 2021

(Schedule set for a 70 day process for Public Hearing)

After 10 Day comment period expires: Location Study Project Manager - Note: Location & Design Project Manager is responsible for developing the Location Approval Package when No Environmental Document is prepared and Central Office Location & Design will present the Location Approval Package to the CTB for action.  Evaluates comments received & addresses public s issues, suggestions, questions (in writing, when requested) Location Study Project Manager - Compiles the transcript to include: Environmental Division Administrator - Attends CTB Meeting to support o Recommendation letter  Reviews project information & the Chief of Policy during transcript including: o Sign-in sheets presentation to the Board o Comments received Chief of Policy - o Written and Oral comment sheets Environmental Division Administrator -o Environmental impacts  Presents the Department s o Petitions  Notifies Location Study Project location recommendation to CTB o Purpose & need o Project brochure and Location Manager of Chief of Policy and Total Location CTB - Commissioner s decisions on Location Map o Study Team s recommendation approval of project location.  Approval or Denial Public Hearing o Local Government resolution (s) Process  Prepares recommendation and or position (s) (not legally Location Study Project Manager – Commissioner s Administrative Process Time = submits to Chief of Policy required, District determines  Prepares CTB Decision Brief for Assistant - -OR- 130 Days whether preferred to include) review by the Chief of Policy and  Provides electronic copy of the Hearing  Posts transcript in iPM and confirms  Provides project information and the Environmental Administrator approved resolution to (Typical) no recommendation to Chief of Scoping Letter and Environmental Location Study Project Manager -  Prepares CTB Resolution and Environmental Administrator and Documentation are posted Policy DA submits to GALA Office for review, Approval  Prepares study team meeting  Notifies project study team members Chief of Policy – comment & approval Location Study Project Manager – summary, including (L&D, TMPD, Programming, Local Public recommendation to be provided  Reviews recommendation and  Receives and Incorporates  Receives approval & distributes Assistance for urban projects, S&B to Environmental Administrator, upon agreement, will submit comments from GALA Office notice to project team members & for bridge projects & District) that Chief of Policy and the CTB recommendation to the stake holders transcript is available for their review Commissioner  Provides project information and in iPM  Submits location study no recommendation to Chief of  Notifies affected local government recommendation package to -OR- Policy Clerk of the Court, Chairman of  Meets with study team to provide Environmental Administrator for  Reviews the project information the Board of Supervisors, Mayor them an opportunity to comment on review and approval and disagrees or City Manager (as appropriate) the location for consideration by 3/22/2008 - 10/3/2008 11/10/2008 - 5/8/2009 6/22/2009 - 12/18/2009 2/4/2010 - 7/29/2010 9/20/2010 - 3/2/2011 Environmental Administrator Interval Description Interval Description Interval Description Interval Description Interval Description

3/22/2008 - 10/3/2008 11 - 5 6/22/2009 - 12/18/2009 2 - 7 9/20/2010 - 3/2/2011 DAY 11 - 30 DAY 30 - 35 DAY 35 - 45 DAY 45 - 60 DAY 61 - 70 LOCATION Line APPROVAL PROCESS Compile & Submit Package Submit for Approval Review Approval Approval Notification COMPLETE Time

1/1/2009 1/1/2010 1/1/2011

PROCEED TO

2 4 DESIGN PHASE

ABBREVIATIONS

DA - District Administrator

DPA - District Public Affairs

PM - Project Manger

CTB - Commonwealth Transportation Board GALA - Governance and Legislative Affairs Page 1

Gabe Djeudeu Location Approval Process 11/8/2021SECTION 6.00 – REHEARING SEC. 6.01 REHEARING CRITERIA Criteria for rehearing projects;

Substantial amount of time has passed regardless of funding If a substantial amount of time (three years or more) passes before the appropriate location, design, or location and design approval is obtained, the Environmental Manager must review the adequacy of the previously prepared document and a review of the project is made. If there are significant changes in the population of the area, the land use regulations or impacts to environmental conditions of the project, the hearing requirements shall be fulfilled again.

Federal-Aid Projects If determined by FHWA (Federal-aid projects) or the State Location and Design Engineer to be in the public interest, a new hearing is held or willingness provided to consider supplemental information relative to proposals presented at previous hearings or new alternatives to previous proposals. If a Location Hearing was held, a new Location Hearing may be combined with a Design Hearing whether or not a Design Hearing has been previously held. The result of a new hearing is considered, and a new location and/or design approval is processed.

State Funded Projects For State funded projects, if a substantial amount of time (three years or more) passes before the next major step (acquisition of right of way) in the project development process has begun, a Public Meeting may be held to provide the public with updated information about location, design, or location and design. If there are significant changes in the impacts or environmental conditions of the project, the hearing requirements must be fulfilled again.

SECTION 7.00 –MUNICIPALITY CONDUCTED PUBLIC HEARING GUIDANCE for inclusion in the SIX YEAR

IMPROVEMENT PROGRAM

SEC. 7.01 – PURPOSE This policy statement ensures that new projects to be included in the Six Year Improvement Program (SYIP) meet federal and state laws relevant to public involvement. This statement also confirms the policy of the Virginia Department of Transportation (VDOT) to consider public input in all projects before inclusion in the SYIP.

This policy is in accordance with Federal Regulation 23 CFR §77; 23 CFR §450.212 and Section §33.2-208 of the Highway Laws of Virginia.

SEC. 7.02 – DEFINITION OF PUBLIC HEARING The policies and procedures explained here are intended to give full opportunity for participation by the public before a new project is included in VDOT’s SYIP. The conduct of a Public Hearing provides an opportunity for citizens to gather information, review proposals and provide comment on city/town proposals before they are included in the SYIP.

SEC. 7.03 - NON-DISCRIMINATION The Code of Virginia §51.5-40 (Appendix B) prohibits discrimination on the basis of disability in state assisted programs and activities.

Effective October 1, 1991, VR §602-01-2 (Appendix B) further specified that no qualified person with a disability shall on the basis of that disability be excluded from participation in, be denied the benefits of, or otherwise subject to discrimination under any program or activity which receives or benefits from state financial assistance or under any program or activity conducted by or on behalf of any state agency. It further states, no qualified person with a disability shall, because a program or activity facilities are inaccessible, be excluded from participation in public hearings or public communications of any programs or activities governed by these regulations.

To comply such programs and activities shall: Take appropriate steps to ensure that public hearings are held at facilities that provide accessibility to persons with a disability.

SECTION 7 – Page 1 of 5 Take the appropriate steps to ensure that notice of public hearings are made available to individuals with impaired vision and hearing through means such as telecommunications devices, braille or typed material (open captioned) televised information, qualified sign language interpreters, other material or media.

Any program or activity governed by the regulations shall administer programs and activities in the most integrated setting feasible to meet the needs of qualified persons with a disability.

To further ensure compliance with the act, all public notices will state: Individuals requiring special assistance to participate in the meeting should contact, title and phone number of responsible person.

Municipality ensures nondiscrimination in all programs and activities in accordance with Title VI of the Civil Rights Act of 1964. For information call, phone number of responsible person.

Whenever possible, meetings will be held in public buildings where persons using wheelchairs, walkers, crutches or canes can attend. If a person with a mobility disability notifies the city/town of his/her desire to attend the meeting, and it has been scheduled to be held in a building that was not readily accessible, either the meeting site should be changed, arrangements made to accommodate the individual, or arrangements made to bring information to the interested person and receive his/her testimony.

In a formal hearing setting, wireless microphones should be provided for use by persons who cannot easily get to the speakers microphone. An audiotape (reading of project information and comments) of the meeting can be made available for persons who could not attend the meeting. When necessary, arrangements will be made to go to a citizen to receive his/her testimony for inclusion in the hearing record.

The Department of Deaf and Hard of Hearing has a statewide listing of persons qualified as signers. These persons can be hired to attend meetings when necessary and interpret for persons with hearing disabilities.

SECTION 7 – Page 2 of 5 SEC. 7.04 - PUBLIC HEARING NOTIFICATION To ensure compliance with state and federal regulations, and maintain uniformity in the handling of public hearings, the following steps are necessary to schedule the hearing.

The notification of the public hearing should include the following

  • Date, time, and place of meeting and informal plan review (if appropriate)
  • Description of the new projects that are proposed
  • Statement of opportunity for public comment period at meeting
  • Project identification information (Municipality tracking number)
  • Procedure for submitting written statements
  • Other statements concerning special arrangements for meeting (example: speak registration, speaker time limits, etc.) when necessary
  • Non-Discrimination notification and the procedure for individuals requiring special assistance to attend and participate in the meeting.
  • If desired, the municipality can submit a draft Public Hearing Notice to the Local Assistance Division (LAD) for review and comment prior to publication. Please allow 2 weeks.

The Public Hearing Notice should be published at least twice in newspapers having general circulation in the vicinity of the project. The notice should also be published in any newspaper having a substantial circulation in the area concerned, such as foreign language, local community, or minority-based newspapers.

SECTION 7 – Page 3 of 5 The first notice should appear 30 days prior to the hearing with the second notice appearing from 5 to 12 days before the hearing. Care should be taken to identify low-income or minority populations located in the project areas, and an extra effort should be made to ensure that these populations are informed of and have access to public involvement opportunities.

The Clerk of the Court should post a copy of the project notification and area map on the public notices board at each of the city/town buildings; post offices and other public places and buildings in the vicinity of the projects thirty days prior to the hearing.

Copies of the public notification should be sent to the appropriate Heads of Local Civic and Citizen Associations; Superintendent of Local Schools;

President of Local Parent Teacher Associations, and other officials as deemed appropriate.

SEC. 7.05 – CONDUCT OF THE PUBLIC HEARING The formal or open forum public hearing provides an opportunity to advise and educate the citizens relative to the need for the additional projects.

The presentation material for either style of hearing should include the locations of the new projects, the existing conditions (photo or description), plus any other information deemed appropriate. Provisions should be made to accept written statements and other exhibits in place of, or in addition to, oral statements made for the record.

The meeting room should be of a size to allow for the gathering of all citizens to gather the information simultaneously for the traditional hearing and for the comfort of individuals for the open forum hearing. Staffing should consist of sufficient personnel from the various disciplines to adequately answer the citizens' questions.

SEC. 7.06 – TRADITIONAL STYLE PUBLIC HEARING OR AS PART

OF CITY/TOWN COUNCIL MEETING For a traditional hearing the information about the new projects would be provided in a verbal format and in a visual format usually from a podium. A video presentation provides an excellent way to convey the relevant information to the public.

SECTION 7 – Page 4 of 5 SEC. 7.07 – OPEN FORUM STYLE PUBLIC HEARING An open forum public hearing (open house) encourages one-on-one discussions in an informal setting, the information about the new projects would be provided in a written format. The process is highly interactive with technical people presenting and fielding questions from individual citizens or interested groups.

SEC. 7.08 – TRANSCRIPT OF PROCEEDINGS A transcription of the verbal and written comments relevant to the new proposals, copies of the public notices and copies of the data provided to the citizens, should be submitted along with the municipality’s Project Programming Resolution to LAD for inclusion in VDOT’s SYIP.

SECTION 7 – Page 5 of 5

APPENDIX A

GUIDANCE FOR THE PUBLIC HEARING HANDOUT

A public hearing handout should contain sufficient information to provide a clear, understandable explanation of the project. Handouts should be prepared with the understanding that many are distributed prior to the hearing and are read by people who may not attend the hearing.

Contents should include

  1. Date, time and location of hearing, and plan review.

  2. Project numbers and description.

  3. Length of project.

  4. Type of hearing (location, design, location and design).

  5. Contact person and location of additional information.

  6. Contact person for right of way information and relocation assistance.

  7. Statement concerning any special arrangements for conduct of hearing (reserved speaker times, time limits, etc.).

  8. Non-discrimination notification statement. (Added 05/31/2002)

  9. Procedure for submitting written statements and exhibits for the hearing record. a) For Interstate, Primary, and Arterial projects, all comments oral and written will be returned to the District Administrator. A printed postage paid comment sheet will be provided on all projects. b) For Secondary projects all comments oral and written will be returned to the Resident Engineer. A printed postage paid comment sheet will be provided on all projects.

  10. Map or maps as necessary for explaining project.

  11. Project history (need for project, consistency with area planning, previous meetings, existing road system and problems, etc.).

  12. Description of project, location and design features.

  13. Explanation of special construction details (detours, maintenance of traffic, etc.).

A - 114. Description of alternatives studied (not in detail unless viable).

  1. If appropriate, a statement that an environmental document has been prepared and is available for review.

  2. If appropriate, a summary of environmental impacts and mitigation measures (this may consist of a statement that there are no significant impacts).

  3. A statement on flood plain involvement (if involved, try to explain briefly).

  4. A statement on number of families, etc., to be displaced.

  5. Cost figures and funding responsibilities.

  6. Discussion on remaining actions necessary and schedule for right of way acquisition and construction activities.

  7. A statement on maintenance responsibilities after completion.

  8. A statement that all information, including the transcript, will be available for review and copying and the location where it will be available.

  9. If a federal-aid project, explain federal-state relationship.

Example Statement for Federal-aid Project

The Federal Highway Administration must approve the need for the proposed highway improvement, as well as the environmental document, plans, specifications, cost estimates, right of way acquisitions, and construction procedures.

This federal participation in the decision-making process provides an additional check to assure that federal, state, and local goals and objectives are met and that opportunity for public participation is provided. Federal and state regulations require that a wide range of factors and impacts are considered and that the final decisions are made in the best overall public interest.

A - 2 APPENDIX A

GUIDANCE FOR TRADITIONAL PUBLIC HEARING PRESENTATION

A public hearing presentation by VDOT should last no longer than 25 minutes. There are usually three VDOT representatives (moderator, engineer, right of way and utilities) giving presentations. Special presentations may be made when necessary (environmental landscaping, traffic, etc). All presentations should be coordinated to avoid repetition or leaving out necessary data.

While the moderator and right of way and utilities presentations are generally the same format for each hearing, care should be taken to assure that all items are consistent with a particular hearing and project.

The moderator generally covers

  • The call to order and introduction.
  • The project description and type of hearing.
  • Introduction of local officials (if the officials desire to be introduced).
  • Explanations of conduct of the meeting with special care to adjust to specific attendance and speaker registration procedures.
  • Statement concerning submission of written comments and preparation of transcription.
  • Availability of information (including transcript) in the future.
  • Remaining actions prior to final approval of the project.
  • Any project related data he/she feels should be a part of the general comments.
  • Introduction of speakers including making sure all persons wanting to speak are accommodated (even if they did not pre-register).
  • Maintain control of a meeting, including setting time limits if necessary and obtaining clear statements of name, address, and comments regarding the project.
  • Closing the meeting.

The Engineering Presentation An engineering presentation should contain the same basic engineering information contained in the handout. It should be more general in content because the listeners do not have an opportunity to study maps and digest the information, as they would while reading a booklet. If there will be no special environmental presentation, the engineering should cover the environmental impacts and studies and should indicate availability of the environmental document if a Federal-aid project is being presented (coordination with the environmental section is necessary).

Slides or other special display materials should be used at all public hearings.

A - 3The Right of Way and Utilities Presentation VDOT's Right of Way and Utilities Division in the Central Office keeps current an example of a complete right of way presentation. Each presenter should adjust this presentation to meet his or her own speaking tone and style, as well as adjusting it to meet the requirements of a specific project. A Right of Way and Utilities representative will be available to discuss acquisition and relocation procedures after the formal presentation.

There is a slide presentation available to accompany this speech that should be used at all public hearings.

A - 4 APPENDIX A

GUIDANCE ON ITEMS TO CHECK WHEN SETTING UP

AND CONDUCTING PUBLIC MEETINGS

MAKING THE ARRANGMENTS – The District Administrator or his appointed representative is responsible for making all arrangements for and conducting the hearing. Careful thought should be given to the details of any public hearing, from making arrangements for a meeting time and place to final submission of transcripts. Responses to public comments and recommendations on project action should be carefully considered to indicate a willingness to respond to concerned citizenry input.

As a general rule, all public hearings will be held at night. Exceptions to this rule will be considered if there is good reason to believe that a day hearing will best serve the interests of local citizens.

PROJECT INFORMATION AVALIABLE FOR REVIEW -Maps, drawings, and other information must be available for public inspection and copying in appropriate local highway offices, city and county offices, and public libraries as the need may dictate when the hearing advertised (30 days prior to meeting date) or willingness to conduct a hearing is advertised (15 days prior to expiration date). The information shall include a Location, Location and Design, or Design Study Report which will be made available to the public as interest is shown and distributed to all who attend the public hearing. The information for review and copying shall include, among other items, the Environmental Impact Statement (including Section 4(f) statement when applicable) or environmental assessment on all Federal Aid projects.

MEETING WITH LOCAL CITIZENS BEFORE HEARING -On all projects in urban areas or other areas of unusual public interest, at least one meeting should be scheduled before the public hearing to informally review the project with local citizens and answer questions.

The District Administrator should notify all local civic and citizens' associations advising them of scheduled public hearings in their area. The District Administrator or VDOT engineers should arrange to meet with organizations that have a strong interest in the project, at their invitation, to informally discuss the proposed project prior to the scheduled hearing.

ADDITIONAL/ALTERNATIVE ADVERTISEMENT OF MEETINGS -Advantage should be taken of any available opportunity for public service spot announcements on radio and TV just prior to the public hearings. This opportunity should be used to encourage people to attend the hearing who have interest in the traffic service of the road, as well as those who may live adjacent to the project.

A - 5REGISTRATION -OPEN FORUM HEARINGS - Registration cards or sheets, which will provide as a minimum, the person's name, mailing address, will be provided to all who attend a public hearing.

FORMAL HEARINGS - Registration cards or sheets, should include as a minimum, the person's name, mailing address, an area to indicate if a Citizen wishes to speak. These cards should be turned in to the moderator.

PUBLIC TESTIMONY – OPEN FORUM HEARINGS – A Verbatim Reporter should be available to receive public comment and should be placed in a location easily seen by those attending the meeting. An employee may take verbal comments via a tape recorder if it is deemed to be more physically responsible for small projects. However the recorder should never be left unattended.

FORMAL HEARINGS - Microphones for receiving public testimony should be conveniently placed near the front. Wireless microphones should be available for those individuals who cannot easily get to the speakers microphone. Arrangements should never be in a way that would intimidate the public. Arrangements should also be such that participants from the audience address the hearing officer rather than the audience.

Some ways of avoiding problems are

  • Make your best estimate of expected attendance, then prepare for twice that number (size of facility, number of handouts, number of Department representatives, number and type of displays, length of time needed for plan reviews, type of attendance and speaker registration to be used, etc.).

  • Check for other activities scheduled for the same time at or near the facility as they would relate to noise, parking, and crowd control (basketball, baseball, football, bingo, classes, band practice, etc.).

  • Make sure that the facility will have air conditioning or heating (whichever is necessary).

Some newer buildings have computer systems that cut off systems after normal hours and facility managers are unable (or reluctant) to change the system. Also, check to see if the building must be emptied at a certain time.

A - 6• Check with the facility manager prior (one to two days) to any meeting to assure that the necessary people will be available to unlock the building, set up tables and chairs, indicate light switches, etc..

  • Check parking area to make sure that all prime spaces are not filled with state vehicles, particularly if spaces close to the entrance are limited.

  • Check to see if signs will be necessary to direct the public to the meeting area.

  • Check with the representatives to assure they are prepared, that they know what time to arrive, that presentations have been coordinated and practiced, and that all displays and equipment will arrive on time. Representatives should be present from the engineering, environmental, right of way and utilities sections for most projects. Specialists may be requested to participate whenever necessary, and may include highway and traffic safety, transportation planning, landscaping, noise, water quality, bridge, drainage, etc., sections.

  • If special displays are to be used, those representatives using them should set them up and review prior to the start of any meeting.

  • Set up displays and registration material in as wide an area as is practical to spread the people out, avoiding confusion and a crowded appearance.

  • Have pre-addressed comment sheets or envelopes available for submittal of written comments after the meeting.

  • If practical, provide handouts, registration material, and displays outside the formal meeting room. This allows conversations with late arrivals without disrupting the meeting.

Assistance may be obtained from the Public Involvement Section of the Location and Design Division. Different registration and hearing formats may be desirable in certain cases and may be discussed with this section. Additional display equipment, directional signs, informational signs, and personnel may be obtained through this section.

A - 7 APPENDIX A

GENERAL GUIDELINES FOR PLANNING MEETINGS

  1. PUBLICITY/PROMOTION/NOTIFYING notices - to whom letters of invitation directions to meeting place phone calls news releases contact with the media copies of speeches copies of meeting plan pictures/photographs bulletin boards personal contacts

  2. AGENDA AND RESOURCE MATERIALS copies of agenda contact people on the agenda materials needed (e.g., reprints) committee reports previous agreement and time commitments

  3. RESPONSIBILITIES BEFORE THE MEETING leadership assignments documentation or recording assignments resource persons observers "hosting" roles making reports trying out equipment test whether charts and posters are readable test electrical outlets preview films for timing and content

A - 84. SPACE CHECK size and shape of space room (when, how) electrical outlets mike outlets engineering, where to be reached acoustics doors, bathrooms, and stairs ( handicap accessibility) elevators heat/cold regulation/ventilation parking facilities (number and access) registration area/location transportation, access to facility (by buses) room set up arrangements access to meeting name of custodian telephone access exhibit space wall space for displays, etc. emotional impact (color, aesthetics)

  1. EQUIPMENT FOR MEETING tables (number, size, shape) chairs (comfort, number) microphones audio tape recorder audio tape cassettes video tape recorder video tape cassettes extension cords overhead projector chalkboard, chalk, eraser bulletin boards projection table (s) flannel board easels (number) slide projector, screen, platform camera, film transparencies & appropriate pens & grease pencils TV and VCR

A - 96. MATERIALS AND SUPPLIES FOR THE MEETING name tags pamphlets small tip felt pens, display materials large tip felt pens decorations masking tape posters paper clips instruction sheets pins/thumb tacks directional signs (to meeting) scissors, stapler, glue note pads pencils visual aids plans/mosaic renderings/photographs copies of study reports copies of environmental document

  1. JUST BEFORE THE MEETING seating arrangements extra chairs extra tables P.A. system checkout equipment (easels, screens, etc.) materials (paper, pens, etc.) ash trays thermostat opening and closing of windows registration set-up check that charts, boards, screens can be seen from everywhere agendas available other materials available: handouts, name tags, tables (number) and audio-visual equipment ready

A - 108. AT THE MEETING meeting, greeting, seating of participants and guests documentation - recording evaluation activity handing out materials operation of equipment process, review, stop sessions, etc. announcements

  1. END OF MEETING AND AFTER hold post meeting debriefing (what everyone gathered from comments from the meeting) collect unused materials return borrowed equipment clean up thank helpers read and analyze feed-back, prepare feedback and mail follow-up materials to remind people of their commitments (telephone and written)

A - 11 APPRENDIX A Compliance for Public Hearing (provide supporting documentation if available)

State Project #: Federal Project #: County

UPC: From: To

Public Notification of Hearing -

1. Public Notice content

a. Date, time, place and type of meeting

b. Description of project (iPM)

c. Statement of tentative schedules

d. Statement of right-of-way relocation and assistance information

e. Statement of opportunity for written and oral comment

f. Procedure for submitting written statements (10-day comment period)

g. Project identification information

h. Availability of project material (plans, brochure, and environmental

documentation)

i. Non-Discrimination notification with working phone number for public inquiries

  1. Certification of publication in newspapers (Copy of Advertisement from Daily

Newspaper)

a. 30 days ahead

b. Second posting within 15 days of project

3. Notification of Local, State and Federal officials

a. Clerk of Court or Town/City Clerk

b. Other Local Officials

c. FHWA

d. Other State Agencies

A - 12 Rev. 01-22-104. Public Notification

a. Letters to adjacent property owners

b. Highway signs on termini of project

c. Posting in local businesses and public facilities

d. Notification of special interest groups

  1. Data available to Public 30 days prior –

1. Public Hearing plans in

a. Residency

b. District

c. City or Town

d. Central Office

e. Public Hearing plans .tiff (post on iPM)

  1. Environmental

a. Copies of environmental document

b. Noise Wall information

  1. Brochure or information to support project

a. Title VI

b. Project description

c. Traffic data

d. Environmental data

e. Right of way impacts

f. Tentative schedule

g. Procedures for submission of comments

h. Availability of public hearing comments to public

A - 13 Rev. 01-22-10 4. Comment Sheet

a. Project identification information

b. Comment period information

  1. Plans in place, residency, district, falcon, city, town etc.

6. Conduct of meeting

1. Project information

a. Plans

b. Brochure

c. Comment sheet

d. Environmental data

  1. Court Reporter

  2. Comment table

  3. Right of Way

  4. Environmental

  5. Residency

  6. Reception desk

  7. EEO data

7. Transcript submission

  1. Cover with hearing and project information

a. Project description

A - 14 Rev. 01-22-10b. Type of hearing c. Project limits d. UPC code

  1. Index of content a. Sign in sheets b. Oral comment c. Written comment d. County/Town/City recommendation
  2. Sign in sheets a. Copies of original
  3. Local government recommendation
  4. Cover letter that addresses the citizens’ comments, the Residency recommendation and the Districts recommendation.
  5. One set of prints (half size ok)

A - 15 Rev. 01-22-10 APPENDIX A Compliance for Willingness to hold a Public Hearing (provide supporting documentation if available)

State Project #: Federal Project #: County

UPC: Fr: To

Public Notification of Willingness to hold a Public Hearing -

  1. Public Notice content: a. Date, type of meeting b. Description of project (iPM) c. Procedure for requesting a hearing d. Project identification information e. Availability of project material (plans and environmental documentation) f. Non-Discrimination notification with working phone number for public inquiries

  2. Certification of publication in newspapers (Copy of Advertisement from Daily Newspaper): a. 15 days ahead b. Second posting within 7 days of project

  3. Notification of Local, State and Federal officials: a. Clerk of Court or Town/City Clerk b. Other Local Officials c. FHWA d. Other State Agencies

  4. Public Notification: a. Letters to adjacent property owners b. Highway signs on termini of project c. Posting in local businesses and public facilities d. Notification of special interest groups

  5. Data available to Public 15 days prior –

  6. Plans in: a. Residency b. District c. Plans .tiff - posted on iPM

  7. Environmental a. Copies of environmental document b. Noise Wall information

  8. Plans attached

A - 16 Rev. 01-22-10APPENDIX A Compliance for Exception for Public Hearing See Section 4.00 – Exceptions From the Public Hearing Process.

A - 17

APPENDIX B Region 3’s Environmental Guidebook

23 CFR 771

PART 771 - ENVIRONMENTAL IMPACT AND RELATED PROCEDURES

To access 23 CFR 771 – Environmental Impact and related procedures website click on the link below.

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr;sid=0342effde9eee877884a54f81c87dafc;rgn=div5;view=text;node=23%3A1.0.1.8.4 4;idno=23;cc=ecfr

B-1 Rev. 01-22-10APPENDIX B Environmental Justice in Minority Populations and Low-Income Populations Executive Order #12898 To access Environmental Justice in Minority Populations and Low-Income Populations website click on the link below. http://www2.epa.gov/laws-regulations/summary-executive-order-12898-federal-actions-address-environmental-justice B-2 Rev. 09-28-15 APPENDIX B Code of Virginia 51.5-40 To access the Code of Virginia 51.5-40 website click on the link below. http://leg1.state.va.us/cgi-bin/legp504.exe?000+cod+51.5-40 B-3 Rev. 01-22-10

APPENDIX B

VR 602-01-2

AMERICANS WITH DISABILITIES ACT of 1990

To access the AMERICANS WITH DISABILITIES ACT of 1990 website click on the link below.

http://www.ada.gov/

B-4 Rev. 01-22-10APPENDIX B Section 33.2-208 of the Highway Laws of Virginia To access the Code of Virginia 33.2-208 website click on the link below. http://leg1.state.va.us/cgi-bin/legp504.exe?000+cod+33.2-208 B-5 Rev. 01-22-10 APPENDIX B (DPM-1-11 – Filed – November 10, 2008)

VDOT DEPARTMENT POLICY MEMORANDA (DPM) MANUAL

PUBLIC HEARINGS FOR THE LOCATION AND DESIGN OF HIGHWAY

CONSTRUCTION PROJECTS Status of Policy This policy, classified as a regulation subject to the Virginia Register Act (§ 2.2-4100 through

  1. 2-4104 of the Code of Virginia), but exempt from the provisions of the Administrative Process Act (§ 2.2-4000 through 2.2-4032 of the Code of Virginia), was filed with the State Registrar of Regulations under the title Public Hearings for the Location and Design of Highway Construction Projects (24 VAC 30-380-10), with the latest revision effective October 22, 2008.

The text of the regulation can be accessed via the Internet at one or more of the following addresses:

  • Registrar of Regulations site: (The Virginia Register, Volume 25, Issue 5, page 1130) http://register.dls.virginia.gov/vol25/iss05/v25i05.pdf
  • Virginia Administrative Code, Legislative Information System: http://leg1.state.va.us/cgi-bin/legp504.exe?000+reg+24VAC30-380-10 Alternatively, paper copies of the regulation may be obtained from the Policy Division.

B-6 Rev. 09-28-15

APPENDIX C

HOW TO REQUEST A PUBLIC MEETING To request a public meeting be advertised the following form should be completed with the requested information (LD-434). This form, 8 ½ “X 11” project loc ations map and a set of project plans (title, location, typical, plan and profile) should be forwarded to the Public Involvement Section (this is a minimum).

VIRGINIA DEPARTMENT OF TRANSPORTATION

LOCATION AND DESIGN DIVISION

OFFICE OF PUBLIC INVOLVEMENT

PUBLIC HEARING/MEETING REQUEST FORM

DATE OF REQUEST: _/_/____

FROM: _____ PHONE: _______

ROUTE: _ PROJECT #: ______

FROM: _________

TO: ___________

LENGTH: __ COUNTY/CITY: ________

PPMS #: ___ FEDERAL PROJECT #: _______

DISTRICT: ___ RESIDENCY: _______

CHARGE CODE: UPC __, Act. Code_ IMPERIAL METRIC

TYPE: LOCATION _ DESIGN COMBINED LOC & DES ___

WILLINGNESS POSTING _ CITIZEN INFORMATION ___

DAY AND DATE SCHEDULED: ___, __/_/___

STYLE: OPEN FORUM: FROM : p.m. TO :______ p.m.

FORMAL: PRE-HEARING PLAN REVIEW AT :___ p.m.

HEARING AT :___ p.m.

LOCATION: _________ (Letter of confirmation of date, time and place required)

ENVIRONMENTAL DOCUMENT REQUIRED? YES ___ NO ___

IF YES, WHAT TYPE? ____________

DATE OF APPROVAL: _/_/____ (Submit approved document to PI)

(PI must have title sheet, public hearing plans, letter size map)

C - 1 APPENDIX C

* DATA REQUESTED FROM PUBLIC INVOLVEMENT SECTION ** (Items you would like PI to prepare)

++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++

ITEMS FOR BROCHURE/HANDOUT

COVER: YES ___ NO ___

LOCATION MAP: YES ___ NO ___

TYPICAL SECTION: YES ___ NO ___ (If yes, copy of typical section plan sheet required)

COMMENT SHEET: YES ___ NO ___ (If yes, provide questions)

PRINTING: YES ___ NO ___

IF YES, NUMBER OF COPIES: _____

+++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++

OTHER SUPPORT ITEMS

VIDEO: YES ___ NO ___ (If yes, photos/material and script shall be submitted)

RENDERINGS: YES ___ NO ___ (If yes, call coordinator for information that’s required)

MASS MAILING LABELS _ MASS MAIL POST CARDS _ (If yes, attach a map showing area to be covered)

++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++

NOTE: (Revised 9/04)

ALL INFORMATION SHALL BE SUBMITTED TO THE OFFICE OF PUBLIC

INVOLVEMENT NO LESS THAN 60 DAYS PRIOR TO HEARING DATE.

C - 2 APPENDIX C

HOW TO PREPARE A PROJECT BROCHURE The following information contains a sample of all the standard sections to be included in each project booklet. These sections are representative and do not have to be used word for word, but can be if it fits your needs. Each project is unique; therefore, your project may require some additional inform ation.

INFORMATION MEETING BOOKLET-Provide a description of the information you wish to gather comment for .

LOCATIO N PUBLIC HEARING BOOKLET – Provide a description of each Alternative presented and a comparison of the pros and cons of each including but not limited to environmental, right of way, construction, permits and cost.

DESIGN PUBLIC HEARING BOOKLET-Provide a description of the proposed major design features and thei r impact on the surrounding area.

LOCATION AND DESIGN PUBLIC HEARING BOOKLET – Provide a description of the location changes and the major design fe atures and their impact on the surrounding area.

INTRODUCTION The purpose of this Design Public Hearing is to provide a public opportunity for any person, acting on his/her own behalf or representing a group or governing body, the opportunity to offer comments or submit written material or other displays concerning the proposed improvements to Route 000 (Project Information).

VDOT ensures nondiscrimination in all programs and activities in accordance with Title VI of the Civil Rights Act of 1964. For further information, contact the Virginia Department of Transportation, Office of Civil located at ?? in ??, Virginia 2? or telephone 804???-???? or TDD 711.

All comments received both oral and written, will be included in a transcript for review by Department personnel, citizens and all other interested parties. Questions and concerns raised as a result of this meeting will be addressed by the Project Designer prior to consideration of the project by the Chief Engineer (Commonwealth Transportation Board).

REASON FOR METRIC PLANS The plans have been developed in metric units for all projects such as the ones being discussed at this meeting. In order to aid in the understanding of our proposed project, all

C - 3 APPENDIX C

information provided at this meeting will be given in both metric and imperial units. A disposable scale is available to measure dimensions in feet from our metric plans.

DESIGN CRITERIA The purpose of this project is to eliminate substandard horizontal alignment curves and poor stopping sight distances at vertical crests along segments of the road. This project will also provide a wider shoulder for addition recovery space for errant vehicles. These improvements will dramatically increase safety along Duncan Road.

STATEMENT FOR STORMWATER MANAGEMENT During construction, all reasonable efforts will be made to protect the environment with respect to dust control, siltation and erosion. Stormwater management facilities will be incorporated into this project. Construction will conform to the nationwide best management practices, VDOT specification and special provisions and the Virginia Department of Soil and Water Conservation regulations.

"or"

Potential im pacts to flood plains and we tlands were evaluated. To minimize potential impacts on water quality and adjacent wetlands and comply with regulations five stormwater management ponds are proposed. The ponds have been located where necessary to reduce increases in run-off and pollutants leaving the roadway while minimizing impacts to existing residential neighborhoods.

Basin # Location Property Fenced (only is some Comme (station) owner areas) nt

FLOOD PLAIN IMPACTS This project is not expected to generate any negative flood plain impacts. "o r" The flood plain impacts that will result from this project will be addressed at the public hearing.

TRAFFIC DAT A The average daily volume of traffic on Route 000 is 000 vehicles per day (based on 1998 data). This volume is expected to incr ease to 000 vehicles per day by the design year 2010.

RIGHT OF WAY The improvements to Duncan Road (Route 670) will require minimum additional right of way. No families, businesses or non-profit organizations will be relocated as a result of this project.

(CHECK IIM 203 FOR CORRECT SECTION)

C - 4 APPENDIX C

Easements are required for construction of slopes and maintenance of drainage facilities.

As we further coordinate and finalize project development, preliminary utility easement locations shown on the public hearing plans may change. The property owner will be informed of the exact location of the easements during the right of way acquisition process and prior to construction.

ENVIRONMENTAL REVIEW (IF A FEDERAL PROJECT) A Draft Environmental Assessment was submitted to and approved by the Federal Highway Administration on May 5, 1995. All pertinent environmental issues relative to the National Environmental Policy Act of 1969 were discussed. A Memorandum of Agreement addressing impacts to the ----- was submitted to and a pproved by the Department, the Federal Highway Administration, the Department of Historic Resources, and Advisory Council. The Council signed this under the conditions of the Agreement.

All pertinent comments made at the formal public hearing will be addressed and incorporated where prudent in the Final Environmental Assessment.

C - 5 APPENDIX C

ENVIRONMENTAL/NOISE WALL STATEMENT A review of the project corridor was made to determine the social , economic, and environmental impact of the proposed project upon the community and s urrounding area.

It has been determined that no significant impact will result from the co nstruction of this project. On "July 7, 1994 a "Draft" Environmental Impact Statement w as approved by the Federal Highway Administration and is available for your review here tonight or at the Virginia Department of Transportation offices located at (district and resi dency office.) A study of the noise impacts to the adjacent properties has been conducted. Thirty-seven locations were identified for evaluation. The results of the study is included below for your review:


| LOCATION | LENGTH | HEIGHT | COST |

Those receptors that are noted as not meeting the criteria for const ruction may be constructed with third party f unding and the consent of the local governing body. The funding decisions and agr eement of the local governing body for the construction of noise abatement measures will be included as a part of the public heari ng transcript and therefore must be submitted before the project is presented to the Commonwealth Transportation Board for consideration.

MAJOR INVESTMENT STUDY As a part of this public involvement process for the Major Metropolitan Transportation Investment we are seeking your comments on alternatives and w ill provide an opportunity for you to receive information and express your views. The Major Investment Study (MIS) and Congestion Management Study (CMS) elements will also be presented for your consideration.

ANTICIPATED IMPACTS During construction, every reasonable effort will be made to protect the environment with respect to d ust control and erosion control. Access to all properties will be maintained during construction.

ESTIMATED COST The 1995 pro ject cost for preliminary engineering is $500,000, for utility relocation is 500,000, for right of way is $ 500,000 and $ 700,0 00 for construction the total is estimated to be $1.2 million.

REMAINING ACTION The following tentative schedule has been proposed

Review and evaluation of information received at the Location and Design Public

Hearing Mid-1995;

Consideration by the Commonwealth Transportation Board Mid-1995;

Begin acquisition of Right of Way Late-1995;

Advertise for construction Early-1996.

C - 6 APPENDIX C

ADDITIONAL INFORMATION Project information, including comments made at the Public Hearing, will be available for review at the following Virginia Dep artment Of Transportatio n's offices:

Richmond District O ffice Peters burg Residency Office 2400 Pine Forest D rive 4608 Boydton Plank Road Colonial Heights, Virginia Petersburg, Virginia Telephone ( ) Telephone ( )

TTY (800) 307-4630

WRITTEN COMMENTS In order to be made a part o f the official transcript of the public hearing, written comments or questions should be submitted within 10 days after the public hearing to:

Richmond District Administrator Virginia Department of Transportation P. O. Box 3402 Colonial Heights, Virginia 2383 4

Information regar ding right of way may be obtained from

.

District Right of Way and Utilities Manager Virginia Department of Transportation 2400 Pine Forest Drive P. O. Box 3402 Colonial Heights, Virginia 23834 Telephone ( ) 000-0000

The booklet should also include a typical section graphic and a project location map.

C - 7 APPENDIX C

HOW TO REQUEST A MASS MAILING of the PROJECT AREA

The Resident Engineer, who is closest to those effected by the project design, can request it; the Resident Engineer will know if there is an active local interest in the project. So in addition to posting signs on both ends of the project, the Resident Engineer can request a mass mailing of the zip code area be included as a part of the public hearing process.

The Project Designer, who knows the existing and proposed traffic patterns and the number of adjacent property owners that is effected by the project. On normal projects the Designer sends out copies of the notice that’s put in the newspaper and the project location map to each person located on the project. If the Designer feels that the whole area around the project will be effected by the changes in the roadway or the construction of the project, they can decide it would be in the best interest of the public to notify everyone in that zip code area.

The Construction Engineer, who is aware of the politically sensitive projects, can also request that a mass mailing of the zip code area be done.

Each District has its own process for approval to request a mass mailing be done so you will need to discuss this with your management.

The Public Involvement Representative can suggest to the District that a mass mailing be done on a project based on area population, results of prior hearings, and requests received from the public, or at the request of Central Office management. If this is the case, we will coordinate this with the District Location & Design Engineer.

HOW TO REQUEST A MASS MALING BE DONE…

The Project Designer can request as a part of the Public Hearing Request form to schedule a public meeting. The Project Designer will use this form to indicate other public hearing information they would like the Public Involvement Section to provide such as brochures, videos, typical sections, mosaics, rendering etc..

When a mass mailing is requested, the Project Designer will provide a map indicating the area (radius around the project or a zip code number) they would like to have notified and if they would like the Public Involvement Section to prepare a post card to be used or if the Designer will provide one.

NOTE: If a prepaid permit number is not provided, postage will have to be applied in the District OR the return address must be Central Office.

C - 8 APPENDIX C

HOW TO PREPARE A VIDEO The following is a sample of the video script (to be provide 60 days before meeting) and how to insert project photos. The project designer may ta ke the photos or may request the Public Involv ement Section to provide proj ect photos.

PUBLIC MEETING VIDEO SCRIPT

ROUTE

COUNTY

VIDEO AUDIO VDOT SLATE Music up CG file: OPENER H (for Hearing), or OPENER M (for Meeting).

Add specifics.

Hold VDOT SLATE and specifics WELCOME AND THANK YOU FOR

PARTICIPATING IN A VIRGINIA

DEPARTMENT OF TRANSPORTATION

[LOCATION, DESIGN, LOCATION AND

DESIGN] PUBLIC HEARING [CITIZEN

PARTICIPATION MEETING]. THIS

[HEARING] [MEETING] IS BEING HELD

TO CONSIDER PROPOSED IMPROVEMENTS

TO _ IN ___ (COUNTY, CITY).

Reel 0001: Open Forum THIS IS AN OPPORTUNITY TO EXPRESS CG file: FORUM. YOUR COMMENTS AND RECOMMENDATIONS, CG up at "in an open..." IN AN OPEN FORUM, Reel 0002: Open Forum 2 AND TO HAVE THEM BECOME A PART OF CG file: FORUM. THE OFFICIAL RECORD OF THIS

[HEARING] [MEETING].

Reel 0001: VDOT Rep A & VDOT Rep B VIRGINIA DEPARTMENT OF TRANSPORTATION REPRESENTATIVES ARE CG file: VDOTREP. AVAILABLE IN THE DISPLAY AREA TO

ANSWER ANY QUESTIONS YOU MAY HAVE

CONCERNING THE PROJECT.

Reel 0002: Comments ONCE YOUR QUESTIONS HAVE BEEN CG file: COMMENT. ADDRESSED, PROVIDE US WITH YOUR CG up at "provide us... " COMMENTS WHILE YOU ARE HERE TODAY.

Reel 0001: Writing Comments SHOULD YOU DECIDE NOT TO PROVIDE YOUR COMMENTS AT THIS TIME, Reel 0001: Fold & Click COMMENT SHEETS MUST BE COMPLETED CG file: SUBMIT (for standard ten AND SUBMITTED WITHIN TEN DAYS OF day period), or THIS [HEARING] [MEETING] TO BECOME SUBMITD (for a specific date) A PART OF THE OFFICIAL RECORD OF

THIS [HEARING] [MEETING].

Reel 0003: Comment Box ALL COMMENTS WILL BE THOROUGHLY CG file: REVIEW. REVIEWED BY DEPARTMENT PERSONNEL

BEFORE THE PROJECT IS SUBMITTED TO

THE COMMONWEALTH TRANSPORTATION

BOARD FOR CONSIDERATION.

Reel 0002: Key Element YOUR PARTICIPATION IS A KEY ELEMENT

OF THIS [HEARING] [MEETING].

CG file: YOURPART.

Music Out Reel 0004: Stream CU DURING ANY CONSTRUCTION OPERATION

C - 9 APPENDIX C

VDOT IS COMMITTED TO SAFEGUARDING

THE ENVIRONMENT.

Reel 0005: Const Shot GOOD CONSTRUCTION METHODS AND PRACTICES WILL BE FOLLOWED, Reel 0006: Silt Fence AND CAREFUL ATTENTION WILL BE GIVEN

TO EROSION AND SEDIMENT CONTROL.

Reel 0007: CAD CU THIS PROJECT IS BEING DEVELOPED IN CG file: METRIC1. METRIC UNITS.

Reel 0001: Metric Hearing FOR YOUR CONVENIENCE, THE

INFORMATION AT THIS HEARING IS

PRESENTED IN BOTH METRIC AND

IMPERIAL UNITS.

Reel 0008: Conv Scale TO HELP YOU UNDERSTAND THE PLANS, A SCALE IS AVAILABLE TO CONVERT CG file: METRIC2. METERS TO FEET.

Location Map. Use arrows to denote THE PROPOSED PROJECT BEGINS _ termini as spoken AND ENDS _, A DISTANCE OF ____.

Insert specific project information Insert specific project information here here

Reel 0009: Traffic Count CURRENTLY, THE AVERAGE TRAFFIC CG file: TRAFNOW, add count VOLUME ON ____ IS ABOUT _ VEHICLES

PER DAY.

RB5FRZ: Trf Count THE AVERAGE TRAFFIC VOLUME IS CG file: TRAFPROJ, add year and PROJECTED TO BE _ VEHICLES PER DAY count. BY THE YEAR 20__.

RB5FRZ: Dollar THE TOTAL ESTIMATED PROJECT COST IS CG file: ESTCOST, add numbers. __ DOLLARS.

Reel 0010: ROW THE RIGHT OF WAY REQUIRED FOR THIS CG file: ROWDIS, add numbers. PROJECT WILL DISPLACE _____

RESIDENCES, _____ BUSINESS(ES) AND

____ NON-PROFIT ORGANIZATIONS.

Reel 0010: ROW AS WE CONTINUE TO COORDINATE AND CG file: ROWUTILA: FINALIZE PROJECT DEVELOPMENT, "Preliminary utility easemen t [PRELIMINARY UTILITY EASEMENT locations shown on the public LOCATIONS SHOWN ON THE PUBLIC hearing plans may change." HEARING PLANS MAY CHANGE]

[ADDITIONAL EASEMENTS FOR UTILITY

OR OR OR OR OR OR RELOCATIONS MAY BE REQUIRED BEYOND

THE PROPOSED RIGHT OF WAY SHOWN ON CG file: ROWUTILB: THE PUBLIC HEARING PLANS.] THE "Additional easements for utility PROPERTY OWNER WILL BE INFORMED OF relocations may be required beyond THE EXACT LOCATION OF THE EASEMENTS the proposed right-of-way shown on DURING THE RIGHT OF WAY ACQUISITION the public hearing plans." PROCESS AND PRIOR TO CONSTRUCTION.

RB5FRZ: Actions FOLLOWING THE REVIEW AND EVALUATION CG file: REVIEW. OF THE COMMENTS FROM TODAY'S MEETING, IT IS ANTICIPATED THAT RB5FRZ: Actions Insert here any actions before CTB CG file: OTHER. approval, such as locality approval or a public hearing.

C - 10 APPENDIX C

RB5FRZ: Actions THE PROJECT WILL BE PRESENTED TO CG file: TOCTB, add date. THE VIRGINIA COMMONWEALTH

TRANSPORTATION BOARD FOR

CONSIDERATION IN _____.

RB5FRZ: Actions FOLLOWING BOARD APPROVAL, RIGHT OF CG file: ROWACQ, add date. WAY ACQUISITION COULD BEGIN IN _____.

RB5FRZ: Actions ADVERTISEMENT FOR CONSTRUCTION IS CG file: ADVDATE, add date. EXPECTED IN _____.

Music Up Reel 0002: Dept Rep DEPARTMENT REPRESENTATIVES ARE

CG: VDOTREP. AVAILABLE IN THE DISPLAY AREA TO

ANSWER ANY QUESTIONS YOU MAY HAVE Reel 0001: ROW Acq CONCERNING THE PROJECT, RIGHT OF

WAY ACQUISITION AND RELOCATION

ASSISTANCE.

VDOT SLATE WE, AT THE VIRGINIA DEPARTMENT OF CG: OPENER H or OPENER M. TRANSPORTATION, THANK YOU FOR Add specifics. PARTICIPATING IN THIS VERY

IMPORTANT DECISION MAKING PROCESS.

FADE TO BLACK Music Out.

FADE FROM BLACK TO CG: CREDIT file

This information should be tailored to represent the issues of your individual project.

The information provided is only a guide. This script will result in a video of about 5 minutes.

C - 11 APPENDIX C

HOW TO REQUEST A PROJECT RENDERING

The Project Designer can request a rendering be produced as a par t of the Public Hearing Request form to schedule a public meeting. The Project Designer will use this form to indicated other public hearing information they would like the Public Involvement Section to provide brochures, videos, typical sections, mosaics, mass mailings etc.. Please indicate on the form the number of renderings required and the date completed photos are needed.

DATA NEEDED – photographic

  • Plan sheet indicating the site for the rendering
  • Topographic map of the a rea with site marked on map
  • Project location map

DA TA NEEDED – project design

  • Plans, profiles and typical sections
  • Electronic files – Microstation (DGN) or AutoCAD – (DWG) Contour data, topographical data (3D is ideal) (2D is okay) Signaling, signage, pavement delineation/striping plans Landscaping plans if applicable and available
  • Hard copy (full set of plans at ½ typical sheet size)
  • If electronic files do not exist, pl ease send full set of plans at full size

PROJECT DESIGN FILES may be provided in any of the following formats – Floppy disk 2.0 MEG Iomega ZIP disk – 100MEG, PC or Macintosh Iomega Jaz disk- 1 GIG (Mac only)

C - 12 APPENDIX C

HOW TO PREPARE A TRANSCRIPT FOR SUBMI SSION and an example of the p rocess for projects managed by the District

January 2 - Public Hearing held;

January 2 - Public comments to be returned to District Location and Design Engineer for urban, primary or interstate projects and to the Resid ent Engineer for secondary projects;

January 12 – Close of comment period for written comments and other submissions (10 day comment period is 10 calendar days NOT business days);

Janu ary 26 - Appointed person (District Location and D esign Engineer) compiles transcripts, reviews comments and makes a recommendation to District Construction Engineer;

INFORM ATIO N to be included in the TRANSCRI PT Project Transcripts submitted for presentation to the Bo ard should include the following information in this format.

COVER SHEET – first sheet INDEX OF SH EETS – second sheet

Lo cation an d Design Public Index of Sheets Hearing Tran script Page Sign-In Sheet 3 Public Hearing Brochure 4-7 O ral Comments 8-10 Written Comments 11-15 Route 000 Proj ect 00 00-000-000… County Date of Hearing Location of Hearing Time of Hearing 2

Submit the original of the information, the District recommendation letter, and a memorandum indicating the electronic copy (.pdf file) has been posted on the Project Cost Estimating System by the Project Designer.

January 29 – Copies of transcript and other information sent to State Location and Design Engineer (Attention: Public Involvement Section) with the recommendation of District Construction Engineer.

C - 13 APPENDIX C

January 31 - Distribute the transcript to appropriate reviewers for recommendation: Assistant State Location and Design Engineer State Local Assistance Director (if urban) State Transportation Planning Engineer (if bike lanes included) State Environmen tal Engineer (if federal project) State Structures and Bridge Engineer (if bridge included) FHWA (if federal project)

February 12 - Recommendations made by appropriate reviewers for consideration by State Location and Design Engineer for inclusion in recommendation to the Chief Engineer for presentation to Commonwealth Transportation Board for approval of the lo cation or location and major design features or presentation of recom mendation to the Chief Engineer for Program Development for approval of the major design features.

February 26 – Pub lic Involvement Section provides public hearing package (letter of recommendation to Chief Engineer, Project Summary, and Resolution if going to CTB ) to State Location and Design Engineer for review;

March 3 – Package provided to Chief Engineer for signature or presentation to the Commonwealth Transportation Board for approval;

March 19 – Commonwealth Transportation Board Meeting for project review (the CTB meets the third Thursday of the month).

March 23 – Notification of involved personnel of action taken on project.

March 27 – Notification of persons who participated in the public hearing process of the action taken on the project by the District Administrator (or his designee).

C - 14 APPENDIX D

USE OF VIRTUAL PUBLIC INVOLVEMENT

Request to Supplement FHWA Approved Public Involvement Procedures to Address Virtual Public Involvement when needed, especially in emergency situations (as declared by the President, the Governor, the VDOT Commissioner of Highways, or the VDOT District Engineer or Administrator). The following pages contain the FHWA / VDOT Memorandum dated July 27, 2020.

Review VDOT Guidance for Public Involvement under COVID-19 Stage 2 and Stage 3 Reopening Plan during Governor Declared State of Emergency. https://www.virginiadot.org/business/resources/LocDes/VDOT_Guidance_for_Public_Involvem ent_under_COVID-19_Stage_2_and_Stage_3_Reopening_Plan.pdf

D-1 New 07-30-2020

Transportation Alternatives Program GuidelinesDoc ID: LAD-TAPG

Original: 8,849 words
Condensed: 5,426 words
Reduction: 38.7%

Transportation Alternatives Program (TAP)

Local Assistance Division

April 20251

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

TABLE

OF CONTENTS 1

PROGRAM OVERVIEW .......................................................................................... 4

  1. 1 Introduction .................................................................................................................. 4
  2. 2 Background .................................................................................................................. 4
  3. 2.1 Program History .................................................................................................................. 4
  4. 2.2 Program Intent .................................................................................................................... 4
  5. 3 Contact Information ...................................................................................................... 5 2

PROGRAM ELIGIBILITY ......................................................................................... 6

  1. 1 Eligible Entities ............................................................................................................. 6
  2. 2 Project Administration ................................................................................................... 6
  3. 2.1 Local Administration ........................................................................................................... 6
  4. 2.2 VDOT Administration ......................................................................................................... 7
  5. 3 Eligible Projects ............................................................................................................ 7
  6. 3.1 Eligible Project Categories ................................................................................................ 7
  7. 3.2 Safe Routes to School Noninfrastructure Activities ...................................................... 8
  8. 4 Federal Investment Requirements ................................................................................ 8
  9. 4.1 Developing a Project Scope ............................................................................................. 8
  10. 4.2 Logical Termini.................................................................................................................... 8
  11. 4.3 Independent Utility .............................................................................................................. 8
  12. 4.4 Americans with Disabilities Act of 1990 (ADA) .............................................................. 9
  13. 5 Ineligible Activities and Expenses ................................................................................. 9 3

BUDGETING AND FUNDS MANAGEMENT ......................................................... 10

  1. 1 Funding Overview ...................................................................................................... 10
  2. 2 Reimbursement Program ........................................................................................... 10
  3. 3 Local Match Requirement ........................................................................................... 11
  4. 4 Third-Party Contributions ............................................................................................ 11
  5. 5 Cost Overruns ............................................................................................................ 12
  6. 6 Four-Year Policy ......................................................................................................... 12 4

APPLICATION PROCESS AND REQUIREMENTS .............................................. 14 2

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 1 Public Involvement Requirement ................................................................................ 14
  2. 2 Public Involvement in a Metropolitan Planning Organization (MPO) Area ................... 14
  3. 3 Site Visit ..................................................................................................................... 14
  4. 4 Local Resolution of Support ........................................................................................ 15
  5. 5 Application Process .................................................................................................... 15
  6. 5.1 SMART Portal ................................................................................................................... 15
  7. 5.2 Pre-Application.................................................................................................................. 16
  8. 5.3 Full Application.................................................................................................................. 16
  9. 5.4 Cost Estimating ................................................................................................................. 16
  10. 6 Project Selections ....................................................................................................... 16
  11. 6.1 Six-Year Improvement Program (SYIP) and Funding Award .................................... 17 5

PROJECT IMPLEMENTATION AND MANAGEMENT.......................................... 18

  1. 1 Project Administration Agreement (PAA) .................................................................... 18
  2. 2 Federal Authorization ................................................................................................. 18
  3. 3 Deallocation ............................................................................................................... 18 6

SAFE ROUTES TO SCHOOL NONINFRASTRUCTURE ...................................... 19

  1. 1 Background ................................................................................................................ 19
  2. 1.1 Program History ................................................................................................................ 19
  3. 1.2 Program Intent .................................................................................................................. 19
  4. 2 SRTS-NI Program Eligibility ........................................................................................ 19
  5. 2.1 Eligible Entities.................................................................................................................. 19
  6. 2.2 Program Administration ................................................................................................... 20
  7. 2.3 Eligible Expenses ............................................................................................................. 20
  8. 2.4 Ineligible Expenses .......................................................................................................... 21
  9. 3 SRTS-NI Budgeting and Funds Management ............................................................. 22
  10. 3.1 Funding Overview ............................................................................................................ 22
  11. 3.2 Third-Party Contributions and Donations ..................................................................... 23
  12. 3.3 Cost Overruns ................................................................................................................... 23
  13. 3.4 Four-Year Policy ............................................................................................................... 23
  14. 4 SRTS-NI Application Process and Requirements ....................................................... 23
  15. 4.1 Application Process .......................................................................................................... 23
  16. 5 SRTS-NI Program Implementation and Management ................................................. 23
  17. 5.1 Project Administration Agreement (PAA) ..................................................................... 23 3

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 5.2 Deallocation ....................................................................................................................... 24

APPENDIX A: ACRONYMS AND ABBREVIATIONS .................................................. 25

APPENDIX B: USEFUL LIFE SCHEDULE .................................................................. 26

APPENDIX C: ELIGIBLE PROJECT ACTIVITIES ....................................................... 27

4 TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

1 PROGRAM OVERVIEW

1.1 INTRODUCTION

This manual provides programmatic guidance on the Transportation Alternatives Program (TAP) as administered by the Virginia Department of Transportation (VDOT). This document supplements and interprets guidance provided by the Federal Highway Administration (FHWA) in its Transportation Alternatives Set-Aside Implementation Guidance of March 2022.

This information is provided as a supplement to the information found in VDOT’s Locally Administered Projects Manual (LAP Manual), which is the primary source for guidance regarding project development and delivery, and should be utilized as the primary reference for any locality administering a VDOT- or FHWA-funded project, including TAP. Further, additional state and federal rules and regulations, including those promulgated by VDOT and FHWA, may supersede the information provided in this guide.

TAP aids Local Public Agencies (LPAs) in funding community-based projects that expand non-motorized and multimodal travel choices and enhance the transportation experience. Such projects improve the cultural, historical, and environmental aspects of transportation infrastructure. The Program does not fund traditional roadway facility or maintenance projects.

Instead, it emphasizes constructing and expanding active transportation facilities that provide equitable accommodations for all users. Outcomes of the supported projects lead to quality-of-life benefits for residents, alternative mode accessibility, safety, reductions in pollutants and emissions, and the expansion of recreational facilities.

1.2 BACKGROUND

  1. 2.1 Program History TAP is a subset of the Surface Transportation Block Grant Program (STBG) of the most recent federal transportation bill, the Infrastructure Investment and Jobs Act (IIJA) (Pub. L. 117-58), also known as the Bipartisan Infrastructure Law (BIL) (23 U.S.C. 133(h)). Eligibility for these set-aside funds include all activities that were previously eligible under the Fixing America’s Surface Transportation (FAST) Act and Moving Ahead for Progress in the 21st Century Act (MAP-21).

The Transportation Enhancement (TE) program, which later evolved to the current Transportation Alternatives Program, was established in 1991 under the Intermodal Surface Transportation Efficiency Act (ISTEA) and continued through the Transportation Equity Act for the 21st Century (TEA-21) and Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). TAP was established in 2012 under MAP-21. TAP modified the former TE eligible categories and consolidated these with Safe Routes to School (SRTS). The Recreational Trails program is administered by the Virginia Department of Conservation and Recreation.

  1. 2.2 Program Intent TAP expands non-motorized travel choices, strengthens local economies, improves safety and quality of life, and protects the environment. Funds may be awarded to eligible entities for eligible projects through a competitive application process.

TAP’s focus is on providing pedestrian and bicycle facilities and community improvements, and it is a key program for helping to build Complete Streets, which are safe for all users and provide safe, connected, and equitable on- and off-road networks.5

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES The Federal Highway Administration (FHWA) encourages the use of funding to upgrade the conditions of streets, highways, and bridges to make them safe for all users, while also modernizing the network to be accessible for all users, provide better choices, accommodate technological advances, and be sustainable, resilient, and equitable.

  1. 3

CONTACT INFORMATION The nine VDOT District Offices have designated staff working on TAP projects. These staff are the first points of contact for additional information and clarifications, where needed. District staff coordinate with Central Office staff for guidance and policy direction when needed.

A directory of current District staff contacts is available on VDOT’s TAP webpage.

VDOT also provides a list of localities served by each District Office as well as general District contact information.

6 TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

2 PROGRAM ELIGIBILITY

2.1 ELIGIBLE ENTITIES

Entities eligible to receive Transportation Alternatives Program (TAP) funding are set by federal legislation and include:

  1. A local government: any unit of local government below a state government agency, except for an MPO.

Examples include city, town, or county agencies.

  1. A regional transportation authority: Considered the same as the Regional Transportation Planning Organizations defined in the statewide planning section (23 U.S.C. 135(m)).
  2. A transit agency: any agency responsible for public transportation that is eligible for funds as determined by the Federal Transit Administration.
  3. A natural resource or public land agency: any Federal, tribal, State, or local agency responsible for natural resources or public land, including state or local forest agencies, fish and game or wildlife agencies, Department of the Interior land management agencies, and U.S. Forest Service.
  4. A school district, local education agency, or school: any public school district or school, or nonprofit private schools in partnership with an eligible applicant. Projects should benefit the public and not a private entity.
  5. A tribal government.
  6. A metropolitan planning organization that serves an urbanized area with a population of 200,000 or fewer.
  7. Any other local or regional governmental entity with responsibility for or oversight of transportation or recreational trails (other than an ineligible MPO or state agency) that the state determines to be eligible consistent with the goals of 23 U.S.C. 133(h).
  8. A State (VDOT), at the request of an eligible entity listed above.

2.2 PROJECT ADMINISTRATION

  1. 2.1 Local Administration To administer a federal-aid project, local public agencies (LPAs) must have a full-time Responsible Person who will make all major project decisions and an accounting system to track project costs. If an applicant wishes to administer their own project, they should first review the LAP Manual and other project development guidance. LPAs are required to have at least one current full-time staff member who has successfully completed the VDOT Qualification Program.

VDOT provides oversight of federally funded projects on behalf of FHWA, including on locally administered projects. VDOT’s oversight may include plan review, preparing the National Environmental Policy Act (NEPA) document, and evaluation of property appraisals. All VDOT oversight will be charged to the project and reimbursed from federal allocations at the same 80% federal/20% LPA rate as other reimbursements.

On locally administered projects, the LPA is responsible for administration and completion of the project. This includes project development, quality assurance, contract administration, daily project management, construction, and record retention, even if these services or activities are outsourced. In addition to project development, the LPA is also responsible for securing all required permits needed for a project according to the administering body in advance of construction beginning.7

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES The LPA is responsible for future maintenance and upkeep unless alternate arrangements are made with VDOT. Although standard transportation infrastructure located within VDOT right of way is typically maintained by VDOT (crosswalks, sidewalks, pull offs, etc.), the LPA should consult with the appropriate local VDOT office to confirm that VDOT will continue to maintain these items if they are modified by the LPA as part of a TAP project. Any facility constructed or improved with TAP funds is required to be maintained for the intended use, even if ownership changes, according to the useful life schedule.

As the sub-recipient of federal transportation funds and the manager of a federal-aid project, the LPA must adhere to all applicable federal and state regulations and guidelines. The LPA is responsible for maintaining all project documentation required for state or federal audit. Refer to the LAP Manual for more information about required documentation.

  1. 2.2 VDOT Administration VDOT may administer local TAP projects upon the request of the applicant or in cases where VDOT has determined that the applicant does not have adequate resources to manage the project independently. If an LPA has limited experience or is unsure, they can discuss the possibility of having VDOT administer the TAP project on their behalf. VDOT does not typically administer vertical construction such as historic preservation projects.

VDOT administration requires coordination with the local VDOT District Office in advance of the application process.

  1. 3

ELIGIBLE PROJECTS

  1. 3.1 Eligible Project Categories TAP provides funding for a variety of transportation projects, including:
  • On- and off-road trails for pedestrians, bicyclists, and other non-motorized forms of transportation;
  • Construction, planning, and design of infrastructure-related projects and systems that will provide safe routes for non-drivers to access daily needs;
  • Conversion and use of abandoned railroad corridors for trails for pedestrians, bicyclists, and other nonmotorized transportation users (Rails-to-Trails);
  • Construction of turnouts and viewing areas, which are comprised of a project that supports a qualifying logical terminus with independent utility;
  • Community improvement activities, including: o Inventory, control, or removal of outdoor advertising, o Historic preservation and rehabilitation of historic transportation facilities, solely to preserve and protect the structure according to historic preservation standards, o Vegetation management practices in transportation rights-of-way to improve roadway safety, prevent against invasive species, and provide erosion control, and o Archaeological activities relating to impacts from implementation of a transportation project eligible under Title 23, U.S.C.;
  • Environmental mitigation activities, including pollution prevention and pollution abatement and mitigation to: o Address stormwater management, control, and water pollution prevention or abatement related to highway construction or due to highway runoff, or o Reduce vehicle-caused wildlife mortality or to restore and maintain connectivity among terrestrial or aquatic habitats;
  • Safe routes to school projects, as eligible under 23 U.S.C. 208, including: o Infrastructure-related projects [23 U.S.C. 208(g)(1)], and o Noninfrastructure-related activities [23 U.S.C. 208(g)(2)]; and
  • Planning, designing, or constructing boulevards and other roadways largely in the right-of-way of former Interstate System routes or other divided highways (Boulevards from Divided Highways). 8

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES See Appendix C: Eligible Project Activities for additional project eligibility information.

  1. 3.2 Safe Routes to School Noninfrastructure Activities Safe Routes to School (SRTS), as eligible under 23 U.S.C. 208, includes noninfrastructure-related activities [23 U.S.C. 208(g)(2)] located within two miles of a school (grades K-12, including public and private schools). See the Safe Routes to School noninfrastructure section for guidance specific to this program area.
  2. 4

FEDERAL INVESTMENT REQUIREMENTS TAP projects are required to meet specific criteria to be eligible for funding. In the case of a multi-phase project, each phase must independently meet the criteria.

Each project must

  • Have logical termini and independent utility;
  • Be accessible to the public and not used as a rental space for offices, events, etc.;
  • Be used as intended and maintained for the useful life as set forth in the Useful Life Schedule; and
  • Be not-for-profit. An admission fee may be acceptable if the cost is reasonable and reinvested to support operation and upkeep of the TAP-funded facility.
  1. 4.1 Developing a Project Scope TAP is governed by Title 23 of the US Code of Federal Regulations. The design of a TAP project must meet or exceed VDOT and/or American Association of State Highway and Transportation Officials (AASHTO) design standards, depending upon the project location. Urban localities responsible for street maintenance are required to comply with AASHTO standards while localities with VDOT-maintained roadways are required to comply with VDOT standards. All TAP projects must have a well-defined, achievable scope and clear termini.

Once a project is awarded TAP funding based on the defined scope and termini identified in the TAP application, it cannot be altered without an approved scope change from VDOT’s Local Assistance Division.

  1. 4.2 Logical Termini All projects must have logical termini to be eligible for federal participation. For pedestrian and bicycle facilities, logical termini could be a roadway intersection, connection to an existing sidewalk or trail facility, or delivery to a destination such as a shopping center, library, or park entrance. Private driveways, property lines, or local city/town borders are unacceptable termini. TAP is intended to provide mobility options that connect non-motorized users to a system of transportation assets.
  2. 4.3 Independent Utility All projects must have independent utility to be eligible for federal participation. This means that the project will provide a benefit to the travelling public and an improvement to the existing transportation network even if no other segments are ever built. Subsequent funding is not guaranteed, and this requirement ensures that a funded project can stand alone.

Projects that would create a duplicate or redundant facility adjacent to an existing, similar facility must provide justification with the application. 9

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 4.4 Americans with Disabilities Act of 1990 (ADA) All projects are required to comply with the Americans with Disabilities Act of 1990 (ADA). New projects must be constructed to meet Public Right-of-Way Accessibility Guidelines (PROWAG) or Americans with Disabilities Act Accessibility Guidelines for Buildings and Facilities (ADAAG), at a minimum.
  2. 5

INELIGIBLE ACTIVITIES AND EXPENSES TAP funds cannot be used for the following activities:

  • MPO administrative purposes, except as allowed according to FHWA’s Memo Allocating Indirect Costs to Projects, dated September 4, 2015;
  • Promotional activities and training expenses, except those permitted as SRTS-NI;
  • Routine maintenance and operations;
  • General recreation and park facilities, playground equipment, sports fields, campgrounds, picnic areas, pavilions;
  • Traditional roadway activities and motorized improvements, including traffic signals, lighting, full depth paving, and surface treatment;
  • Property acquisition beyond that required by the project;
  • Betterments, which include but are not limited to: o Major utility components unrelated to the funded project, o Major stormwater components unrelated to the funded project, o Brick pavers and other surface treatment upgrades, and o Decorative lighting fixtures, o Streetscape components that do not serve a pedestrian or bicycle transportation purpose; and
  • Aesthetic improvements. 10

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

3 BUDGETING AND FUNDS MANAGEMENT

  1. 1

FUNDING OVERVIEW VDOT solicits Transportation Alternatives Program (TAP) project applications on a biennial basis and uses a competitive process to select projects for funding. Funding is suballocated based on legislation, with an initial suballocation made for the Recreational Trails Program (RTP), administered by the Virginia Department of Conservation and Recreation. All remaining funds are allocated based on legislation, with 59% available for award based on population area, and 41% available anywhere within the Commonwealth of Virginia.

The legislated population areas include

  • Equal to or less than 5,000
  • Greater than 5,000 to equal to or less than 50,000
  • Greater than 50,000 to equal to or less than 200,000
  • Greater than 200,000 TAP funding for areas with populations greater than 200,000 is suballocated to Metropolitan Planning Organizations (MPOs) for award to eligible projects and may be used these funds for projects anywhere within the boundaries of the applicable MPO area (23 U.S.C. 133(d)(2)). Applicants seeking TAP allocations from the MPO apply through VDOT’s standard application process, and MPOs select projects through the competitive process in consultation with VDOT.

The Commonwealth Transportation Board (CTB) makes project selections and awards non-MPO TAP funds for population areas under 200,000. Per CTB policy, TAP funds are divided among the 14 members and Secretary of Transportation for award.

  1. 2

REIMBURSEMENT PROGRAM Locally administered TAP projects receive federal funds through reimbursement; this means that local public agencies (LPA) must make expenditures prior to receiving any TAP funds. VDOT is the direct recipient of federal TAP funds.

Projects that are selected for financial assistance are eligible for cost reimbursement by VDOT. LPAs must program and obligate independent capital resources to projects in advance of state Department of Transportation reimbursement. In most cases, the maximum allowable federal aid contribution to selected projects is 80% of total eligible project cost. Applicants must demonstrate the availability of project funding commitments in advance of a prospective award in a funded local Capital Improvement Plan or regional Transportation Improvement Program (TIP).

TAP projects are limited to a lifetime maximum of $2.5 million in federal TAP funds. Each CTB member is allotted an equal share of federal TAP funding to allocate per fiscal year, by policy. The policy also requires that all funded projects receive 100% of the requested TAP amount. Additional TAP funds for a funded project can only receive additional funds through a statewide prioritization process for use of surplus TAP funds. Previously fully funded projects cannot be submitted during the biennial application process for additional funding. 11

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES Specific steps are required before costs can be incurred for reimbursement through TAP. A Project Administration Agreement (PAA) must be executed to establish the project. Federal authorization must then be secured to enable the federal reimbursement of eligible costs; any costs incurred prior to execution of these documents will not be reimbursed.

Following the execution of a PAA and receipt of the required phase-appropriate federal authorization (PE, RW, or CN), many project-specific costs are eligible for reimbursement with VDOT approval to proceed:

  • Preliminary Engineering (PE) activities, including plan preparation, public participation meetings, environmental coordination, survey, title searches, cost estimation, and geotechnical studies;
  • Right of Way (RW) activities, including utility relocation (not betterment or aesthetic undergrounding) and property acquisition necessary for construction;
  • Construction (CN) activities, including the required construction engineering, inspection, and materials testing.

Refer to the LAP Manual for detailed descriptions of required documentation and processes to secure federal authorization.

  1. 3

LOCAL MATCH REQUIREMENT TAP funding can reimburse up to 80% of eligible project costs. A minimum local match of 20% is required. Any expenditures toward the local match are required to meet the same project eligibility as the federal portion of the project.

The match requirement can be met using eligible local, state, or federal funds.

However, state and federal transportation funds are not eligible as match, including state Revenue Sharing funds. State and federal transportation funds may supplement the TAP award and pay excess project costs outside of the TAP-funded amount; it is the LPA’s responsibility to verify eligibility.

All planned supplemental project funding should be available at the time of award.

  1. 4

THIRD-PARTY CONTRIBUTIONS The required 20% local match may be met in full or in part by third-party contributions, including approved services, materials, and land. Third-party contributions must be an eligible project cost, as approved by VDOT’s Local Assistance Division, and cannot be made by VDOT or the LPA. To be eligible, the contribution or donation must be made without an exchange of payment.

Anticipated third-party contributions must be included in the funding application and captured in the initial project agreement. 12

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES Localities are responsible for securing approval for the use of third-party contributions prior to phase authorization for the applicable phase. Localities must submit an estimate of the anticipated third-party contributions and provide justification for their valuation through the assigned VDOT project coordinator to the Local Assistance Division. The anticipated value of approved third-party contributions must be included as part of the phase estimate provided for federal authorization and may not exceed 20% of the local match requirement for any authorization.

As with other eligible expenses, third-party contributions must not be incurred before federal authorization has been secured for the appropriate phase. For example, if construction services are donated toward the match, then donated work may not be performed until after the federal construction authorization is secured. Similarly, third-party contributions provided during an earlier project phase, such as PE, cannot be carried over for use in a later phase, such as construction. The only exception to this rule is property donation, in which case the donated value can be used as match for all three developmental phases.

Staff time provided by the project sponsor is not eligible as a third-party contribution. Refer to the LAP Manual for information about cost allocation plans and overhead rate eligibility.

  1. 5

COST OVERRUNS When project costs exceed the total TAP funding amount (federal allocation and local match), these costs are the LPA’s responsibility per the Project Administration Agreement (PAA). However, LPAs may be able to request a transfer of additional TAP funds pursuant to the current transfer policy.

If project elements are ineligible (e.g., picnic grills and tennis courts), the LPA is responsible for paying the additional costs with an eligible fund source; these expenses are not eligible toward the local match or for reimbursement under the TAP program.

  1. 6

FOUR-YEAR POLICY CTB policy requires TAP projects to reach construction within four years following initial allocation, which begins with awarding a contract for construction. This policy ensures expedient use of federal funds and supports project completion.

Projects have until June 30 of the fourth year following funding allocation to award a contract for construction, at a minimum.

It is the responsibility of the LPA to manage project progress and ensure compliance with the four-year policy. It is incumbent on the LPA to provide notice to VDOT as soon as it finds a project will not meet the four-year deadline, and to request an appropriate extension, if needed.

Projects that do not demonstrate progress within four years or do not reach the construction phase by the fourth year are subject to cancellation and deallocation unless the LPA provides, and VDOT is in agreement with, valid reasons supporting the delay along with a schedule to complete the project. In the event of cancellation, the LPA may be required to repay federal funds expended on the project.

Examples of circumstances that might delay a project and are not considered valid include, but are not limited to:

  • Lack of preliminary public involvement;
  • Prioritization changes at the local level, including lack of support from the current governing body;
  • Staff turnover and attrition;
  • Local regulation changes; and 13

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  • Difficulty funding the local match or additional local portion of the project.

In the case of a segmented or phased project, each segment or phase that is awarded separately and established with a unique project number will have a four-year timeframe associated with each project number. 14

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

4 APPLICATION PROCESS AND REQUIREMENTS

  1. 1

PUBLIC INVOLVEMENT REQUIREMENT The LAP Manual provides details about public involvement requirements for locally administered federal-aid projects. The Transportation Alternatives Program (TAP) requires public involvement in advance of the application process, in addition to the federal requirements described in the LAP Manual.

Initial public involvement for a TAP project is required to occur within the year preceding the application, and documentation is required with the application. The applicant must hold a public information meeting to notify the public about the project to ensure there is adequate public support for the project; inclusion on a consent calendar is not sufficient to meet this requirement. Any preliminary studies and conceptual designs should be available for review. The meeting should be publicly advertised following local procedures, and a copy of the public notice/advertisement should be attached to the application along with any public comments received about the project.

Examples of eligible TAP public involvement activities include

  • Public information meetings or workshops where project plans and information are displayed with opportunities for citizens to ask questions and provide feedback.
  • Charrettes, collaborative planning processes that support the design of a project. Charettes may take place over one day or several weeks, and include participation from design experts, community groups, developers, and citizens.
  • Public hearings, where information is presented to a policy or governing board about a planned project, with a dedicated opportunity for public comment on the proposal.

Supplemental outreach may include websites, fact sheets, press releases, listening sessions, availability sessions, and more.

  1. 2

PUBLIC INVOLVEMENT IN A METROPOLITAN PLANNING ORGANIZATION (MPO) AREA If a proposed TAP project is located within the boundaries of an MPO, a letter of endorsement or resolution from the appropriate MPO issued within the previous three years is required with each application, unless waived by the MPO.

  1. 3

SITE VISIT Site visits provide invaluable project information and details, especially regarding anticipated costs. The site visit can provide insights into safety considerations, terrain and drainage issues, ADA accommodations, environmental mitigation needs, and utility conflicts. Information gathered through the site visit should be accounted for in the cost estimate and project schedule.

Site visits should include locality and VDOT staff, with participation from engineering, environmental, maintenance, planning, and other departments as appropriate. 15

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 4

LOCAL RESOLUTION OF SUPPORT A local resolution of support from the governing body is required with the full application. The resolution content is required to follow the LAP Manual. A resolution template is provided within the LAP Manual and applicants are strongly recommended to utilize this template at the time of application to prevent delays in the award and execution process.

It is strongly recommended that resolutions not include specific dollar amounts. If a resolution includes dollar amounts, then the amounts listed in the application are required to match the resolution amounts.

  1. 5

APPLICATION PROCESS VDOT solicits TAP applications every two years, in the spring of odd-numbered years, for a two-year funding cycle. Pre-and full applications are solely accepted through the SMART Portal until the submission deadline. Applications that are not in submitted status by the deadline are not eligible for selection. The application process includes a mandatory pre-application submitted in the summer, followed by a full application in the fall for eligible pre-applications.

Applicants may submit up to eight pre-applications and five full applications in a single application cycle.

Pre-applications are screened for eligibility upon submission. VDOT staff will either screen the application in or out or provide a conditional screen-in based on elements to resolve in a full application. If VDOT poses questions or requests additional information from a pre-application, then these should be resolved expediently and within the full application, if applicable, to be considered. Applications that have not resolved conditional elements by the application deadline may be screened out. Email alerts are automatically generated through SMART Portal when applications receive questions or comments or are screened in.

Projects that are screened in during the pre-application period must maintain the eligible elements in a full application, such as scope, description, and termini. Changing these elements will require review, assistance, and approval from VDOT.

  1. 5.1 SMART Portal SMART Portal is VDOT’s application intake and record system. In addition to account-based access to current and past applications, SMART Portal provides public access to application records and information.

A SMART Portal account is required to submit a TAP application. Accounts are assigned by locality/organization, and each account has a designated organization administrator.

If no account exists for a prospective applicant locality/organization, contact the appropriate VDOT District Representative listed in SMART Portal to request an account. Provide the funding program name(s) the organization is interested in applying under.

If an account already exists for a prospective applicant, the designated organization administrator may provide access to additional staff. VDOT recommends that all accounts have at least two active users, and that organizations review access needs biannually to make changes, as needed. If the designated organization administrator is no longer with the organization, contact the appropriate VDOT District Representative listed in SMART Portal to request that this access be changed. 16

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 5.2 Pre-Application Before each funding cycle, VDOT announces the timeline for the application cycle and provides guidance on the process, including a list of required attachments. To be considered for funding and able to submit a full application, LPAs must first submit a complete, successful pre-application.

Pre-applications are intended to provide VDOT staff the opportunity to evaluate project eligibility and provide guidance to applicants on scope and cost refinements, and to request other needed information. Pre-applications that do not include all required elements may be screened out.

  1. 5.3 Full Application LPAs may begin work on full applications for projects submitted in successful pre-applications once the pre-applications reopen in the portal and before the submission deadline.

LAD will provide guidance and a list of required attachments for each application cycle.

  1. 5.4 Cost Estimating All TAP projects are required to follow the current VDOT requirements for cost estimating, as described in the LAP Manual.

All applicants must include a cost estimate, including detailed costs and the most recent version of VDOT’s cost estimating tool to be eligible.

For projects requesting VDOT administration, applicants must coordinate with the appropriate VDOT District in advance of the application to determine the process for establishing a cost estimate.

For locally administered projects, VDOT will validate the estimate and ensure that appropriate VDOT oversight and environmental costs are included.

The base cost estimate entered into the SMART Portal application will be escalated pursuant to the scheduled phase start date included in the application. For projects that require TAP funding to move forward with a particular phase, the start date should be no sooner than July 1 of the award year. For example, applications submitted in the 2023 cycle would receive funding no sooner than July 1, 2024; a TAP-dependent phase should not be scheduled to start sooner than July 1, 2024 Submitted applications, including cost estimates, are reviewed and validated to move forward into the scoring process.

Validation helps to ensure information in the application is accurate, reasonable, and consistent with CTB policy and state and federal regulations.

  1. 6

PROJECT SELECTIONS Application scoring begins once the full application period has closed.

All applications will be reviewed for completion. Complete, eligible applications will be evaluated and scored by VDOT District and LAD staff using qualitative and quantitative metrics based on responses and attachments provided with the application.

For projects within a TMA/MPO area, VDOT will provide the scores to the MPO and support the MPO review process of submitted applications. MPOs can choose to utilize VDOT scores or establish their own scoring and review system. MPO selections are required to be made in consultation with the state. Project selections take place in the spring of even-numbered years following the application cycle. The CTB will receive information about all scored projects. Projects may receive funding from both MPOs and Commonwealth Transportation Board members, depending on their location and 17

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES availability of funding. All CTB members utilize the scores and additional project indicators to make determinations about funding. FHWA expects funds to be awarded to projects that that include elements to proactively address racial equity, workforce development, economic development, and removing barriers to opportunity, including automobile dependence in both rural and urban communities as a barrier to opportunity. District CTB members focus allocations within their respective highway districts. At-Large CTB members make selections to meet population-area funding requirements and then to fill in additional projects statewide.

  1. 6.1 Six-Year Improvement Program (SYIP) and Funding Award Tentative project selections are included in VDOT’s draft Six-Year Improvement Program (SYIP), which goes through a public hearing process each spring. MPO projects may be excluded from the public hearing process depending upon MPO timelines for project selection.

After the SYIP public hearings, the CTB approves final project selections typically at its June meeting.

Any MPO selections unavailable at the June meeting undergo an MPO-coordinated public hearing process and are then presented for approval at a subsequent CTB meeting. 18

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

5 PROJECT IMPLEMENTATION AND MANAGEMENT

  1. 1

PROJECT ADMINISTRATION AGREEMENT (PAA) All Transportation Alternatives Program (TAP) projects require a Project Administration Agreement (PAA) between the local public agency (LPA) and VDOT. The LAP Manual is the primary source for guidance regarding PAAs. The agreement identifies the administration terms and specific responsibilities of the agreement parties, funding sources, estimated VDOT charges, general project estimates by phase, and anticipated reimbursement amounts. Commonwealth Transportation Board (CTB) policy requires that all agreements be signed at the local level and returned to VDOT for execution within six months of receipt or risk project deallocation.

Any project work conducted prior to execution of a PAA is not eligible for reimbursement.

  1. 2

FEDERAL AUTHORIZATION Prior to the LPA initiating any work or incurring costs on a federal-aid project, federal authorization for the specific phase (PE, RW, and CN) and VDOT notice to proceed must be obtained. There are various requirements for federal authorization and to ensure that project expenditures are eligible for reimbursement. Refer to the LAP Manual for specific guidance.

Any project work conducted prior to federal authorization is not eligible for reimbursement.

  1. 3

DEALLOCATION A project may be considered delinquent and subject to deallocation if it does not progress toward meeting the four-year policy. Examples that indicate delinquency include, but are not limited to:

  • Failure to execute project agreement within six months following VDOT transmittal to locality;
  • Failure to demonstrate reasonable progress, including PE expenditures of at least 50% by year two of the year of first allocation;
  • Failure to reach the RW phase within three years of first allocation; and
  • Failure to reach construction within four years of first allocation. See Four-Year Policy.

VDOT District staff regularly monitor TAP projects for progress. By the third project year, the VDOT Local Assistance Division (LAD) may send a letter to LPAs with projects that have not yet reached construction as a reminder of the four-year policy and the date by which the project is required to reach construction. If a project has not reached construction by the fourth year, or is otherwise considered delinquent during its lifecycle, LAD may send a letter notifying the LPA that the project is at significant risk of deallocation and additional action is required. 19

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

6 SAFE ROUTES TO SCHOOL NONINFRASTRUCTURE

  1. 1

BACKGROUND

  1. 1.1 Program History Safe Routes to School (SRTS) was established in 2005 under Section 1401 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). As established, the purpose of the program is:
  • To enable and encourage children, including those with disabilities, to walk and bicycle to school;
  • To make bicycling and walking to school a safer and more appealing transportation alternative, thereby encouraging a healthy and active lifestyle from an early age; and
  • To facilitate the planning, development, and implementation of projects and activities that will improve safety and reduce traffic, fuel consumption, and air pollution in the vicinity of schools.

In 2012, SRTS was combined with the Transportation Alternatives program under the Moving Ahead for Progress in the 21st Century (MAP-21) Act. Transportation Alternatives, including SRTS, was reauthorized in 2021 under the Infrastructure Investment and Jobs Act (IIJA), also known as the Bipartisan Infrastructure Law (BIL)

  1. 1.2 Program Intent Safe Routes to School Noninfrastructure programs (SRTS-NI) can result in many possible outcomes depending on program structure, such as:
  • Increased bicycle, pedestrian, and traffic safety;
  • Increased interest in bicycle and pedestrian accommodations throughout a community;
  • More children walking and bicycling to and from schools;
  • Decreased traffic congestion;
  • Encouragement of healthy and active lifestyles;
  • Improved air quality;
  • Reduced fuel consumption;
  • Enhanced community accessibility;
  • Increased community involvement;
  • Improvements to the physical environment that increase the ability to walk and bicycle to and from schools; and
  • Improved partnerships among schools, local municipalities, parents, and other community groups.
  1. 2

SRTS-NI PROGRAM ELIGIBILITY

  1. 2.1 Eligible Entities Eligible entities for the SRTS-NI program are the same as for Transportation Alternatives. Refer to Eligible Entities for detail. 20

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 2.2 Program Administration All SRTS-NI programs are locally administered. VDOT oversight charges are required on all locally administered projects.

In advance of submitting an application, SRTS-NI applicants must coordinate with the appropriate VDOT District office to determine the amount of VDOT oversight charges to include in a funding application.

All SRTS-NI applicants are required to complete the full Qualifications Program (QP) by the time of full application to be eligible. Applicants that do not have an active QP certification at the time of pre-application must demonstrate completion of all online pre-requisites or the pre-application will be screened out.

  1. 2.3 Eligible Expenses Funding is available to establish new SRTS-NI programs, including operational and limited capital costs.

The following is a non-exhaustive list of eligible expenses under the SRTS-NI program. Eligible expenses are determined per program through the approved program budgets, program plans, and program dashboards submitted with each funding application. Any deviation from the approved budget must be approved in writing by the VDOT Local Assistance Division prior to incurring the expense.

  • Local or regional SRTS-NI coordinator pay for new programs with at least three actively participating schools, as follows: o Ten (10) or more schools actively participating in the program:  Northern Virginia District: $67,600/year salary; $16,900/year benefits  All Other Districts: $52,000/year salary; $15,600/year benefits o Three (3) to nine (9) schools actively participating in the program:  Northern Virginia District: $33,800/year salary; no benefits  All Other Districts: $26,000/year salary; no benefits
  • Educational materials and training; safety skills training and materials; and limited campaigns, such as: o SRTS-NI promotional campaigns and materials; o Personal safety skills training for students and parents; o Education for parents and caregivers about safe driving procedures around the schools; o Pedestrian and bicycle skills training for students; o Limited events to provide training, such as bicycle rodeos to teach on-bike skills; o Campaigns to lower speed limits in school vicinities; and o Community safe driving awareness and education campaigns;
  • Participation in International Walk to School Day, Bike to School Day, and other special events;
  • Repair clinics to repair bicycles owned and used by students of participating schools;
  • Incentive activities to encourage safe walking and bicycling, such as: o Walking School Bus programs, o Bike Train programs, and o Walking/biking mileage club;
  • Limited incentives for student participation (less than $10/item);
  • Conducting Student Travel Tallies and Parent Surveys, which are required for continued reimbursement under the SRTS-NI program;
  • Traffic gardens*;
  • Crossing guard training programs and equipment*; and
  • Equipment and supplies used for SRTS-NI programs and activities. Must be reviewed and approved by VDOT Local Assistance Division in the application budget for consideration. Budgets that include equipment, such as bicycles, must include an independent cost estimate at the time of application for each item to be purchased. 21

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES Copies of any training and promotional materials developed with support from the SRTS-NI program must be provided for associated expenses to be reimbursed.

Programs that purchase non-disposable capital items, including but not limited to bicycles, scooters, repair parts for bicycles and scooters, helmets, crossing guard equipment, cones, signage, etc., are required to develop and maintain an asset inventory of purchased items to include, at a minimum, the name/type of item purchased; purchase price; location on the program sponsor’s property where the item is stored; a general description of program use; and an asset tag/identification number for all bicycles and scooters. The capital inventory list is required to be provided with each funding application if the program is seeking federal financial support for repair or replacement parts or equipment, or any new capital items.

Any tangible item purchased with federal funds is required to be stored in a secure location on property owned by the program sponsor. Items that are given to students to keep, such as incentives or bike parts, must be documented. The documentation must include, at a minimum, the type of item given away, the quantity given away, and a list or summary of who received the item(s). Incentives and other items purchased for distribution may only be given to K-12 students at the VDOT-approved schools participating in the SRTS program.

Any approved training for SRTS-NI coordinators and/or crossing guards is only eligible for reimbursement after the training has concluded and documentation is provided with the reimbursement request showing who attended (such as a certificate of attendance, etc.). Any travel costs must follow the current approved VDOT Travel Procedures. A copy of the procedures may be obtained from the appropriate local VDOT District office. If approved to travel for training, a full-time SRTS-NI coordinator whose salary is paid under this program may be considered to travel to up to one (1) out-of-state conference per year. All out-of-state travel should be reviewed and approved in writing by the VDOT Local Assistance Division prior to incurring any costs.

  1. 2.4 Ineligible Expenses Eligible expenses for the SRTS-NI program are limited to those included in Eligible Expenses and, specifically, the budgeted expenses included in the approved program budgets, program plans, and program dashboards submitted with each funding application. Any deviation from the approved budget must be approved in writing by the VDOT Local Assistance Division prior to incurring the expense.

This program is provided to support the start of new programs. These funds are not available to supplant funding currently or previously provided by another source, including local funds.

The following is non-exhaustive list of ineligible expenses under the SRTS-NI program. Expenses that are ineligible may not be reimbursed using federal funds or counted toward the local match, either as a cash match or third-party contribution.

  • Local or regional SRTS-NI coordinator salary and benefits for programs with fewer than three participating schools;
  • Local or regional SRTS-NI coordinator benefits for programs with three to nine participating schools;
  • School bus safety programs and improvements to school bus stops;
  • Operating expenses or other expenses that are not startup costs and are routinely covered by other funding sources;
  • Crossing guard salaries, benefits, and other associated costs;
  • Incentives for crossing guards;
  • Any purchases of food, drink, or gift cards, including business or outreach lunches;
  • Any items to be distributed to winners of a contest, raffle, or to a limited number of students;
  • Any item with a total individual purchase price of more than $10 to be given to a student to keep;
  • Any overhead costs associated with hiring and managing a local SRTS coordinator position, including rent, mortgage, and any office-space related fees or expenses, including furniture and artwork;
  • Fundraising expenses;

22 TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  • Lobbying expenses;
  • Late fees for any purpose;
  • Taxes for any purpose;
  • Membership dues;
  • Clothing, including promotional items, staff uniforms, or cleaning fees;
  • Volunteer time for non-skilled labor;
  • Mileage or other costs associated with vehicle ownership or maintenance, and rental vehicles;
  • Construction or installation work, even in cases where equipment was purchased with noninfrastructure funds (e.g. signage or bike rack installation).

6.3 SRTS-NI BUDGETING AND FUNDS MANAGEMENT

  1. 3.1 Funding Overview The SRTS-NI program is offered by VDOT to start new programs, with limited support provided for existing programs.

New applicants for funding may seek up six years of funding support through two back-to-back applications. The first application may be submitted for up to four years of funding, with two years at 100% of the total budget (at 80% federal, 20% local) and two years at 60% of the budget (at 80% federal, 20% local). The second application may be submitted for up to two final years of funding at 30% of the budget (at 80% federal, 20% local).

Existing programs that previously received TAP and/or SRTS funding through VDOT may submit one final application for funding in the FY27-28 cycle for up to four years of funding, with two years at 60% of the budget (at 80% federal, 20% local) and two years at 30% of the budget (at 80% federal, 20% local).

Application FY27-28 FY29-30 FY31-32 Year Two years at 100% Two years at 60% Two years at 30%

Budget: $100,000 Budget: $100,000 Budget: $100,000

Eligible: $100,000 Eligible: $60,000 Eligible: $30,000 Not New Program (100%) (60%) $0 $0 (60%) Eligible Federal (80%): Federal (80%): Federal (80%): $80,000 $48,000 $24,000 Local (20%): Local (20%): Local (20%): $20,000 $12,000 $6,000 Two years at 60% Two years at 30%

Budget: $100,000 Budget: $100,000

Eligible: $60,000 Eligible: $30,000 Existing Not Not Not (60%) (60%) Not Eligible Program Eligible Eligible Eligible Federal (80%): Federal (80%): $48,000 $24,000 Local (20%): Local (20%): $12,000 $6,00023

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 3.2 Third-Party Contributions and Donations The required 20% local match may be met in full or in part by third-party contributions. Any anticipated third-party contributions must be documented within the program budget submitted with each funding application. Refer to Third-Party Contributions for more information.

Any third-party contributions must be sufficiently documented via zero-balance invoice on company letterhead from the contributing third-party and bear signature from an executive staff member authorized to provide donations and contributions to another organization, such as an Executive Director, Chief Executive Officer, or Board Chair.

  1. 3.3 Cost Overruns Funding awarded for the SRTS-NI program is capped at the awarded amount for each application cycle. Additional funds are not available in the event of cost overruns.
  2. 3.4 Four-Year Policy CTB policy requires TAP projects to reach construction within four years following initial allocation. SRTS-NI programs do not include a construction phase, and instead may submit for reimbursement of eligible expenses for the four-year period following the award of funds. Programs that are submitting for the final two years of funding may submit for reimbursement of eligible expenses for the two-year period following the award of funds.
  3. 4

SRTS-NI APPLICATION PROCESS AND REQUIREMENTS

  1. 4.1 Application Process All SRTS-NI projects are submitted through the SMART Portal (see the Application Process section). However, these projects have different documentation and information requirements. Required application attachments include a program budget, program plan, program dashboard, resolution of support from the governing body, letter of support from participating school principals or the superintendent, proof of public participation, metropolitan planning organization (MPO) endorsement (see the Public Involvement in an MPO Area section), and a third-party contribution plan, if applicable (see the Third-Party Contributions section).

If the SRTS-NI budget includes bicycles or bicycle parts, the applicant must provide a complete list of the current bicycle fleet, including size of each asset, asset identification numbers, storage location, and a description of how each asset is used. Independent cost estimates are required for each item to be purchased. This information will be evaluated when determining eligibility of specific budget items.

  1. 5

SRTS-NI PROGRAM IMPLEMENTATION AND MANAGEMENT

  1. 5.1 Project Administration Agreement (PAA) Funded SRTS-NI projects will follow the same project agreement process as all other TAP projects (see the Project Agreement section), but the program budget, program plan, and program dashboard will accompany the agreement as supplemental documents identifying eligible project expenses and activities. 24

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

  1. 5.2 Deallocation A funded SRTS-NI project may be considered delinquent and subject to deallocation if the project agreement is not executed within six months following VDOT transmittal to locality.

All SRTS-NI programs are awarded funding for a two- or four-year period that begins on July 1 of the eligible funding year.

All unspent funds as of the June 30 reimbursement request in the second or fourth year from award, based upon the award period, will be deallocated. 25

TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

APPENDIX A: ACRONYMS AND ABBREVIATIONS Acronym/Abbreviation Explanation AASHTO American Association of State Highway and Transportation Officials ADA Americans with Disabilities Act of 1990 BIL Bipartisan Infrastructure Law, also known as IIJA CN Construction CTB Commonwealth Transportation Board FHWA Federal Highway Administration IIJA Infrastructure Investment and Jobs Act, also known as BIL ISTEA Intermodal Surface Transportation Efficiency Act K-12 Kindergarten through 12th grade LAD VDOT's Local Assistance Division LAP Locally Administered Projects LPA Local Public Agency MPO Metropolitan Planning Organization NEPA National Environmental Policy Act PAA Project Administration Agreement PE Preliminary Engineering RtA Request to Administer Form RTP Recreational Trails Program RW Right of Way SRTS Safe Routes to School STBG Surface Transportation Block Grant STIP State Transportation Improvement Program SYIP Six-Year Improvement Program TAP Transportation Alternatives Program TIP Transportation Improvement Program TMA Transportation Management Area TMPD VDOT's Transportation and Mobility Planning Division TPB Transportation Planning Board, specifically the National Capital Region Transportation Planning Board VDOT Virginia Department of Transportation

26 TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

APPENDIX B: USEFUL LIFE SCHEDULE

Minimum Maintenance 100% Return of Federal Annual Reduction after Type of Project Expectation Investment 5 Years Any project < $200,000 5 Years 5 Years 0 Landscaping 5 Years 5 Years 0 Unpaved Trail 10 Years 5 Years 20% Streetscape 15 Years 5 Years 10% Sidewalks Only 15 Years 5 Years 10% Paved Trails 15 Years 5 Years 10% Historically Preserved 15 Years 5 Years 10% Structure New Structure Associated with an Eligible 20 Years 5 Years 5% Transportation Alternatives Use

Useful life for any project with Transportation Alternatives funding begins upon issuance of the Ending Local Assistance Program C-5.27 TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

APPENDIX C: ELIGIBLE PROJECT ACTIVITIES

Transportation Alternatives Activity Type Eligibility Access enhancements to public transportation (bus pads, benches, and shelters) $ ADA/504 Self Evaluation/Transition Plan $1 Barrier removal for ADA compliance $ Bicycle plans $1 Bicycle lanes on road $ Bicycle parking $ Bike racks on transit $ Bicycle repair station (air pump, simple tools) $ Bicycle share (capital and equipment; not operations) $ Bicycle storage or service centers (example: at transit hubs) $ Bridges/overcrossings for pedestrians and/or bicyclists $ Crosswalks for pedestrians, pedestrian refuge islands (new or retrofit) $ Curb ramps $ Data collection and monitoring for pedestrians and/or bicyclists $1 Emergency and evacuation routes for pedestrians and/or bicyclists $1 Historic preservation (pedestrian and bicycle and transit facilities) $3 Landscaping; streetscaping (pedestrian/bicycle route; transit access); related amenities $2 (benches, water fountains); usually part of a larger project Lighting (pedestrian and bicyclists scale associated with pedestrian/bicyclist project) $ Maps (for pedestrians and/or bicyclists) $1 Micromobility projects (including scooter share) $ Paved shoulders for pedestrian and/or bicyclist use $ Pedestrian plans $1 Rail at-grade crossings $2 Resilience Improvements for pedestrians and bicyclists $1 Road Diets (pedestrian and bicycle portions) $228 TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

Road Safety Assessment for pedestrians and bicyclists $1 Separated bicycle lanes $ Shared use paths/transportation trails $ Sidewalks $ Signs, pedestrian signals, signal improvements (incl. accessible pedestrian signals) $ Signing for pedestrian or bicycle routes $ Spot improvement programs (for pedestrian and bicycle facilities) $ Stormwater impacts related to TAP-funded pedestrian and bicycle project impacts $ Traffic calming $ Trail bridges $ Trail/highway crossings and intersections $1 Trailside/trailhead facilities (restroom, water, not general park amenities) $ Training $1 Tunnels/underpasses for pedestrians and/or bicyclists $ Vulnerable Road User Safety Assessment $1 SRTS-NI Activity Type Eligibility Bicycle helmets (project or training related or as a safety promotion) $SRTS-NI Coordinator positions $SRTS-NI Safety education and awareness activities and programs to inform pedestrians, bicyclists, and $SRTS-NI motorists on ped/bike traffic safety laws Safety enforcement (including police patrols) $SRTS-NI Safety program technical assessment (for pedestrians and/or bicyclists) $SRTS-NI Training for law enforcement on pedestrian and/or bicyclist safety laws $SRTS-NI

  1. Transportation Alternatives Program Planning Grant Assistance Program.
  2. Not eligible as a standalone project.
  3. Historic preservation is limited to the in-place preservation of bicycle, pedestrian, and transit structures that are on or eligible for the National Register of Historic Places and have been reviewed by the Virginia Department of Historic Resources (DHR), which serves as the State Historic Preservation Office, and the Advisory Council on Historic Preservation. Projects that would affect a historic property with religious or cultural significance by an Indian tribe must also coordinate with the tribe. DHR oversees federal aid historic preservation projects to ensure compliance with Section 106 of the National Historic Preservation Act. Applicants that do not provide evidence of coordination with DHR and evidence of eligibility for the National Register of Historic Places at the time of pre-application will not be eligible for consideration. TAP funds may only be used to preserve eligible facilities according to historic preservation standards; funds may not be used for operating costs, upgraded amenities, museum exhibits, and other non-preservation expenses. Any ineligible use of the preserved property will affect the eligibility of the preservation activities. Any property that is preserved with TAP funding is required to carry sufficient commercial29 TRANSPORTATION ALTERNATIVES PROGRAM GUIDELINES

insurance to protect the federal investment in the property; FHWA will be reimbursed for its federal investment on all buildings that are sold or destroyed within their useful life, according to Appendix B: Useful Life Schedule.

END OF DOCUMENT

Guidelines for Transferring Roads to the Primary SystemDoc ID: DM-14-1

Original: 478 words
Condensed: 421 words
Reduction: 11.9%

--- Page 1 ---

VDOT DEPARTMENT MEMORANDA (DM) MANUAL

Date: 4/15/14 VDOT DM Number: 14-1 Approved: Charles A. Kilpatrick, P.E., Commissioner Supersedes: 8-1 (1/8/99)

CRITERIA FOR TRANSFERRING SECONDARY ROADS TO THE

PRIMARY SYSTEM

Introduction Recommendations to the Commonwealth Transportation Board for transfers from the Secondary System to the Primary System will be based upon this policy’s criteria.

TERM MEANING Activity Center An area that has a concentration of activities that generate significant vehicular traffic such as central business districts, towns, urban development areas, major commercial centers, airports, military bases, and tourist sites.

Arterial A highway which carries trips of longer length and generally higher speed than other highways. In federal functional classification terms, for the purposes of this memorandum, this is a Rural Minor Arterial, Rural Other Principal Arterial, Urban Minor Arterial, Urban Other Principal Arterial, or Urban Freeway and Expressway.

Bus All vehicles manufactured and utilized as traditional passenger-carrying buses with two axles and six tires or three or more axles. This category includes only traditional buses (including school buses) functioning as passenger-carrying vehicles.

Tractor-trailer All vehicles consisting of two or three units, one of which is tractor or straight truck power unit.

Criteria Roads may be recommended by the Virginia Department of Transportation to the Commonwealth Transportation Board for transfer from the Secondary System to the Primary System if:

 The road connects to an existing Primary or Interstate Highway and  The road meets a majority of the following criteria:

  • Provides a reasonably direct connection between activity centers that are not already connected by existing primary or Interstate highways;
  • Carries at least 10,000 vehicles per day;
  • Carries at least 200 tractor-trailers and buses per day;
  • Is classified in the federal functional classification system as an arterial;
  • Is designated as a National Highway System (NHS) facility; and
  • Meets the lane width and shoulder width design standards for a highway of its current functional classification and traffic volume.

Reference  Code of Virginia, § 33.2-314.  Commonwealth Transportation Board Minutes, 12/17/98, 2/20/13.

[TABLE 1-1]

TERM | MEANING Activity Center | An area that has a concentration of activities that generate significant vehicular traffic such as central business districts, towns, urban development areas, major commercial centers, airports, military bases, and tourist sites.

Arterial | A highway which carries trips of longer length and generally higher speed than other highways. In federal functional classification terms, for the purposes of this memorandum, this is a Rural Minor Arterial, Rural Other Principal Arterial, Urban Minor Arterial, Urban Other Principal Arterial, or Urban Freeway and Expressway.

Bus | All vehicles manufactured and utilized as traditional passenger-carrying buses with two axles and six tires or three or more axles. This category includes only traditional buses (including school buses) functioning as passenger-carrying vehicles.

Tractor-trailer | All vehicles consisting of two or three units, one of which is tractor or straight truck power unit.

[/TABLE]

Professional Services Procurement GuidelinesDoc ID: 2017

Original: 51,574 words
Condensed: 42,443 words
Reduction: 17.7%

MANUAL

FOR THE

PROCUREMENT & MANAGEMENT

OF

PROFESSIONAL SERVICES

July 1, 2016 Revision July 1, 2017TABLE OF CONTENTS PREFACE ....................................................................................................................... ii

CHAPTER 1 - DETERMINATION OF NEED FOR OUTSIDE SERVICES ................... 1-2

  1. 1 Determination of Need ................................................................................... 1-2
  2. 2 Determine Scope of Services ......................................................................... 1-3
  3. 3 Estimated Cost of Services ............................................................................ 1-3
  4. 4 Approvals………. ........................................................................................... 1-4

CHAPTER 2 – RFP and ADVERTISING PROCEDURES ........................................... 2-2

  1. 1 RFP Development .......................................................................................... 2-2
  2. 2 Advertisements and Notifications ................................................................... 2-3
  3. 3 Project Showing ............................................................................................. 2-6
  4. 4 Receipt of EOIs .............................................................................................. 2-6

CHAPTER 3 - SELECTION PROCEDURE ................................................................. 3-2

  1. 1 Selection Factors ........................................................................................... 3-2
  2. 2 Present Workload Computation ..................................................................... 3-5
  3. 3 Distribution of EOIs ........................................................................................ 3-7
  4. 4 Attendees at Selection Committee Meetings ................................................. 3-8
  5. 5 Short List Meeting .......................................................................................... 3-9
  6. 6 Short List Certification and Notification ........................................................ 3-11
  7. 7 Project Briefing Meeting ............................................................................... 3-12
  8. 8 Interview/Technical Presentation Phase ...................................................... 3-13
  9. 9 Final Ranking ............................................................................................... 3-14
  10. 10 Final Selection ............................................................................................. 3-15
  11. 11 Retention of Records ................................................................................... 3-16
  12. 12 Consultant Debriefings ................................................................................. 3-17

CHAPTER 4 - CONTRACT NEGOTIATION ................................................................ 4-2

  1. 1 General….. ..................................................................................................... 4-2
  2. 2 Scope of Services Meeting and Invitation to Submit Proposal ....................... 4-2
  3. 3 VDOT's Fee Estimate .................................................................................... 4-3
  4. 4 Consultant’s Fee Proposal ............................................................................. 4-4
  5. 5 Title VI Evaluation Report .............................................................................. 4-6
  6. 6 Fee Proposal Evaluation ................................................................................ 4-6
  7. 7 Net Fee….. ................................................................................................... 4-12
  8. 8 Negotiations ................................................................................................. 4-14
  9. 9 Pre-Award Audit Evaluation ......................................................................... 4-15

CHAPTER 5 – MEMORANDUM OF AGREEMENT .................................................... 5-2

  1. 1 General….. ..................................................................................................... 5-2
  2. 2 Types of Contracts ......................................................................................... 5-2
  3. 3 Types of Compensation ................................................................................. 5-5
  4. 4 MOA Development ......................................................................................... 5-6
  5. 5 MOA Execution .............................................................................................. 5-8
  6. 6 MOA Distribution ............................................................................................ 5-8
  7. 7 Notice to Proceed .......................................................................................... 5-8
  8. 8 Critical Infrastructure Information/Sensitive Security Information (CII/SSI) ... 5-9

CHAPTER 6 - PAYMENT PROCESS / VOUCHER ..................................................... 6-2

  1. 1 General….. ..................................................................................................... 6-2
  2. 2 Financial Management System (Cardinal) ..................................................... 6-2
  3. 3 Consultant Invoice and Progress Report Submissions .................................. 6-2
  4. 4 Review of Invoices & Progress Reports ......................................................... 6-3
  5. 5 Annual FAR Audits ......................................................................................... 6-5
  6. 6 Voucher Package Distribution ........................................................................ 6-5
  7. 7 Interim and Final Audits ................................................................................. 6-6
  8. 8 Items Eligible For Reimbursement As Consultant's Costs ............................. 6-6
  9. 9 Final Payment ................................................................................................ 6-8

CHAPTER 7 - CONTRACT ADMINISTRATION / REVIEWS ...................................... 7-2

  1. 1 Contract Administration .................................................................................. 7-2
  2. 2 Evaluation of Consultant Performance and Services ..................................... 7-4
  3. 3 Final Consultant Performance Report ............................................................ 7-5
  4. 4 Title VI Evaluation Report .............................................................................. 7-6
  5. 5 Insurance.. .................................................................................................... 7-6
  6. 6 Annual FAR Audits ......................................................................................... 7-6
  7. 7 Plan Errors and Omissions ............................................................................ 7-6
  8. 8 Ethics in Contracting ...................................................................................... 7-8
  9. 9 Critical Infrastructure Information/Sensitive Security Information (CII/SSI) .... 7-8

CHAPTER 8 - SUPPLEMENTAL AGREEMENTS ...................................................... 8-2

  1. 1 Allowable Uses of Supplement Agreements .................................................. 8-2
  2. 2 Non-Allowable Uses of Supplemental Agreements ........................................ 8-2
  3. 3 Justification of Supplemental Agreements ..................................................... 8-3
  4. 4 Net Fee….. ..................................................................................................... 8-3
  5. 5 Execution of Supplement Agreement ............................................................. 8-3
  6. 6 Notice to Proceed .......................................................................................... 8-4
  7. 7 Modifications .................................................................................................. 8-4

CHAPTER 9 - SMALL PURCHASE PROCEDURES .................................................. 9-2

  1. 1 Small Purchase Procedures for Professional Services .................................. 9-2
  2. 2 Small Purchase Procedures for Goods and Services Other Than Professional Services…. .................................................................................................... 9-3

CHAPTER 10 - SOLE SOURCE AND EMERGENCY CONTRACTS ........................ 10-2 10.1 General….. ................................................................................................... 10-2 10.2 Sole Source Contracts ................................................................................. 10-2 10.3 Emergency Contracts .................................................................................. 10-3

CHAPTER 11 – CONSULTANT ENGINEERING INSPECTION ............................... 11-2 11.1 General….. ................................................................................................... 11-2 11.2 CEI Services RFP ........................................................................................ 11-2 11.3 Direct and Indirect Cost ............................................................................... 11-3

APPENDIX

A Consultant Agreement Checklist

B

23 CFR 172C

C SWaM/DBE Policy D Guidelines for the Use of Consultant Performance Reports in the Selection Process E Computation of Cost plus Net Fee

PREFACE

iPREFACE

Purpose

This Manual has been prepared to promote uniformity in the method of procuring professional services by the Virginia Department of Transportation (“VDOT”) as set forth by Title 2.2, Chapter 43, as known as the Virginia Public Procurement Act (“VPPA”), ( http://law.lis.virginia.gov/vacode/title2.2/chapter43/) and 23 CFR 172 – Procurement, Management and Administration of Engineering and Design Related Services Contracts (Appendix B) http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&SID=3ac6dbed95ab03fccf14a2fb1bc63be8&rgn=div5&view=text&node=23:

  1. 0.1.2.3&idno=23 This Manual is intended to serve as VDOT’s policy for the procurement, and management of professional services related to contracts for environmental, location, design and inspection work regarding highways and bridges by the Commonwealth Commissioner of Highways. It shall be used in conjunction with the Code of Virginia and applicable Federal/VDOT/Divisional regulations.

The Director of Consultant Procurement, as Chairperson of the Consultant Coordinating Committee (CCC), in conjunction with the committee, is responsible for establishing and submitting policy and procedures for the administration of professional services for approval by the VDOT administration. The CCC assists in the support and implementation of this responsibility, and consists of representatives from various VDOT disciplines.

Professional Responsibility - Consultants are responsible for conceiving and designing all types of engineering works and services and for providing the assurance that they are properly and economically constructed. The health, safety, and comfort of the public depend to a considerable extent upon how well the Consultant fulfills this obligation and thereby contributes to the enhancement of human welfare. The Consultant has, therefore, obligations as trustee to the public interest as well as to the private interests of VDOT. Successful fulfillment of these responsibilities requires complete candor, understanding, and communication on the part of the Consultant and VDOT so that mutual trust and respect can be established.

The Consultant is often responsible for planning that may commit VDOT to the expenditure of large sums of money. The benefits of the work to be constructed from this planning and its suitability for the project's intended function must often be accepted at face value by VDOT which may be unfamiliar with the technical aspects of such works. By their very nature, then, consultant services must be performed in a competent and efficient manner, on a highly ethical plane, and in an atmosphere of mutual trust between VDOT and the Consultant.

Consulting Engineering Services - "Consulting Engineering," as the term is used in the United States - and this Manual - includes not only consultation, advice, and expert testimony, but also the furnishing of extensive and diversified services by engineering ii firms especially organized and maintained for that purpose. Such firms draw upon the combined talents of designers, technical analysts, specification writers, technicians, inspectors, surveyors, and other experienced engineers; they also utilize the expertise of practitioners and specialists in other fields.

48 CFR 2.101 defines architect-engineer as

  1. Professional services of an architectural or engineering nature, as defined by State law, if applicable, that are required to be performed of approved by a person licensed, registered, or certified to provide those services.
  2. Professional services of an architectural or engineering nature performed by contract that are associated with research, planning, development, design, construction, alternation, or repair of real property: and
  3. Those other professional service of an architecture or engineering nature, or incidental services, that members of the architecture and engineer professions (and individuals in their employ) may logically or justifiably perform, including studies, investigations, surveying and mapping, tests, evaluations, consultations, comprehensive planning, program management, conceptual designs, please and specifications, value engineering, construction phase services, soils engineering, drawing reviews, preparation of operations and maintained manuals, and other related services.

Professional Services may include:  Bridge safety inspections  Building architecture  Construction engineering  Construction engineering inspection  Electrical engineering  Environmental services  Geotechnical services  Hydrologic and hydraulic studies  Landscape architecture  Materials testing  Mechanical engineering  Preparation of operating and maintenance manuals for systems designed as a professional service  Project design  Project management of professional services  Right of way engineering  Roadway design  Roadway lighting design  Technical Specification writing  Structural design  Surveying  Traffic investigations and studies  Traffic signs and signals design/inspection iii  Transportation planning  Utility inspections  Value engineering

VPPA (http://leg1.state.va.us/cgi-bin/legp504.exe?000+cod+2.2-4301) states "Professional Services" means work performed by an independent contractor within the scope of the practice of accounting, actuarial services, architecture, land surveying, landscape architecture, law, dentistry, medicine, optometry, pharmacy, or professional engineering. Virginia law states that "Professional Engineer" means a person who is qualified to practice engineering by reason of his special knowledge and use of mathematical, physical and engineering sciences and the principles and methods of engineering analysis and design acquired by engineering education and experience, and whose competence has been attested by the Board through licensure as a professional engineer. The "practice of engineering" means any service wherein the principles and methods of engineering are applied to, but are not necessarily limited to, the following areas: consultation, investigation, evaluation, planning and design of public or private utilities, structures, machines, equipment, processes, transportation systems and work systems, including responsible administration of construction contracts. The “practice of engineering” does not include the service or maintenance of electrical or mechanical systems.

Distribution of the Manual

Copies of the Manual may be obtained from the Alternative Project Delivery (APD) Division or downloaded from VDOT’s external website at http://www.virginiadot.org/business/gpmps.asp. As revisions, deletions and additions become necessary; they will be incorporated into the Manual.

Roles and Responsibilities  VDOT Project Manager – assigned to deliver the project or task assignment and manage associated consultant activities.  Selection Committee Members – responsible for the selection of the consultant team using the process outlined in this manual and under the guidance of the Procurement Officer.  Selection Committee Chairperson – a member of the Selection Committee with the added responsibilities of leading and coordinating committee activities to include preparation of consultant interview questions, selection decision narratives, etc.  Procurement Officer – a representative of the Alternative Project Delivery (APD) Division with responsibility to administer the consultant procurement process as outlined in this manual.  Lead Division Administrator – the Central Office Division Administrator (or their designee) responsible for approval to advertise the RFP, review and affirmation of the short list, and approval of the narrative statements and final selection.  Deputy Chief Engineer – delegated by the Commissioner of Highways to execute professional service agreements. iv

CHAPTER 1

DETERMINATION

OF

NEED

FOR

OUTSIDE

SERVICES

1 - 1CHAPTER 1 - DETERMINATION OF NEED FOR OUTSIDE SERVICES

  1. 1 Determination of Need

VDOT requires outside services to augment its professional staff and to carry out VDOT’s goals and mission effectively.

Professional services are generally retained when: (1) a given project needs to be expedited, but the staff is assigned to other important projects and cannot be released without jeopardizing those projects; (2) the division's work program may be substantially larger than normal or anticipated for future years and it would serve no useful purpose to increase the size of the staff for a short period of time; or (3) the unusual character of a project requires specialized knowledge, expertise or experience beyond the everyday scope of VDOT staff.

Consulting, professional and individual services may also be used to obtain

 An opinion, advice or skill which is needed only temporarily and which is not available within the agency or from another state agency.  Outside expertise to provide a broader perspective or objective opinion on critical or sensitive issues.  Benefit of developments in industry, university, or foundation research.  The opinions of experts whose national or international prestige can contribute to the success of important projects.  A deliverable that is an individually tailored application of a product already developed by an outside firm and is available more economically and expeditiously than a comparable product developed in-house.  Performance of one-time tasks or activities of limited duration that do not warrant augmentation of permanent staff.  Performance of one-time tasks or activities of limited duration that requires the augmentation of permanent staff in order to comply with deadlines imposed by third parties.

Each Division Administrator is responsible for determining when outside services are needed to accomplish their work objectives or to assist the districts. This is determined by analyzing the available manpower compared with projected work that has to be accomplished and the Six Year Improvement Program (“SYIP”), and/or the specialized nature of the work.

All procurement of professional services will be performed by the APD Division in the Central Office. Procurement of professional services by the districts is not authorized.

Once the procurement has been completed, the Lead Division Administrator may transfer the contract over to district personnel to administer. District personnel administering professional service contracts must be knowledgeable of the requirements in this Manual and the VPPA. The division that the outside services are being procured for (“Lead Division”) will provide oversight responsibilities for the contracts.

1 - 21.2 Determine Scope of Services

The Lead Division Administrator determines that outside services are needed. The VDOT Project Managers who is assigned to the project has the following responsibilities:

 Notify other divisions in writing that have a need to have services included in the contract.  Request involved divisions or districts to assign a coordinator to assist in determining the scope of services needed, and to provide an estimate of man-hours and cost for consultants to perform the requested services.  Conduct a scoping meeting to determine which work tasks should be included in the procurement. A recommendation should be developed at this meeting to determine who will serve on the Selection Committee. (Note may not be warranted if sufficient information is provided to the other divisions for them to fully determine the scope of their involvement in the project). A scoping meeting is not warranted for Limited Services Term Contracts.  Develop a comprehensive scope of services prior to the project advertisement.

This is to ensure that all of the required services are included in the Request for Proposal (“RFP”) and to help prevent future supplemental agreements being needed.

If the Scope of Services for all phases or stages of the work cannot be clearly defined until some of the initial work is completed, then a multi-phase professional services contract may be used.

After the development of the comprehensive scope, the Lead Division will be determined. If the Lead Division cannot be determined at the scoping meeting, the Division Administrator, who initiated the procurement, shall make the decision.

Early consultation and notification shall be made with Federal Highway Administration (“FHWA”) of the procurement when any of the following instances apply:

 Project is defined as a “Project of Division Interest”; procurement must be coordinated with the Area Engineer in accordance with the projects’ Stewardship and Oversight Plan.  Project with an estimated total cost of $500,000,000 or more. Those projects are designated by FHWA as “Projects of Corporate Interest” and need to be coordinated with the Major Projects Engineer in accordance with the projects’ Stewardship and Oversight Plan.  When the consultants are to act in a management role for VDOT on federally funded projects.

  1. 3 Estimated Cost of Services

The VDOT Project Manager shall request each involved division to prepare and submit a planning estimate (*) of cost for the project or assignment. The planning estimate is

1 - 3required from the involved division regardless of how the division chooses to accomplish their work. The estimated cost and man-hours for in-house reviews, instruction and coordination meetings, etc., should also be provided to the Procurement Officer. The VDOT Project Manager should determine the total Preliminary Engineering, Right of Way, and Construction cost based on the information received from each division involved.

  • Planning estimates of the preliminary engineering, right of way and construction cost may be developed without the full knowledge of the final project/assignment scope, but are based on the best information available, including evaluation of cost for similar work previously performed.

The VDOT Project Manager will then notify the funding division of the amount of the estimate. A comparison shall be made with the figures in the SYIP. If an adjustment in the budget cost needs to be made, approval from the appropriate funding division must be obtained in writing and retained in the project file before proceeding. The VDOT Project Manager will verify availability of funding. If additional funds are not approved, the determination of the project must be reviewed with the Lead Division’s Chief. (Some divisions administer special funds, such as federal State Planning and Research funds, which do not require this procedure to be followed). A planning estimate is not required for Limited Services Term Contracts; however, a determination of the limiting fee should be based on the projected workload.

For project specific contracts, notify the funding division in writing and request written verification (Form IID-4C) that funding is available.

  1. 4 Approvals

  2. 4.1 Approval of Selection Committee & Selection Criteria

The VDOT Project Manager will submit the CPO-1 form to the Alternative Project Delivery Division. The assigned Procurement Officer will coordinate with the VDOT Project Manager and the Lead Division Administrator requesting approval of the following:

 Selection Committee, which shall consist of the following: o All members of the Selection Committee shall be VDOT employees. The Chairperson should have served on a Selection Committee previously and possess expertise in the field of services being procured. If the contract is for services requiring licenses by the Department of Professional and Occupational Regulations (DPOR), then the Chairperson should hold an appropriate license. Other voting members should be qualified and experienced senior level personnel in the similar types of services. All members of the Selection Committee shall have received consultant selection committee training prior to performing their duties in the procurement process

1 - 4 and have certified this fact by signing the Certification of Non-Conflict of Interest and Training form. o The Selection Committee shall consist of three members unless additional members are required based upon the scope of the RFP. Furthermore, the committee shall have an odd number of members to eliminate possible tie votes. o One member shall be from the Central Office Lead Division; however, no more than two members of the Selection Committee should be from the Central Office Lead Division or the same district section. o Additional members from the respective discipline depending on the scope of the work and the number of divisions involved. o Persons who are qualified to evaluate the service being provided and are thoroughly familiar with the objectives of the project.  Proposed selection criteria.  The number of awards for term contracts.  Evaluation categories and weighted factors may, with the approval of the Lead Division Administrator, be adjusted to reflect the important specifics involved in the proposed procurement.  The proposed procurement schedule.  The project charge.  Permission to proceed with the procurement.

The Lead Division Administrator will approve the above items.

1 - 5 CHAPTER 2 RFP and

ADVERTISING

PROCEDURES

2 - 1CHAPTER 2 – RFP and ADVERTISING PROCEDURES

  1. 1 RFP Development

The written RFP is issued to describe, in general terms, that which is being procured.

The RFP must specify and list specific requirements for certain necessary information to be addressed by the firms that will be used in evaluating the proposals. Some of this information includes location of where the work will be performed (if applicable and necessary), key personnel that will be assigned to the project, experience in performing similar work, special qualifications, organizational structure, Disadvantaged Business Enterprises/Small, Women and Minority Owned Businesses (“DBE/SWaM”) percent of work (if applicable), firm data (name, address, DBE/SWaM status, age and annual gross receipts), ability to meet the time schedule, current workload with VDOT, and other requirements of the RFP.

It also points out VDOT requirements regarding professional registration, CII/SSI, Criminal History Background Checks (“CHBC”), debarment, the employment of illegal aliens, the method of payment for the contract (See Section 5.3), and submittal requirements.

The Lead Division shall coordinate with the Procurement Officer to prepare a Request for Proposals using the template RFP.

The RFP should include the following:  A brief narrative statement concerning the project’s location shall be listed.  Scope of services required.  Estimated project cost (use contract value for Limited Services Term Contracts).  Type of contract proposed (Limited Services Term or Project Specific Contracts). o Select Type of Compensation (see Section 5.3).  If multiple awards are desired, then the RFP shall state that multiple contracts may be awarded along with the anticipated number of awards for the scope of services being advertised. The multiple awards contracts are best suited for the statewide Limited Services Term Contracts and cannot be used on project specific contracts.  When completion of the earlier phases is necessary to provide information critical to the negotiation of a fair and reasonable price for succeeding phases, VDOT should use multi-phase professional services contracts which are satisfactory and advantageous to VDOT for environmental, location, design and inspection work regarding highways and bridges. Such contracts will be negotiated and awarded based on a fair and reasonable price for the first phase only. If a multi-phase professional services contract is used, it shall clearly be stated in the RFP.  Evaluation criteria.  Consultant Selection Score Sheets (located in the template RFP). o Only one Selection Score Sheet is to be included in the RFP. o Select pertinent DBE/SWaM requirements (listed in Appendix C). 2 - 2 o Specify present workload limits to match the size of project (i.e. a small project may warrant lowering or raising the present workload limits to enable small consultants an opportunity for competing). o When multiple divisions are involved in procurement, the experience categories may be separated into different items by division and each assigned a weight according to its relative importance.  Estimated start and completion dates.  A project location map.  Project scoping reports.  Appropriate statements shall be made concerning any specialized qualifications and limitations on eligibility for consideration.  If there is sufficient justification for the firm’s location to be a major factor in the selection process, it must be clearly stated in the RFP (see Section 3.1.7.3).  Qualifications or performance data required from consultant firms shall be described.  The name of the responsible Procurement Officer shall be shown complete with the full address, telephone and email address.

The RFP will not request that consultants furnish estimates of man-hours or cost for services.

A copy of the draft RFP for project specific contracts shall be sent to the Civil Rights Division (“CRD”) and all other divisions involved for review and approval. Once the CRD and all other divisions have reviewed and approved the draft RFP and changes have been made accordingly, a quality assurance check must be performed by the Lead Division before advertisement to ensure the final scope is clear and represents the needs of the division(s). The final scope shall be approved by the Lead Division Administrator.

  1. 2 Advertisements and Notifications

VDOT shall make a public announcement in a uniform and consistent manner on each occasion when professional services are required on a proposed project. Multiple consultant selections from a single advertisement shall not be made except for Limited Services Term Contracts. For these contracts, one advertisement may be used with separate EOI required for each Limited Services Term Contract.

After the appropriate approvals to use outside professional services have been obtained, the procurement manager should draft the advertisement for publication in newspapers/websites.

  1. 2.1 Contents of Advertisements

Advertisements should be concise and consist of a general description of the type of work, project location, information on how to obtain a copy of the solicitation, whether or not a pre-proposal conference will be held, and a statement on how to submit 2 - 3 responses and when they are due. They should exclude detailed job requirements and proposal preparation requirements that are included in the RFP.

Advertisement should, at the minimum, contain the following information:  Name and address of the Agency.  Title, brief description and location of the project.  Estimated total project construction cost (if applicable).  Brief scope of services required.  Brief description of any special requirements or unique features.  Any requirements for non-disclosure agreements or CHBCs. Coordinate with the Operations and Security Division (“OSD”). (See Sections 5.8 and 7.9.).  Completion date.  Instructions on how the RFP may be obtained.  Due date and time for submitting an EOI.  If a pre-proposal conference, site visit, or project showing will be conducted, list the date and time.  The RFP for this project may be accessed through VDOT's Internet site: http://www.virginiadot.org/business/default.asp  Telephone access to the hearing or speech impaired will be provided by the Telecommunications Relay Service (TRS). TRS enables specially trained communication assistants to act as confidential “bridges” between hearing users of standard telephones and text telephone (TYY) users with hearing or speech impairments. Communication Assistants of the TRS are specially trained to translate and relay your conversation. This allows people with hearing or speech impairments to communicate with any VDOT employee. TRS is reached in Virginia by dialing 711 and nationwide by dialing 1-888-835-5322.   VDOT assures compliance with Title VI requirements of nondiscrimination in all activities pursuant to this advertisement.

  1. 2.2 Publications

Except in unusual circumstances, the public notice of the RFP shall be published not less than 14 calendar days from the date of issuance of the RFP. To the extent practicable the publications referenced below need to be coordinated so as to be published on the same day.

The advertisement, along with the RFP, should be published as follows:  VDOT Web Site The RFP will be posted on VDOT web site. This should be done prior to the newspaper or Electronic Virginia (“eVA”) advertisement being published. The RFP should be prepared in electronic format using Microsoft Word. Location maps are to be scanned and included in the RFP. 2 - 4  Newspaper Notification The RFP will be published in newspapers as follows:

o A newspaper of general circulation in the area in which the contract is to be performed. o A minority owned newspaper in those areas, when available. o Special projects may be advertised in the Washington Post, and sometimes trade publications, depending on the scope of services.

Written evidence of the newspaper advertisement shall be included in the procurement file.

 eVA Procurement All professional services procurement will be advertised on eVA. The eVA is an electronic procurement site provided by the Virginia Department of General Services (“DGS”), Division of Purchases and Supplies (“DPS”), (http://eva.virginia.gov) to notify the general public of the Commonwealth of Virginia's intent to purchase supplies or services. The eVA Internet site allows the RFP to be submitted electronically. Emergency and sole source procurements are exempt from advertisement in the eVA; however, such procurements over $50,000 require award notices to be posted on eVA. Written evidence of the eVA advertisement shall be included in the procurement file.

The eVA site is one of the consultants' primary means of finding out what work VDOT is advertising. Unless waived, VDOT is prohibited from procuring services from consultants not registered on eVA. Therefore, all consultant firms desiring to perform work for VDOT should be encouraged to subscribe to eVA. VDOT and the consultant will be charged an eVA registration and transaction fee in accordance with the eVA fee schedule published by DGS at (http://eva.virginia.gov).

  1. 2.3 RFP Inquiries

Consultants interested in providing the requested services may download the RFP from eVA or VDOT’s web site, or request, by telephone, in writing, or in person, an RFP from the contact person listed in the advertisement.

Consultants choosing to respond to the advertisement may contact the Procurement Officer as named in the RFP, to receive additional information. If any other VDOT staff is contacted, they shall refer the consultant to the Procurement Officer. The Procurement Officer shall only discuss or give information of a general nature so that no consultant will have a competitive advantage over another. 2 - 5 Project specific and other relevant data will not be made available prior to the short list.

Prior to the technical presentation, if any relevant data for the project that is necessary for the preparation of the consultant’s presentation becomes available, an opportunity for the consultants to view this information should be made available. Plans and data regarding the project should be placed at one location for the consultant to independently review without input from VDOT personnel. Information should not be provided to one consultant that is not available to all. Usually, such visitations will supplant a formal project showing. However, VDOT must ensure that each consultant is treated in a uniformly fair manner with equal access to information and agency personnel.

In order to be short listed, a consultant only needs to have a general idea of the type of expertise required for the project. Once short listed, the consultants will be provided with additional project data in order to prepare for their presentations/interviews.

  1. 3 Project Showing

A project showing may be necessary for unusually complex projects. If held, the project showing should only occur after the short list notification. The purpose of the project showing is to help individuals and firms understand the requirements fully and to supply more detail where needed. If a project showing is to be held, it should be indicated in the public notices and in the RFP and it should be indicated whether attendance is mandatory or optional. The project showing should be no sooner than ten (10) calendar days after the public notices are published in order to provide time for the consultants to become aware of the showing and to plan to attend. Representatives from all involved divisions should attend the meeting. An attendance sheet of persons attending the meeting will be kept in the project file. If Critical Infrastructure Information/Sensitive Security Information (“CII/SSI”) will be available at the project showing or visiting of Critical Infrastructure (“CI”) sites will be required, all attendees will be required to sign non-disclosure agreements (see Sections 5.8 and 7.9).

  1. 4 Receipt of EOIs

Public openings of the EOIs are not required. The EOIs sent by consultants in response to an RFP are to be received by APD Division, as indicated in the RFP. The Procurement Officer will record a date stamp of the EOIs and keep as a part of the procurement record. No acknowledgment of receipt of the EOI will be sent to the consultant unless requested by the firm. The cutoff time for receipt of EOIs is 2:00 p.m., prevailing local time, on the designated date. APD will reject late submittals from consultants with a letter stating the date and time the submittal was received and that it cannot be considered.

After the closing date and time, the Procurement Officer will check out all EOI’s.

Prior to distributing the EOIs to the Selection Committee members, the Procurement Officer shall perform a responsiveness check of each EOI to verify that all required information per the RFP is provided including registration and licensing requirements of 2 - 6 governmental agencies for businesses, individuals and professionals such as the State Corporation Commission (SCC), Department of Professional, and Occupational Regulation’s (DPOR), and any other agencies.

If all required information has not been submitted, the Procurement Officer shall further review its applicability as related to RFP requirements. If the EOI is declared nonresponsive, the Procurement Officer shall notify the consultant in writing. 2 - 7

CHAPTER 3

SELECTION

PROCEDURE

3 - 1CHAPTER 3 - SELECTION PROCEDURE

VDOT uses "competitive negotiation" to select consultants. Competitive negotiation is a selection method defined in the VPPA §2.2-4300. VDOT also adheres to the Brooks Act (Public Law 92-582), also known as Qualifications Based Selection. The Brooks Act establishes a qualifications-based selection process, in which contracts for architects/engineers are negotiated on the basis of demonstrated competence and qualification for the type of professional services required at a fair and reasonable price; price quotations are not a consideration in the selection process.

  1. 1 Selection Factors

Many factors must be considered by the Selection Committee in determining the most appropriate and qualified consultant for a particular project. Among these are:

  1. 1.1 Administrative Requirements

.1 The firm must be of a high ethical and professional standing and employees in responsible charge in the firm must be registered professional engineers in their state of residence and also registered professional engineers in the Commonwealth of Virginia. The reputation and character of a consultant can best be determined by inquiries with previous clients and other references.

.2 The consultants businesses must also be registered to do business in Virginia. A listing of professional engineers and professional firms in Virginia may be accessed on the Department of Professional and Occupational Regulation’s Internet website at http://www.dpor.virginia.gov/LicenseLookup/ .The State Corporation Commission maintains an Internet website https://sccefile.scc.virginia.gov/Find/Business on which you may verify a firm’s corporate registration.

.3 Prior to submitting an Expression of Interest (EOI) in response to a Request for Proposals (RFP), each consultant shall conduct an internal review of its current affiliations, regarding firm and/or personnel involvement relative to the anticipated procurement, and shall require its team members to identify such potential conflicts of interest (COI) or a real or perceived competitive advantage.

If a potential COI or competitive advantage is identified, the consultant shall submit in writing the pertinent information to the Procurement Officer so that a determination can be made to the extent of the conflict or competitive advantage. VDOT, in its sole discretion, will make a determination relative to potential COI (including a real or perceived competitive advantage), and its ability to mitigate such a conflict. If VDOT determines that the potential COI cannot be mitigated, the firm determined to have the COI shall not be allowed to participate as a team member for the proposed procurement.

Failure to abide by VDOT’s determination in this matter may result in a proposal being declared nonresponsive.

3 - 2 3.1.2 Team Experience

All relevant experience must be considered, not just prior VDOT experience. Prior VDOT experience is not a criterion for getting work with VDOT.

.1 Experience of the consultant in performing specific services related to the procurement.

.2 Specialized experience, design, and technical competence of the firm, joint venture, or association, regarding the types of services required.

.3 Experiences of project manager and key staff engineers proposed for the project.

.4 The education, training and experience of the consultant’s professional and technical staff with respect to the magnitude and the requirements of the project.

The consultant may utilize, with prior written consent by VDOT, other firms to perform supplemental specialized services such as aerial and ground surveys, obtaining geologic borings, making exhibits and other work or services.

  1. 1.3 Understanding of Scope

.1 Consultant’s understanding of the project requirements.

.2 Knowledge and productivity in the technical area(s) relevant to the particular engagement. These skills should be derived both from formal education and training and from successful experience in applying the required technical skills on prior similar projects for similar clients.

.3 Evidence that the individuals have already produced solutions and results that are practical, realistic and useful to clients as they apply or relate to the specific needs of VDOT.

.4 The consultant’s approach to the planning, organizing and managing a project effort, including communication procedures, approach to problem solving, data gathering methods, evaluation techniques and similar factors.

.5 Sensitivity to community involvement.

.6 Familiarity of the consultant with applicable federal, state and local regulations, criteria, standards and procedures with respect to planning, design and approval of the project.

3 - 33.1.4 Quality of workmanship and performance of the consultant

This may be determined by a review of sample plans and documents, previous work, inquiries with previous clients, and review of VDOT's Consultant Performance Reports.

.1 Past performance on contracts with respect to such factors as control of costs, coordination and quality of work, and ability to meet schedules. How will cost and quality control be implemented and how will different disciplines/firms be coordinated on our project?

.2 Past performance on prior work with the Department. (See Appendix D).

  1. 1.5 Workload

.1 The workload of the consultant with all clients which may influence project schedules.

.2 Present Workload with VDOT. The volume of ongoing work previously awarded to the firm by VDOT, with the objective of effectuating an equitable distribution of contracts among qualified firms and of assuring that the interest of the public in having available a substantial number of qualified firms is protected.

  1. 1.6 Planned DBE/SWaM Involvement

Level of planned DBE/SWaM utilization, if applicable. (See Appendix C).

  1. 1.7 Organization Capabilities

.1 Management Ability - Clear responsibility should be vested in one individual, the project manager, for each project that the team handles. The Department must be assured that this person's attention and participation will actually be devoted to the project. This assurance should be documented in the EOI.

.2 Team organization and previous experience working as a team.

.3 Location of where work will be performed. (If relevant to the type of services being provided). If there is sufficient justification for location to be a major factor in the selection process, it must be clearly stated in the RFP that location is a major consideration. The fact that a firm is not located in state or in the project area is not a legitimate reason for not selecting them. There must be a legitimate reason to use this selection criterion, not just personal preference.

.4 Facilities and equipment owned by the consultant, including computer capability, reproduction and communication equipment, laboratory and testing equipment, or other specialized equipment applicable to the project under consideration.

3 - 4 Financial standing of the consultant. This may be determined by requesting a certified financial statement. (FAR Audit)

.5 The consultant’s firm is adequately staffed and qualified to perform the work under consideration.

.6 The extent of in-house capabilities of the consultant to perform specialized services required by the project.

.1 Each consultant shall be capable of performing all necessary tasks of his assignment with his own organization and associated consultants.

.2 Should the consultant require the use of outside specialized services, such services should be indicated in the EOI.

  1. 1.8 Ability to Meet Time Schedule

Whether the consultant can complete the work within VDOT’s established schedule.

  1. 2 Present Workload Computation

The present workload for a consultant should be computed by including all work the consultant has with VDOT in each of the following disciplines: Professional Engineering, Landscape Architecture, Land Surveying, Architecture, Accounting, Actuarial Services, Law, and any other discipline allowed by law.

Services being provided under term survey and utility designating/locating contracts, inspection contracts, and operation and maintenance contracts will not be counted against preliminary engineering dollar amounts when a firm is submitting on preliminary engineering work.

Only those disciplines listed above and applicable to the scope of services included in the procurement shall be scored. For example, if procuring an engineering service, only count outstanding engineering workload for that firm. The disciplines have been broken into the following categories: A. term survey and utility designating/locating contracts, B. preliminary engineering contracts, C. construction engineering and inspection contracts, D. operation and maintenance contracts, and E. bridge safety inspection contracts.

Unless there are obvious errors or omissions, the present workload with the Department and contracts currently being negotiated will be accepted as submitted by the consultant in the EOI and are to be entered in ink on the score sheet by each committee member. Pending work, for which the consultant has been selected but no proposal has been submitted, is the greater of the consultant's estimate for performing the services or the Department's planning estimate.

3 - 5The RFP closing date will be the date of record for the outstanding dollar balance. For short list recheck, the date will be the day of the final short list evaluation approval.

All of the prime's outstanding dollar balances for current and pending contracts (excluding their sub's contract dollar amounts) should be reported under the prime consultant’s workload.

All of the proposed subconsultant's outstanding dollar balances for current and pending contracts should be reported under the subconsultant’s workload.

For Limited Services Term Contracts, include the total amount of all task orders executed or under negotiation for the current year of the contract.

The outstanding dollar balances of all primes and subs that have been certified as a DBE/SWaM by the Department of Small Business and Supplier Diversity (DSBSD) or the Metropolitan Washington Airports Authority (“MWAA”) up to $4,000,000 will not be counted. Balances above $4,000,000 will be counted. When DBE/SWaM firms graduate from the program, their workload incurred while a DBE/SWaM will be exempted for the next three years. Any workload obtained after graduating from the program will be counted.

Any firm claiming that some of its current workload has been exempted must submit a letter from the appropriate Chief or the Lead Division Administrator authorizing the exemption. The exemption letters will be retained in the project file. If a firm has changed its name and is still working on VDOT projects acquired under the previous firm name, this workload will be counted as workload for the new firm. If firms merge and create a new firm, all workload acquired under the previous firm names will be counted as workload for the new firm.

See the Present Workload with VDOT’s worksheet in the RFP and the Sample of Determination of Present Workload below.

SAMPLE OF DETERMINATION OF PRESENT WORKLOAD

Prime consultant has one present Category B professional contract with VDOT.

Amount of contract/Total value of all task orders: $1,400,000 Less subconsultant’s amount of this contract: -180,000 Subtotal $1,220,000 Less prime’s approved payment as of RFP closing date: -500,000 Subtotal $720,000 Approved pending supplement: +25,000 Prime’s Total $745,000

3 - 6 Also, the prime consultant has a Category A district survey contract with an upper limit of $500,000. This is not included in the total because the contract is for services in a different category.

The DBE subconsultant has a Category B professional contract for $500,000.

Since the firm is a certified DBE, none of this workload is counted.

Another subconsultant with the prime, which is not a DBE or SWaM, has a Category B professional contract and has been selected with a different prime on another project.

Outstanding balance including all supplements: $87,000 Under contract negotiation with another prime: +30,000 Sub’s Total $117,000 Prime’s Total +745,000 Team’s Grand Total $862,000

  1. 3 Distribution of EOIs

After the project has been advertised, Selection Committee members shall not individually discuss the project in detail with consultants.

The Procurement Officer will perform the following

 Compile the EOI's and score sheets in the procurement team site for each Selection Committee member.  Ensure the EOIs are consecutively numbered, and the score sheets have the corresponding number.  Retain the date and timed stamped records.  Prior to the EOI’s being made available, each member of the Selection Committee must complete the Consultant Selection Committee Training. The required training materials are available on the VDOT University and are titled “Consultant Procurement Overview Training” and “Just in Time Consultant Procurement Training”.  Prior to the EOI’s being made available to the Selection Committee, each member must complete the Conflict of Interest Form for Selection Committee Members Only, located on the APD Division web site on Inside VDOT.  Insure that the Selection Committee members have reviewed the names of all consultants and subconsultants. After they have reviewed the names, and they have completed the Certification of Non-Conflict of Interest and Training form, the form is emailed to the Procurement Officer. If there is any conflict of interest, the committee member will be removed and another member appointed. The Procurement Officer will assure that this is done and the action recorded for the procurement file.  Provide an explanation of the RFP scope of services that the consultants have been asked to respond to. Explain any special consultant requirements.

3 - 73.4 Attendees at Selection Committee Meetings

All Selection Committee members shall be VDOT employees. All persons attending Selection Committee meetings are to be reminded that the meetings are confidential and they are not allowed to discuss anything that happens at the meetings with anyone.

Violators may be banned from future Selection Committee meetings. All persons planning to attend the technical presentations must attend all presentations to avoid any allegations of unequal treatment by the offerors.

The following are roles and restrictions for attendees not on the Selection Committee:

 Procurement Officer

The Procurement Officer will provide oversight in a non-voting capacity on the Selection Committee and during interviews/technical presentations.  Civil Rights Representative

The role of the Civil Rights representative is a non-voting observer of the procurement process and is responsible for performing a compliance review of the procurement. The CRD shall be notified and invited to the short list meeting and interviews/technical presentations. Any concerns of the CRD representative shall be brought to the attention of the Chief Engineer before panel selections are finalized.

 City/County Representative

It is acceptable for a representative in the employment of a city or county to attend the interviews as a non-voting participant for projects in their jurisdiction.

 General Public

There is no requirement that the general public be admitted to Selection Committee meetings and it should not be allowed.

 Supervisors

Supervisors not on the Selection Committee may attend Selection Committee meetings for the purpose of evaluating their personnel in the consultant procurement area. However, they may not provide any comments or input into the selection process or scoring and may not be present after the interviews for the final deliberations and ranking of the consultants.

 Technical Experts

3 - 8 Non-voting technical experts from VDOT may attend the Selection Committee meetings to offer their comments regarding a firm's qualifications in a special field of expertise.

When projects involve many disciplines, there may be non-voting members that assist the committee in evaluating the consultant’s capabilities in a particular specialty area.

 VDOT Oversight

A representative of the Lead Division may attend selection committee meetings for the purpose of providing the status of recent awards of work in accordance with the process outlined in Section 3.9. This individual may not provide any comments or input into the selection process or scoring.

An additional representative of the APD Division may attend the selection committee meetings for the purpose of Quality Assurance. This individual may not provide any comments or input into the scoring.

During Technical Presentations, only the Selection Committee members may ask questions directly to the consultants. Questions from non-voting observers and technical experts must be submitted in writing for the Selection Committee to ask. However, these questions must be asked at all of the consultant interviews, not just one.

After the Technical Presentations, technical experts may be allowed to offer comments or technical expertise regarding the qualifications of the consultants. Technical experts must attend every interview or they may not make comments regarding any of the firms.

Only the Selection Committee members, the CRD representative, representatives of the Lead Division, and representatives of the APD Division may be present during the final deliberations and ranking of the consultants.

  1. 5 Short List Meeting

Prior to the short list meeting, the Selection Committee shall notify the Procurement Officer regarding the discovery of consultant personnel proposed in the EOI that are VDOT employees at the time of EOI submittal. The Procurement Officer shall verify and validate the information and declare the EOI non-responsive if information is found to be correct.

The Selection Committee shall notify the Procurement Officer regarding the discovery of more than one proposal for the same work submitted from an individual, partnership, corporation, or joint venture under the same or different name, which are considered affiliates. The term affiliate as used herein shall conform to the definition in the VDOT Road and Bridge Specifications. Therefore, all EOI received from these entities shall be disqualified and returned.

3 - 9Firms submitting an Expression of Interest as a Prime consultant shall not serve as a subconsultant on any other team submitting a proposal in response to the RFP.

A Short List Meeting with the Selection Committee Members, Civil Rights representative, and Procurement Officer shall be held to combine the individual scores and determine the weighted score for each EOI.

The following will take place during the Short List Meeting

 The Procurement Officer is required to bring the electronic spreadsheet to the meeting. The meeting should not commence without the electronic spreadsheet.  Selection Committee members will meet together to compile short list scores. In cases where this is not feasible, such as a district representative having legitimate business reasons that prevent him/her from being able to attend a meeting, the score sheets and certification of that individual may be submitted to the Procurement Officer prior to the start of the meeting. The Procurement Officer will present the absent member’s scores at the meeting. The absent member must be available to be contacted by telephone by the Selection Committee during the committee’s meeting. This is necessary in case: questions arise regarding the absent members scores, a review of the Consultant Performance Reports reveals low scores, or the consultant’s workload is not verified.  Each EOI shall be independently evaluated, the score sheet completed in ink, and dated by each Selection Committee member prior to the meeting. If a change must be made to a score, the original score will be lined through in ink and the new score entered and initialed in ink. The committee member should provide comments in writing as to why the change was necessary for procurement records.  A recheck on present workload computation should be made effective the day the meeting. The Selection Committee, using the Cardinal Financial Management System (“Cardinal) (Chapter 6) and any other resources within VDOT, will verify the dollar amount of present workload with the Department for the apparent short listed consultants and subconsultants. Only the short listed teams will have their outstanding workload verified. To facilitate this process, the task of workload verification may be performed by support staff with the results and documentation given to the Chairperson for use by all members in scoring.  VDOT’s web site should be checked to see if any of the firms has recently been selected for another project. If the present workload has not been reported correctly, the ranking of the EOI's may change. This could result in a team being dropped from the short list and replaced by another. (The committee may elect to verify workload after the review of the Consultant Performance Reports).  The Selection Committee Members will rank EOI's in accordance with their numerical weighted score. A determination will be made if further data is needed to make the final ranking of consultants.  The short list will not be finalized until the Procurement Officer has all original ink score sheets, and electronic certification from the Selection Committee Members

3 - 10  The scores will be combined, by the Procurement Officer on an electronic spreadsheet during this meeting.  The Procurement Officer will ensure that any changes in scoring are explained, initialed, and dated in ink by the Committee member(s) whose score is changed.  The Selection Committee Members will determine how many teams are to participate in the interview/technical presentation phase, which is dictated for state and federal funded projects as follows:

o On State funded projects, the Code of Virginia requires two (2) or more teams. o On Federally funded projects, Federal Regulations, Public Law 92-572, requires three (3) or more teams.  If the top scores are relatively close, then more teams may be invited to make presentations.  After this meeting, the Procurement Officer will provide a copy of the combined scoring worksheet to another member of APD for independent review and verification.  The Procurement Officer will certify that all scoring was done properly. The Certification statement will verify that individual scores have been properly transferred to the combined score sheet and that the scores indicated are those of the scorer and not based on outside influence.  A copy of the individual and combined score sheets, workload documentation, and Certification Statements on all teams will be retained in the project file by the Procurement Officer.  The Certification Regarding Debarment forms of the apparent short listed consultants and subconsultants should be reviewed by using the federal debarment list on the following Internet site: https://www.sam.gov/portal/SAM/#1 A copy of this list may be printed prior to the meeting. If a consultant or subconsultant has been debarred, the team should be removed from the short list and the reason noted in ink on their scoresheet.  The Selection Committee will then access the Consultant Performance Library and review the reports (see Appendix D) for all prime consultants and subconsultants that are on the apparent short list. Past performance scores for the last three years will be considered. Any scores over three years old which have not been removed from the data base will not be considered. If a firm is new to VDOT or has no performance reports on file, the committee will check some of the references shown in the EOI and document their finding as part of the file.

  1. 6 Short List Certification and Notification

The Procurement Officer will prepare a dated short list summary sheet listing all consultants (including subconsultants and identifying DBEs) and their scores in the order they ranked. This summary sheet will be transmitted to the Lead Division Administrator by email stating which firms have been selected for an interview/technical

3 - 11presentation. The short list will be affirmed by the Lead Division Administrator and returned to the Procurement Officer.

Once the short list is affirmed, the Selection Committee proceeds with the interviews without requiring the approval of anyone else. Division Administrators are not to have any influence on the short list process.

A list of the short listed firms, arranged in alphabetical order, will be posted on VDOT’s web site.

Short listed firms that are selected for interviews/technical presentations will be notified in writing by the Procurement Officer. This notification will also provide information on any detail project briefing meetings that may be required for this contract. This notification letter will include the schedule of their interview/technical presentation and points that the Selection Committee expects to be covered at the interviews/technical presentations.

Typical points for consultant interviews/technical presentations are

 Understanding of the scope of services  Approach or innovative solutions to the design or problem  Tentative work elements  Work sequence and schedules  Past experience on projects bearing on the subject project or study  Identification of person in responsible charge of the work  Projected office workload and staff availability  Personnel and time schedules  Location of offices where the work will be done (if relevant)  Proposed subconsultants, their qualifications and specific work assignments  Unique qualifications or work methodology  Track record for bringing in projects on time and within budget  Quality control  Team organization and who will perform each work element  Public involvement capabilities  Computer software and equipment  Budget and cost control methods

  1. 7 Project Briefing Meeting

If a project briefing meeting is held, all short listed teams are to attend at the same time and are to be given the same information regarding the project. This ensures that all teams are on an equal footing. The VDOT Project Manager will describe the project and explain the services to be provided by the selected team. The Chairperson will provide for review any relevant existing information available to the consultants (geotechnical, road plans, surveys, etc.). The consultants must ask any questions they have at this

3 - 12meeting. After the meeting, no consultant should contact VDOT for any additional information.

The project briefing meeting ensures that all short listed teams have a common understanding of the project, clears up any ambiguities, and resolves any concerns the consultants may have with the scope of services or contractual requirements.

Representatives from the other divisions involved are requested to attend as necessary.

It is not always possible to answer all questions on the spot and a written response will be provided in such cases. Any question answered or any point clarified from the project briefing meeting will be sent to all firms. This is intended to prevent one firm from learning new information that is not available to the other firms.

On simple projects or where time is critical, project briefing meetings may not be necessary. The required information may be provided to the consultant with their notice of being short listed. In this case, answers to questions raised by any consultant must be answered in writing with a copy sent to all the short listed firms.

  1. 8 Interview/Technical Presentation Phase

The Selection Committee may elect to compile a list of questions or points of discussion for the consultant interviews/technical presentations concerning the project assignment and the firm's qualifications. If used, questions should be solicited from divisions which have work represented and from data contained in the EOIs and Consultant Performance Reports. The Chairperson will receive, combine, and distribute questions for technical interviews. The question sheet will be supplied to each Selection Committee member. Although the complete answers to these questions will not be recorded, notes will be taken by the Selection Committee members during interviews which summarize the answers. A copy of this material will be retained in the project file.

If a Selection Committee member is late or absent for a presentation, the following options will be considered:

 Delay the start of the presentations while attempting to contact the absent member.  Allow the presentations to proceed with only two committee members, unless the procurement involves multiple disciplines, in which case one of the two present committee members must not be from the division procuring the services. If the committee is composed of more than three (3) members, no more than one member may be absent. (If this option is exercised, and the absent committee member arrives late, that member cannot vote or participate in the selection process for any of the firms. All voting members must be present for all presentations.).  At the discretion of the Chairperson, in consultation with the Procurement Officer, cancel the presentation(s) and reschedule at another time.

3 - 13Consultants usually only have a short time (1-2 weeks) to prepare for their presentations. When the interviews/technical presentations are held, the teams are allowed appropriate time (usually 30-45 minutes) to make a presentation of their qualifications as well as their personnel's qualifications (as given in the EOI), hand out supplemental EOI information, give specific personnel manning assignments, present project concepts, and any comments they feel will be valuable in evaluating their team, including a brief description of their approach to providing the needed services.

Consultants should verify their team members. If there have been any personnel changes since the EOI was prepared, this may be taken into consideration in the final ranking. Consultants should bring their subconsultants to interviews so they may present their qualifications and respond to questions. Previously requested points of discussion and pre-compiled questions related to the project will be asked to each team.

Furthermore, each committee member may ask additional questions for clarification.

The Procurement Officer will ensure that any impromptu questions are documented along with the responses.

Changes of firms in a consultant's team will not be permitted between submission of the EOI and the final selection. Should this occur, consideration shall be made to determine if the consultant team should be eliminated from being selected for this contract. This is to ensure fairness to all teams and to ensure that the team being interviewed is the same as the team that was short listed. Changes in personnel to be used on the project may occur. If it does, this information along with new resumes and organizational charts must be submitted at the presentation/interview. This information should be considered in determining the impact on consultant team’s overall qualifications for final selection. If this information is not provided at the presentation/interview, the selection committee should take into consideration the missing information in the final selection.

  1. 9 Final Ranking

After the interview/technical presentations are completed, the Selection Committee will hold a meeting to discuss and rank the teams using narrative statements of strengths and weaknesses based on the teams EOI, response to questions and interview/technical presentation. This meeting should be held on the same day of the interview/technical presentations, however, it may be held at a date no later than two (2) days after the interview/technical presentations have occurred. The following activities will occur:

During the meeting

 The Procurement Officer should ensure a copy of all EOIs is available at the meeting.  Each Selection Committee member should discuss his/her narrative statements of strengths and weaknesses based on firms’ EOI and response to questions and interview/technical presentation.

3 - 14  The Selection Committee shall check the status of recent awards of work to the interviewed firms and consider this information in the final selection with respect to RFP selection criteria, including but not limited to organizational capabilities, ability to meet time schedules, etc..  After discussions regarding strengths and weaknesses of each firm, the Selection Committee should take a vote to determine the ranking order (“Final Ranking”). The Final Ranking shall be based on a majority decision and does not need to be unanimous.  Once the Final Ranking for selection has been made, it cannot be changed unless approved by the appropriate Chief. The Procurement Officer must be present during any discussions regarding changing the ranking. If approved by the appropriate Chief, the reasons for any change will be documented thoroughly in writing and signed by all members of the Selection Committee, the Procurement Officer and the appropriate Chief.

Once the final ranking has been completed, the Chairperson should prepare a combined narrative statement for the Final Selection Approval as set forth in the steps below.

 There will be one combined narrative statement prepared by all members of the Committee.  Each team’s narrative should be on a separate page. This new evaluation will consist of concise statements as to why a team was or was not selected in relationship to the evaluation criteria and the RFP’s scope. Items to be considered in preparing the narrative are noted in the RFP.  The combined narrative statement form will be reviewed and approved by each committee member. . A copy will be retained in the project file by the Procurement Officer.  The original of all certifications and other documents identified in these procedures should be retained by the Procurement Officer.

  1. 10 Final Selection

For each RFP that is issued, only one top ranked consultant firm can be selected.

However, if the RFP allows for multiple awards, multiple firms may be selected in accordance with Section 4.8.

  1. 10.1 Final Selection Approval

The Lead Division Administrator is notified of the final selection in writing. The final approval authorization for the selection of a specific firm rests with the Lead Division Administrator. Letters to the Lead Division Administrator for approval of final selections shall have a copy of the narratives and certifications attached (EOIs are not to be attached).

3 - 15The Lead Division Administrator will notify the Procurement Officer in writing when the selection is approved.

  1. 10.2 Final Selection Notification

Upon approval from the Lead Division Administrator, the Final Selection Notification Letter confirming the selection is sent by the Procurement Officer to the top ranked consultant notifying of the following:

 Items requiring disclosure.  An invitation to a meeting to further define the scope of the project and a request to prepare a fee proposal.  The prime and all subconsultants are required to submit their FAR audit data along with a Contractor Cost Certification for indirect cost rates required by FHWA order 4470.1A dated October 27, 2010 to VDOT auditors within ten (10) work days of the date of the notification letter of their selection or the Department may begin negotiating with the next ranked firm.  The prime and all subconsultants are required to submit their Title VI Evaluation Report Form (T6-2-3-09) within ten (10) work days of the date of the notification letter or the Department may begin negotiating with the next ranked firm.  Insurance Certificate for General, Workman Compensation, and/or Professional Liability.

The selected firm is also notified by telephone, and a date is established to begin negotiations.

All short listed firms that were not selected are notified in writing by the Procurement Officer, as to the selected firm. A list of the interviewed firms, in final ranking order will be posted on VDOT’s web site.

  1. 11 Retention of Records

All procurement records should be maintained in accordance with records retention and disposition schedule. The Procurement Officer will keep the EOIs from all Offerors for at least ten (10) work days after the contract has been executed and then dispose of all but those from the firms that were short listed. If a written protest of the announcement is received prior to the end of the ten (10) work days, all EOIs will be retained until the protest is resolved. The EOIs from firms that were short listed will be retained until five (5) years after the contract is completed.

The Procurement Officer shall keep a copy of all procurement documents in the project file including, original copies of the scoresheets of individuals and the combined score sheet, certifications of non-conflict of interest, short list certifications, short list approval, final selection certification, final narratives, and final selection approval.

3 - 16The Procurement Officer should be advised of any changes that would affect the consultant selection at any point in the process so that proper documentation will be made.

  1. 12 Consultant Debriefings

VDOT’s guidelines for debriefings are as follows

 Only debrief new consultants that made the short list as a prime consultant for the first time if they request it.  If a short listed consultant requests a copy of the narrative comments from the selection process, a copy of the narrative for that consultant only can be sent to them irrespective of whether or not they are a new consultant.  If a consultant wants to know their relative standing from the screening process on any solicitation, they can be provided with a list which indicates their relative standing from the screening process without the associated scores.

If the Chairperson debriefs a consultant, the debriefing shall be provided at the earliest possible time following contract award. Debriefings shall be conducted by the Chairperson who will be familiar with the rationale for the selection decision and contract award. It is essential that debriefings be conducted in a fair, objective, and impartial manner. Debriefing information provided to firms must be factual and consistent with the evaluation and may provide suggestions to an offeror for improving future EOIs and/or interviews. While interviewees may be informed of the areas in which their interviews were weak or deficient, point by point comparison with the interviews of other firms shall not be made. Furthermore, debriefings shall not reveal the relative merits or technical standing of competitors. Debriefings will be documented by a summary kept in the file covering salient points and including dates and attendees.

Prior to finalizing negotiations with the selected consultant, consultants submitting EOIs may only have access to information regarding their firm. After negotiations are finalized, all records (except proprietary information) are open to all offerors. After the contract is signed, all records (except proprietary information) are open to the public.

Any additional information requested by consultants would have to be provided if requested through the Freedom of Information Act (“FOIA”), unless the request is for materials that are identified by a consultant as trade secrets or proprietary information, will not be shown to other consultants. The consultant must invoke the protection of Code of Virginia §2.2-4342F, in writing, prior to or upon submission of the data or other materials, and must identify the data or other material to be protected and state the reasons why protection is necessary. The classification of an entire proposal document as proprietary or trade secrets is not acceptable. As stated in Article 3, Section 2.2-4359(D) of the VPPA, a public body is not required to furnish a statement of reasons why a particular proposal was not selected.

3 - 17 CHAPTER 4

CONTRACT

NEGOTIATION

4 - 1CHAPTER 4 - CONTRACT NEGOTIATION

  1. 1 General

Virginia law requires state agencies using professional services to acquire the services of consultants by competitive negotiation. The process mandated by the VPPA requires a competitive selection of the consultants based on qualifications, followed by a negotiation process to establish a fee for the desired services. The objective of the total consultant professional services acquisition process is the selection of a well-qualified firm at a fee which is fair, competitive, and reasonable to both the state agency and the consultant. Negotiations should be conducted in good faith, recognizing that compromise by both parties may be required in some cases to achieve an equitable contract.

The negotiation portion of the consultant acquisition process consists of establishing agreement between VDOT and the consultant on the following major points:

 Objectives of the project  Scope of services to be performed  Schedule requirements and milestones  Work effort required (both quantity and level of personnel required)  Distribution of work among levels of personnel  Delineation of work to be provided by consultant, subconsultants and the Department  Cost of services o Wage rates, overtime, etc. (or billing rates for some services) o Direct expenses and subconsultant costs  Net fee  Method of compensation and other contract variables  Quality control requirements  Required deliverables

  1. 2 Scope of Services Meeting and Invitation to Submit Proposal

After receipt of approval from the Lead Division Administrator of the consultant selection and prior to actual negotiation of a contract, a pre-proposal scoping meeting (Scope of Services Meeting) should be arranged with the top ranked consultant to review all matters pertaining to the scope, schedule, character, complexity, and method of compensation for the proposed services.

The Scope of Services Meeting serves as a general orientation for the consultant in its prospective work with VDOT; and to discuss the consultant’s submittal of a comprehensive fee proposal. It is essential that VDOT and the consultant reach a thorough understanding of the scope of services to be provided prior to the consultant preparing their fee proposal. In order to do this, the proposed scope of services and what is anticipated in each major sub-part of the services, and the individual tasks that will accomplish the scope of services must be defined.

4 - 2Prior to the meeting, the VDOT Project Manager should become thoroughly familiar with the data, plans and other supporting information upon which the proposed services are to be based. Checklists are available for reference and should be used to prepare for the meeting and serve as guidance to follow during the meeting. The checklist covers administrative items, the scope of services, proposal format, the Memorandum of Agreement (“MOA”), materials furnished to the consultant, monitoring of the work, and information required by Assurance and Compliance Office (ACO). A copy of the completed checklist is to be included in the project file.

Representatives of other divisions involved should attend the meeting to present their elements of the scope of services.

The following items and information are provided by VDOT to the consultant at the meeting:

 Available relevant project data (i.e. project description that accurately defines the limits of the work, major work elements, plans, studies, specifications, standards, office practice, survey, survey control, situation plans, geological borings, aerial photographs, mapping, sample existing plans, examples of project deliverables, inspection reports, etc.).  All relevant VDOT manuals, memoranda, specifications, etc. (or the location of where these references may be found on VDOT’s Website).  Draft copy of MOA prepared for the specific contract.  If the services involve the relocation of consultant personnel on a long term basis where it is beneficial to VDOT to pay relocation expenses rather than a daily per diem rate, such as resident field engineers or inspectors, reimbursement will be in accordance with Section 4.6.6 of this manual.  Overhead for the subject services should be discussed and the consultant advised that VDOT policy requires a pre-award audit evaluation to be made of all firms. As a part of the audit, ACO will determine what the firm's overhead additive rate should be. This will be based on the FAR. The CPO Procurement Officer will be responsible for notifying ACO that the consultant(s) have been selected and will be submitting FAR audit data.

  1. 3 VDOT's Fee Estimate

Before receipt of the consultant's fee proposal, VDOT shall prepare its own comprehensive independent estimate of the man-hours and costs associated with the consultant providing the services. Information received from the other involved Divisions shall be included in this overall estimate. The estimate prepared by the VDOT Project Manager will be used as comparative data during the evaluation of the proposal and the ultimate negotiations with the selected consultant firm. Consideration shall be given to the nature of the services to be rendered, the scope, complexity, and the nature of the project. VDOT’s independent fee estimate shall be revised as required during negotiations to reflect clarifications and changes to the scope of services to be performed by the consultant.

4 - 3The VDOT Project Manager may require assistance during preparation of the estimate.

Sources for this assistance are the personnel familiar with the preparation of man-hour and cost estimates, man-hour graphs and data maintained by the divisions, historical consultant fee proposal data, and input from other divisions regarding their work must be obtained.

The estimate will include

 Man hours to perform each task and subtask identified in the Scope of Services  Distribution of the man hours to the various employee classes required for the project  Direct expenses required for the project  Services provided by subconsultants or vendors  Number of alternate designs or locations to be evaluated  Level of detail required  Numbers and types of meetings to be attended (citizen information meeting, public hearing, public workshop, elected officials, local staff, etc.)  Numbers of reports and/or presentations required  Schedule for project services

Most of VDOT’s contracts use the Cost plus Net Fee compensation method. However, Lump Sum may be used on projects with clearly defined scopes of work. Typically Fixed Billable Rates are used on Limited Services Term Contracts. See Section 5.2 for additional information regarding types of contracts and Section 5.3 for types of compensation.

  1. 4 Consultant’s Fee Proposal

The VDOT Project Manager will request the selected consultant firm to submit its proposal in the proper format, including subconsultants’ proposals, with supporting cost or pricing data. Insurance certifications, listed in Section 3.10.2, should be submitted at the same time as the fee proposal. Fee proposals on federally funded projects are not to be furnished to the FHWA. However, for Projects of Division Interest/Projects of Corporate Interest (PoDI/PoCI) the Scope of Services on FHWA oversight projects will be furnished to the FHWA as set forth in Section 1.2.

The fee proposal must contain sufficient information to support the basis for the costs contained in it and must contain a certification that the costs were proposed in a manner consistent with the requirements of the consultant's accounting system, specifically stating that costs proposed as direct expenses are not included in their overhead. The certification should be signed by the consultant's comptroller, Chief Financial Officer (“CFO”), accountant, or other appropriate person who is knowledgeable of the consultant's normal accounting requirements and with such legal authority.

4 - 4The consultant should be advised of the following

 Type of compensation (lump sum, cost plus net fee, fixed billable rate, or other) to use and why.  The importance of a complete breakdown of all elements of the proposal by individual tasks, stages and alternates (where applicable) should be stressed.

Divisions should have a standard Fee Proposal Spreadsheet for the consultant and subconsultants to use.  Lump Sum fee proposals should be broken down in the same manner as cost plus net fee except that no contingency is allowed. While it is understood that with a lump sum proposal, the total fee is the only negotiable element, the other elements are requested only to aid in the evaluation of the total fee.  Proposal should contain supporting Data, such as: o Description of the scope of the work o Proposed schedule o Man-hours required for each task, stage or element, by each category of personnel o Average hourly rates for each category of personnel with payroll register or similar supporting documentation. (Rates are established using all employees in that classification). o Estimated direct costs o Subconsultant costs o Payroll burden and overhead rates audited in accordance with FAR. Rates should be for a period not older than one year prior to the most recent fiscal year. o Total number of contract drawings anticipated to be required for each individual set of plans o Proposed project or bridge layout sketches o Summary of planned SWaM or DBE participation  Insurance requirements: o The consultant is required to carry adequate professional liability insurance throughout the life of the contract and to provide a certificate from the insurance carrier that such a policy is in effect. o VDOT will be listed as the certificate holder on the certificate. Insurance Certificates are maintained in the project file and should be updated annually by the consultant. Stipulated insurance shall be obtained prior to commencing work and shall be maintained during the entire term of the contract. Further, the consultant certifies that it will maintain the required insurance coverage’s during the entire term of the contract. o Since VDOT’s contract is with the prime consultant, VDOT does not require subconsultants to have insurance except for worker’s compensation insurance. However, it is highly recommended that the prime consultant, to avoid liability, not contract with any subconsultant that does not carry insurance. o The amount of professional liability insurance that should be carried by a consultant is based on their firm size and exposure to risk and is a function of the complexity and total number of projects or work assignments. An amount

4 - 5 should not be specified for the consultant to carry, but the consultant should propose the amount and conditions of the coverage. The amount is reviewed and the consultant advised of its acceptability or insufficiency. o The consultant coverage for Architecture and Professional Engineering services should usually not be less than $2 million per occurrence, $6 million aggregate, but should not be less than the greatest of 5% of the estimated construction cost of all VDOT projects which the consultant has under contract or $1,000,000. o The amount of any deductible should not be over an amount which can be covered by the firm's funds on hand or readily available. o The consultant will be required to have Worker's Compensation, Employers Liability, Commercial General Liability, and Automobile Liability insurance coverage. Worker's Compensation shall be a Standard Virginia Worker’s Compensation Policy with an insurer authorized to transact the business of worker’s compensation insurance in the Commonwealth of Virginia with statutory requirements and benefits. Employers Liability shall be for a minimum of $100,000. Commercial General Liability shall be for a minimum of $500,000 combined single limit coverage. Automobile Liability shall be for a minimum of $500,000 combined single limit for bodily injury and property damage per occurrence. o The limits mentioned above are minimums and may be increased. The Department of Treasury, Division of Risk Management (804-786-3152), should be contacted when other types of coverage may be required or when in doubt as to the need for other limits.

  1. 5 Title VI Evaluation Report

The prime and all subconsultants are required to submit their Title VI Evaluation Report Form (T6-2-3-09) within ten (10) work days of the date of the notification letter or VDOT may begin negotiating with the next ranked firm upon receiving approval from CRD.

CRD will make its determination for approval or disapproval within three (3) days from submittal. In the event of a finding of non-compliance, the Procurement Officer may seek resolution with the consultant with the assistance of the CRD. If resolution is not reached, VDOT will go to the next ranked firm to negotiate the contract.

The report is only required when the contract amount equals or exceeds $10,000. If the firm(s) has a current Title VI Evaluation Report on file with VDOT and it will not expire prior to a contract being executed, then a new report is not required. A copy of the completed Title VI Evaluation Report (T6-2-3-09) will be forwarded to the CRD for review and written approval. Title VI Evaluation Report Forms are maintained in the project file and should be updated annually by the consultant, as set forth in Section 7.4.

  1. 6 Fee Proposal Evaluation

When the consultant's fee proposal is received, the VDOT Project Manager will distribute a copy of the fee proposal to each involved division for their review and

4 - 6comment, with a letter requesting that their comments be returned by a certain date, usually within seven to ten work days.

Fee Proposal evaluation is the process of comparing the proposed fee with that of previous projects and that of VDOT’s independent estimate for the project.

Any cost, except overhead rate, may be negotiated. These costs include net fee, individual salaries, non-salary direct costs, etc. which are considered to be too high.

The mathematical accuracy of the fee proposal should be reviewed as well as the supporting data to determine if it adequately supports the costs contained in the fee proposal. Any errors, deficiencies, omissions, etc., noted during the review should be immediately brought to the attention of the consultant, and corrective data requested.

The fee proposal is analyzed and evaluated using VDOT's estimate and resources from Section 4.3 to arrive at a position for negotiation or approval. It is important that written documentation outlining the points evaluated and the conclusions drawn be a part of the correspondence file.

The fee proposal is evaluated to determine if it is reasonable and satisfactory using the following criteria as basis for the evaluation:

 Time limits, conditions, scope and description of the services are checked to see that they are correct and satisfactory.  Compare with fee data of consultants who have previously performed services for VDOT of a similar nature and complexity.  Comparison of the number of hours the consultant proposes is needed by each personnel category to perform each operation with those normally needed by VDOT personnel to do similar work.  Comparison with VDOT data on man-hours required for similar services.

  1. 6.1 Contingency

Since the scope of services may not be totally defined on a cost plus net fee contract, a contingency is usually used on those contracts. This allows for minor changes in the scope of services without a supplemental agreement being prepared. Contingency also provides for adjustment in the overhead rate at the time of final review (audit). The project manager should review the scope and the cost of additional work including the current stage of project development in determining the use of contingency.

Contingency is not used in establishing a lump sum contract. The contingency rate usually will be 5%. Some types of construction services work may warrant the use of a larger contingency. The scope of construction services work is difficult to define and is dependent on the contractor’s schedule. When a project is under construction, VDOT cannot stop a contractor from building a project while a supplemental agreement is negotiated with the consultant. Contingency is calculated on the fee base (Direct Labor + Payroll Burden + Overhead) and non-salary direct cost. Subconsultant contingency is included in its proposal and the prime gets no contingency on the subconsultant’s

4 - 7services. Contingency shall not be used by the Prime consultant or subconsultant without written permission from VDOT.

  1. 6.2 Wage Rates (Direct Salary Cost)

The average wage rates for each class of employee shall be based on all personnel in a particular employee classification in the offices where the work will be performed. The consultant shall submit actual payroll registers information which identifies employees within the classes and their respective wage rates and an explanation of how the average wage rate was computed. A responsible company official must certify that the rates are actual rates on that particular date. An analysis of the proposed salary or billing rates should be performed by the Lead Division to insure that they are in line with prevailing rates for the class of personnel. Rates may be negotiated for either individual employees or as averages for employee classifications.

Principals, partners, associates, CEO’s, and similar titles are considered to be administrative and/or management functions whose costs have been included in the overhead markup of the rates for technical categories and shall not be listed separately.

If a principal, etc., chooses to perform technical services on the project, they will bill at the comparable rate to the technical activity or function being performed. This will be at the highest technical rate of personnel in the classification providing the same service or function on all but fixed billable rate contracts. On fixed billable rate contracts, a principal, etc., must use the hourly rate established for the classification without his rate being used in establishing the hourly rate. A principal of a firm may perform the function of a project manager, especially in a small firm. In larger firms, a principal, associate or similar titled person may be assigned this responsibility. Regardless of title, this function is the same and the rate should be comparable to project managers of other firms in Virginia.

Time limits or time to complete the work should be a matter proposed by the consultant using regular, not premium time (overtime). Consultants who choose to work overtime without written permission from VDOT will be reimbursed on a straight time basis.

  1. 6.3 Indirect Cost Rate (“FAR Overhead Rate”)

The Prime and all subconsultants are required to include in their proposals indirect cost rates that have been accepted by VDOT.

Contracts awarded for engineering and design services by state transportation agencies must follow the cost principles contained in 48 CFR Part 31. As such, consulting firms are required to submit an indirect cost rate audit report to the ACO for the most recent fiscal year. The report contains the overhead rates (e.g. Home Office Rate and Field Office Rate) that ACO will review for acceptance to be used on VDOT contracts.

Additional information concerning indirect cost rate audits and the required data to be submitted to ACO is provided at ACO’s Indirect Cost Rate Audit Home Page. ACO does not accept “market based rates” for indirect cost rates.

4 - 8The overhead audit shall be performed by an independent Certified Public Accountant, an agency of the federal government, another state transportation agency or similar independent audit organization. VDOT's policy is that overhead rates are not negotiated. However, the consultant may offer lower overhead rates if the consultant deems the rate unreasonable (high). Overhead is not allowed on direct expenses or subconsultant expenses.

The costs for in-house produced consultant services, including printing and copying, which are charged directly to projects, must not be included in overhead and must be consistently charged to all clients.

  1. 6.3.1 Home Office Overhead Rate

Home office, as defined in 48 CFR Part 31, means an office responsible for directing or managing two or more, but not necessarily all, segments of an organization. It typically establishes policy for, and provides guidance to, the segments in their operations. It usually performs management, supervisory, or administrative functions, and may also perform service functions in support of operations of the various segments. An organization which has intermediate levels, such as groups, may have several home offices which report to a common home office. An intermediate organization may be both a segment and a home office.

If no audited home office overhead rate is available, a provisional overhead rate( overhead plus payroll burden) of 110% will be used.

  1. 6.4.2 Field Office

VDOT generally requires its consultants to perform contracted services from their established home or branch offices; however, on special projects, the consultant may be required to establish a field office at or near the job site. A field office is defined as any office which the consultant/contractor specifically establishes or has furnished to him at or near the project site to be used exclusively for project purposes. The office may be a trailer, building, room or series of rooms established for the consultant personnel. Neither the number of personnel nor their mix by employee classification shall have any bearing on this definition. The establishment of the field office, its manpower staffing and its operational costs will be determined by project needs, economy and efficiency, and negotiated with the consultant. In most cases, the field office operations and staffing will be held to a minimum and the consultant's home or branch office will be expected to provide essential support services. The allowability, allocability and reasonableness of costs will be determined in accordance with criteria contained in the Code of Federal Regulations, Titles 23, 48 and 49 and other applicable Federal and State regulations. The decision on whether a cost should be allowed as a direct or indirect cost depends, to a lesser extent on the consultant's normal and customary practices for estimating and accounting. These practices should be outlined in the consultant's annual FAR overhead audit, in the consultants AASHTO Internal

4 - 9Control Questionnaire (ICQ) for Consulting Engineers, and should be followed during contract pricing and negotiations.

If the proposed services require the establishment of a field office or if the consultant employees will work out of a VDOT provided office (such as Construction Engineering Inspection services), a separate audited field overhead rate must be submitted. Any costs that are reimbursed as direct costs shall be eliminated from the indirect (overhead) field office cost pools. If no audited field overhead rate is available, an overhead rate (overhead plus payroll burden) of 75% will be used.

  1. 6.5 Facility Cost of Capital

VDOT allows facilities cost of capital for firms owning their own offices. However, it must not be included in the fee base when determining the net fee. These costs are determined by FAR audit and reviewed by the ACO.

  1. 6.6 Travel Allowances and Meal & Incidental Expense Rates (Direct Non-Salary Cost)

The State employee travel allowance is used for project related consultant travel, in accordance with the rates specified in the current VDOT Travel Policy. http://www.virginiadot.org/business/gpmps.asp

VDOT does not pay consultant personnel travel/relocation to a Virginia office from out of state in order to perform services/work required by the RFP in a Virginia office. Similar to State employees, the travel expenses are reimbursable from Consultant’s Virginia office/Project location at rates consistent with the VDOT Travel Policy. VDOT may pay for out of state travel to include airfare if there is a need for an individual/expert and authorizes it in advance. The air travel must be reasonable and will be reimbursed for economy or coach class accommodations. Upon request, consultants may receive a copy of the VDOT Travel Policy from the Project Manager. Vehicle allowances should be based on the most economical vehicle class meeting the needs of the project.

Parking fees and tolls are reimbursable. Public transportation must be for tourist or coach class accommodations.

The allowable lodging and meal and incidental expense rates to be used should not exceed the rates allowed by Fiscal Division for VDOT employees. Use the rate the consultant proposes unless it exceeds the amount allowable for VDOT employees.

Trips that do not involve an overnight stay should not be shown as a full days per diem in the proposal. For a day trip without lodging, no reimbursement will be paid for meals.

VDOT does not pay for consultants to relocate personnel to a Virginia office in order to perform work in a Virginia office. If a consultant is required to furnish on a long term basis a full time Resident Engineer or construction inspectors during the construction of VDOT’s project, relocation expenses will be reimbursed in accordance with the Office of the Comptroller's "Moving and Relocation Policies and Procedures." (http://www.doa.virginia.gov/Admin_Services/CAPP/CAPP_Topics/20345.pdf).

4 - 104.6.7 Direct Expenses (Direct Non-Salary Cost)

Sufficient documentation must be provided with the fee proposal to support the basis for all proposed direct expenses. For goods and services, other than professional services, written or telephone quotes from a minimum of one (1) DSBSD small or micro vendor, if available, is acceptable as a support for the proposed prices for acquisitions up to $5,000. Telephone (verbal) quotes are acceptable, if adequate supporting documentation (name and telephone number of the person furnishing the price quote) is provided. The acquisition of any individual item or service costing more than $5,000, but no more than $50,000, shall be supported by at least four (4) written quotes from DSBSD small or micro vendor, if available. When an acquisition of any individual item or service is expected to exceed $50,000, competitive sealed bidding or competitive negotiation shall be used. Solicit from a minimum of six (6) valid sources, including a minimum of four (4) DMBE-certified small businesses, if available. Public advertisement is required. See Chapter 9 of this manual for additional information.

Consultants (geotechnical, aerial photography, testing labs, etc.) which normally work on a unit price basis probably cannot provide support for their unit prices for laboratory tests, drilling, flights, etc.; however, they should provide a copy of their standard fee schedule and shall attest that the fees contained thereon are their normal fees for such services.

Normally, consultants are expected to have the necessary equipment, software, computers and tools of the trade to accomplish the services they have been selected to provide. In order for the cost of a non-salary direct cost to be directly billable to a VDOT project, the item must be consumed by the project. Non-consumable items include, but are not limited to, fax machines, computers, software, computer license fees, cell phones, books, refrigerators, copy machines, pagers, helmets, tape measures and fire extinguishers. Since VDOT has no overhead rate limitations, and the consultant firm may use non-consumable items on other projects that provide no benefit to VDOT, costs of these type items should be recovered in the consultant's overhead.

If a consultant proposes to purchase or lease computer hardware and/or software for use on a project, the proposal must be reviewed by Information Technology Division (“ITD”). If the proposal is acceptable, ITD will sign the MOA. In this case, include a place for ITD’s signature in the MOA. ITD will determine any involvement which the Virginia Information Technology Agency (“VITA”) may have. The purchase or lease of any hardware and/or software, which a consultant should normally possess to perform the required services, generally will not be allowed.

  1. 6.8 Escalation Rate

For multi-year contracts, consultants may be allowed escalation of their direct salaries to allow for inflationary increases. For Limited Services Term Contracts, a separate rate for each year of the contract should be established per VDOT policy. The escalation

4 - 11may not exceed the rate of three percent per year or the rate established per VDOT policy, whichever is less. During the first year of a multi-year contract, half of the annual escalation rate may be allowed.

For Limited Services Term Contracts, no escalation is allowed beyond the final term of the contract.

For Cost plus Net Fee contracts, the consultant may be paid an escalation on direct salaries at the established rate for the work performed in consecutive or subsequent years beyond agreed upon schedule. However, if the project is suspended or placed on hold for an extended time period (i.e. more than three years) the consultant will be required to submit current FAR audited rate and salary schedule for VDOT’s review and approval prior to beginning or restarting the work.

  1. 6.9 Management of Sub-Consultants

Prime consultant administrative or management add-on costs for the managing of subconsultants, in addition to the overhead, labor, and fixed net fee which are a normal part of the contract, are not allowed. These administrative costs, or whatever they are proposed under, are costs which the consultant is already being reimbursed for through his overhead and net fee portion of the contract. When VDOT enters into a contract with a consultant, we agree to pay the consultant for his labor, administrative overhead (which includes the operation cost of the consultant’s home, branch, or field offices) plus a net fee on his labor and overhead costs. In addition, VDOT also reimburses the consultant for any out of pocket expenses on a dollar for dollar basis. These additional expenses include subconsultants. If VDOT allowed the consultant to include an additional administrative add-on for the handling of subconsultants, we would actually be allowing the consultant to bill us twice for what we are already paying him for in our reimbursement for labor, overhead, and net fee. The same personnel who process the subconsultant’s paper work for the prime consultant are either being directly reimbursed as part of the direct labor, or their salary and expense cost are part of the prime consultant’s overhead. Any additional administrative add-ons contained in a contract over and above the overhead, net fee, and facilities capital cost of money is not allowed.

  1. 6.10 eVA

The eVA one-time transaction fee may be included in the consultant’s fee proposal.

There is no transaction fee on supplemental agreements.

  1. 7 Net Fee

Net fee is the dollar amount established by negotiation to cover the consultant's profit, miscellaneous expenses, and other factors that may be considered under the applicable regulations that are not paid for otherwise. Net fee is intended to compensate the consultant for those normal business expenses which are excluded from allowable overhead by Federal Regulation as well as provide the consultant with a reasonable profit. Since cost plus a percentage of the cost contracts are prohibited, the expression

4 - 12of the net fee as a percentage of consultant costs should be used by VDOT only as a test of the prudence of the net fee proposal and not as a substitute for negotiation.

VDOT has established that the net fee shall vary from 8% to 12% of the direct labor plus loaded labor with the actual FAR overhead rate used, but the overhead rate shall not exceed 156% in determining the net fee. The contingency shall be included in the net fee determination. See Appendix E. The establishment of net fee shall be project specific. The determination of the amount of net fee shall take into account the size, complexity, duration, and degree of risk involved in the work. The factors listed may not apply to large valued mega projects such as GEC. Net fee is based on the overall scope of services and not on the particular part to be performed by the prime or subconsultant.

The following factors should be used as a guide for determining the maximum allowable net fee on a project with the actual net fee being a negotiated amount:

  1. Complexity/Relative Difficulty of Work – the extent to which the consultant applies his engineering knowledge, experience, technical skills, and independent judgment as listed below from the simplest to the most complex with the more complex/difficult services receiving the larger net fee percentages.

Projects or structures of simplest, utilitarian character which are without complication of design or detail and require a minimum of detail, design or effort.

Projects or structures of conventional character and detail, requiring normal detail, design or effort.

Projects or structures of moderate complexity requiring a moderate amount of detail, design or effort.

Projects or structures of exceptional character and complexity requiring comparatively large amounts of detail, design or effort.

Monumental projects or structures requiring precise detailing, consummate design skills or extraordinary effort.

  1. Size of Job - the larger the contract maximum compensation, the smaller the net fee percentage.

  2. Duration/Period of Performance - For Cost Plus Net Fee project and lump sum contracts duration may be considered. For limited service term contracts duration is not a factor.

  3. Degree of Cost Risk Assumed by the Consultant - where work involves no risk or the degree of risk is very small, the weighting should be low; as the degree of risk increases, the weighting should be increased. Cost plus net fee contracts generally have a lower risk than lump sum contracts. Construction Engineering Inspection contracts generally involve less risk. Other things to be considered: the portion of the services to be done by subconsultants (the more services provided by the

4 - 13 consultant, the lower the factor), nature of the services, where the services are to be performed, low overhead costs, reasonableness of negotiated costs, etc.

One person in each division should be responsible for determining proposed net fee prior to beginning negotiations so that uniformity will exist in the division. Each factor should be evaluated in the 8% to 12% range and a combined average determined.

Different weights may be applied to the net fee factors. This will ensure consideration of the relative value of the appropriate factors in the establishment of the net fee. Because of the differences in the types of services among the different divisions, the determination of net fee is the Lead Division's responsibility.

VDOT allows facilities cost of capital for firms owning their own offices. However, it must not be included in the fee base when determining the net fee. These costs are determined by FAR audit and reviewed by ACO.

Written documentation of how the net fee is determined shall be kept in the project file.

Net fee is not allowed on non-salary direct expenses. A prime consultant may not apply a net fee on a subconsultant’s expenses.

For services performed in accordance with the provisions of a cost plus net fee compensation, VDOT agrees to pay the consultant its actual cost, as defined in the agreement, plus the net fee stated in the agreement. The net fee remains fixed regardless of differences between the estimated and actual costs to the consultant except as otherwise stipulated in the agreement or modified by a supplemental agreement. Net fee is compensated proportionally to the work performed.

See Chapter 8 regarding net fee on supplemental agreements.

  1. 8 Negotiations

The purpose of the negotiations is to negotiate a contract that is acceptable to both parties, using VDOT's estimate and the consultant's proposal, within VDOT's policies.

During the entire negotiation process, a written record should be kept in the project file of all the issues raised and their resolution. It is also necessary to document how pre-award audit issues are handled.

Once the fee proposal is received and evaluated in accordance with Sections 4.6 and

  1. 7, a meeting may be scheduled between VDOT and the consultant, to discuss man-hours and fee proposal cost. The VDOT Project Manager should prepare an agenda in advance of the meeting.

During the negotiations, the project requirements will be discussed in detail with the selected firm. Revisions of the proposal and supporting cost or pricing data may be made as required during negotiations to reflect changes in or clarification of the scope of the work to be performed by the consultant or findings derived from pre-award audits.

4 - 14Changes in the scope to clarify the intent or better define the lines of responsibility will be considered. The objective of both parties will be to efficiently provide a quality project.

VDOT shall conduct negotiations on the scope of services and professional compensation initially with the top ranked firm. Only one consultant may be negotiated with at any one time, unless the RFP allows for multiple awards. If a fair, reasonable and mutually satisfactory contract cannot be negotiated with that firm, VDOT shall formally terminate the negotiations and notify the firm in writing. Negotiations then shall be initiated with the next-ranked firm and this procedure shall be continued until a fair, reasonable and mutually satisfactory contract has been negotiated. Once negotiations are terminated with a firm, VDOT may not enter into further negotiations with the firm at a later date. In most cases, an agreement will be reached with the first consultant; however, on infrequent occasions it may be necessary to go to another firm. If an agreement cannot be reached with any of the firm’s that were interviewed, the Lead Division Administrator will decide whether to interview additional firms that submitted an EOI or to re-advertise the contract.

When the RFP states that multiple contracts may be awarded, negotiations will be initiated with top ranked firms equal to the number of anticipated awards. These negotiations can be conducted concurrently. For example, in the case of two contracts being awarded from a single procurement, VDOT will initiate negotiations with the top ranked and the second ranked firms concurrently for contract award one and two respectively. In case of failure to reach a fair, reasonable, and mutually satisfactory contract with any of the selected firms, VDOT will officially terminate the negotiations with the subject firm and commence negotiations with the next firm based on the order of ranking. This process shall continue until the anticipated contracts are successfully negotiated.

If deadlocks occur during negotiations, the consultant firm’s management may request a meeting with the Lead Division Administrator to determine if the issues may be resolved prior to negotiations being terminated. The Lead Division Administrator will make all final decisions regarding negotiations.

Upon reaching an equitable solution, the fee proposal is revised and compiled for approval.

Documentation regarding the negotiation should be kept in the procurement file. Results of the negotiation may be reflected immediately in the proposal or the consultant may elect to study the matter and respond by letter or by submitting a revised proposal.

  1. 9 Pre-Award Audit Evaluation

After selection, the firm has ten (10) calendar days to submit the required pre-award documentation. Failure to submit the required documentation within the ten (10) day period could result in the selection being made for the next ranked firm. The pre-award documents are sent electronically to the Procurement Officer for review. The

4 - 15Procurement Officer will submit the completed pre-award documents to the ACO Division mailbox with a request for a pre-award evaluation. The pre-award evaluation is a review performed to determine if the provisions in the proposed agreement are in accordance with the guidelines provided by the Federal Acquisition Regulations in Title 48 of the Code of Federal Regulations, the AASHTO Guide and this manual.

The required pre-award documentation includes:  Certified Payroll  Signed Certification of Payroll  Contract Cost Certification form  FAR approval letter from VDOT  Labor classification tables  Non-Salary Direct Cost tables  Supporting documentation fo non-salary direct costs o Attestation letter for all non-salary costs incurred on equipment or materials owned or supplied by the firm o Usual and customary rates for vendor costs that are included in the contract o Master lease documentation for leased vehicles

When the pre-award evaluation is completed, a pre-award letter is sent to the Procurement Officer detailing the findings. The ACO pre-award evaluation report will be provided to the Contract Administrator.

The consultant may be required to furnish additional information for review for unresolved project costs. Adjustments could be made to the proposed agreement based on the results of the pre-award evaluation report.

Pre-Award Evaluations are not required to be furnished to the FHWA on any project.

The final Scope of Services is furnished to the FHWA on FHWA oversight projects.

Under normal circumstances, pre-award evaluations requested by the Procurement Officer are completed within 14 calendar days from the date all required documentation is received from the consultants and submitted to ACO. Incomplete or inaccurate pre-award documentation submitted to the ACO will most likely result in the pre-award evaluation being delayed. Pre-award evaluations requested by a locality do not follow the 14 calendar day completion.

4 - 16 CHAPTER 5

MEMORANDUM

OF

AGREEMENT

5 - 1CHAPTER 5 – MEMORANDUM OF AGREEMENT

  1. 1 General

Once negotiations are finalized, the Procurement Officer will draft a MOA, using the template MOA located at http://insidevdot/sites/ConsultantProcurementProgram/default.aspx. The template MOA is essentially a sample contract, broadly drafted to encompass a variety of projects and situations. The Procurement Officer selects those portions of the standard MOA that apply to the current contract and deletes any sections that are not pertinent to the current contract. Standard sections applicable to all MOAs (MOA Attachment A) shall not be deleted or modified.

  1. 2 Types of Contracts

  2. 2.1 Single Contracts

Project specific contracts provide for all the work associated with a specific project that is desired to be contracted with the consultant firm and requires detailed scopes of services. These contracts may provide for all work to be placed under contract at the same time depending on availability of funds. A project-specific contract is the traditional type of consultant contract between VDOT and a consultant for the performance of fixed Scope of Work related to a specific project within an established maximum compensation payable and schedule.

The RFP shall provide among other things a description of the scope of work, required disciplines, and expertise, reporting responsibilities, deliverables, compensation method, as pertinent to support the project. A cost plus net fee, lump sum or fixed billable rate compensation methods can be utilized for this type of contract.

  1. 2.2 Multi-Phase Contracts

Unless the MOA for multi-phase professional service contracts include provisions for a future phase, with the fee to be negotiated at a later date, all future phases are considered as a new project. VDOT is not obligated to use the same consultant for all phases of a project. To continue with a consultant, who has completed a previous phase of the project, will depend upon:

 Satisfactory performance by the consultant of the previous work or services.  A decision by VDOT that it is in the public's best interest to proceed with the consultant for subsequent work or service.  Negotiation of a mutually satisfactory MOA Supplement for the subsequent phase(s).

5 - 25.2.3 Limited Services Term Contracts

.1 General

Limited Services Term Contracts may be used for engaging a consultant's services for multiple small projects within an established maximum compensation and over an established time frame. Limited Services Term Contracts are limited to a maximum of $5,000,000, per term. The initial contract term shall be limited to two years or when the cumulative total of approved task assignment fees reach $5 million, whichever occurs first. At VDOT’s option, the contract may be extended one term at a time for up to two additional terms. An additional term is defined as one year or when the maximum fee per term is reached, whichever occurs first. Any amount not obligated through a task assignment under the term may not be carried over to future years. The amount obligated in any given contract year cannot exceed the limit on the original MOA. In accordance with §2.2-4309 of the Code of Virginia, VDOT may extend the term of an existing contract, through a Supplemental Agreement, to allow completion of any services undertaken but not completed during the last term of the contract as long as the contract value per term is less than $5,000,000 and did not exceed $5,000,000.

These contracts are utilized on small projects where the cost of advertising the project as an individual contract is high compared to the cost of the project, or where sufficient time does not exist to procure consultant services through the normal procurement process. Typical services which may be contracted for include: surveying, geotechnical, environmental, design, construction inspection and bridge safety inspection, etc. The RFP shall include a description of the nature of the potential projects, the disciplines/expertise required, and the nature of services to be required. A consultant having a Limited Services Term Contract is not prohibited from competing for, and being selected for, regular RFPs issued by VDOT. The total value of task assignments will be included in the consultant's workload with VDOT and properly entered into Cardinal to reflect this. The workload attributed to the prime and subconsultant will be based on the commitment made during negotiations. The limit of the contract should be closely tailored to the expected workload.

A limited services contract may cover a specific geographic area, may be on a regional or district basis, or may be statewide. VDOT does not represent or guarantee that the consultant will receive any work under a Limited Services Term Contract.

Payment for services is based on fixed billable rates for each employee classification/discipline established in the MOA. The fixed billable rates will include salary, overhead, net fee and escalation. Individual projects are assigned under these contracts and fees established based on the fixed billable rates for each classification/discipline.

.2 Task Assignment/Letter of Agreement

5 - 3 There must be an individual written task assignment, often referenced to as a Letter of Agreement (“LOA”), signed by the Lead Division Administrator or his/her designee, for any services provided under the Limited Services Term Contract.

Each LOA will include a scope of services, a fee proposal, and start and completion dates. Work performed under these contracts must be coordinated and tracked by the Central Office divisions and should have a Central Office coordinator assigned to the contract to track and control expenditures.

The individual task assignment/LOA may be either actual cost basis or lump sum, in accordance with the payment type on the MOA. LOAs only require approval of the Lead Division Administrator or his/her designee. The maximum compensation payable for LOAs will be established using the fixed billable rates and the actual non-salary direct costs. The lump sum cost will be billed based on the percentage of the services completed. Adjustments to the fixed billable rates will not be allowed for changes in overhead.

Any change to an approved LOA requires a new written LOA. No extra work, time extensions, or increases in the maximum amount payable shall be authorized without an approved new written LOA.

Unless the project is terminated or suspended, VDOT and the consultant are obligated to fulfill the requirements of all individual LOAs issued even though the term for the contract has concluded. In addition, no LOAs can be issued after the final term of the contract expires.

.3 Limited Services Term Contract with Multiple Awards

For Limited Services Term Contract with multiple awards, task assignments shall be issued by VDOT as follows:

Establish the order in which the selected firms are assigned the task orders.

Normally, the order should be based on the selected firms’ ranking at the final decision for selection and award.

However, in certain instances, the assignment can differ from the above guidance if determined to be in the VDOT’s best interest with appropriate justification and approval of the Lead Division Administrator. The justification may include, but not be limited to, the following criteria:

 Potential Conflict of Interest  Availability of consultant personnel to complete the project within the required timeframe  Workload assigned under current contract  Fair distribution of assignments in terms of value  Continuity of services  Location of firm when that is a major factor in the task assignment

5 - 4 The justification and approval of the Division Administrator for the task assignment shall be kept on file for the record.

.4 Renewal of Limited Services Term Contract

The process of a renewal of Limited Services Term contract as established herein must be followed. It is recommended when renewing a Limited Services Term Contract, the Project Manager begins the process within 120 days of the expiration date or cumulative project fees reach the contract amount. The VDOT Project Manager should determine whether it is in the best interest of VDOT to renew the Limited Services Term Contract based on review of the consultant’s performance and workload. The findings should be presented to the Lead Division Administrator for approval to renew contract. Upon receiving approval, the consultant should be notified and requested to send a written response acknowledging its desire to renew the contract. The appropriate signature should be obtained on the “Consultant Term Contract Renewal Request Form”, available at the Consultant Procurement Program team site: http://www.virginiadot.org/business/gpmps.asp . The completed Consultant Term Contract Renewal Request Form should be submitted to the Consultant Procurement section of the APD. A copy of the executed “Consultant Term Contract Renewal Request Form” should be sent to the consultant with VDOT’s decision. If contract is not to be renewed, notify the consultant that contract will not be renewed. Failure to renew the contract prior to expiration date or when the cumulative total of project fees reaches the term contract amount will result in an expired contract. No new LOAs/task assignments including any supplements or extensions of any kind to existing LOAs/task assignments shall be issued after a contract expires. The LOAs, task orders or letter/email regarding intent to renew the contract shall not be construed as the formal notice of a renewal of a Limited Services Term contract.

  1. 3 Types of Compensation

The type of agreement is generally defined by the method of compensation for services.

The usual methods of payment are

 Lump sum  Cost per unit of work  Cost plus net fee  Specific rates of compensation (fixed billable rates)  Percentage of construction cost

Lump sum and cost plus net fee are the most common methods used by VDOT. All the methods are acceptable except for percentage of construction cost. This type of contract is illegal in Virginia and prohibited by Federal procurement regulations.

5 - 5Lump Sum - By this method, the consultant performs the services stated in the MOA for an agreed amount as prime compensation. This method of payment is appropriate only if the extent, scope, complexity, character and duration of the work to be required can be established to a degree that just compensation can be determined and evaluated by all parties at the time of negotiations. This method may be applicable to the design of small bridges or other designs with well-defined scopes. Lump Sum performance periods should not exceed two years and Lump Sum amounts should not exceed $2,000,000 without ACO’s approval. The use of Lump Sum contracts is encouraged whenever feasible. A subconsultant’s agreement with the prime consultant may be Lump Sum even when the prime consultant’s agreement with VDOT is Cost Plus a Net Fee.

Cost Per Unit of Work - By this method, the consultant is paid on the basis of the work performed. This method is appropriate when cost of the work per unit can be determined in advance with reasonable accuracy, but the extent of the work is indefinite. Provisions in the MOA specify what is included in the price paid.

Cost Plus Net Fee - By this method, the consultant is reimbursed for incurred costs and receives a predetermined fixed amount as a net fee. This method of payment is appropriate when the extent, scope, complexity, character or duration is not clearly defined or where work is of a nature that VDOT does not have the experience or knowledge to permit an evaluation of the consultant's proposal as required to support a lump sum amount. The consultant is reimbursed for all eligible direct and indirect costs within defined limits plus a predetermined amount as a net fee. This type of MOA shall have appended to it the complete breakdown of costs as required to evaluate the proposal. The MOA requires a statement of the net fee and maximum compensation payable for each major element or stage of design.

Specific Rates of Compensation (Fixed Billable Rates) - By this method, the consultant is paid at an agreed and supported specific fixed hourly or daily rate for each employee classification directly engaged in the work. Such rates of pay include the consultant's estimated costs, overhead and net fee.

Percentage of Construction Cost - This method is based on a concept of correlation between engineering design cost and construction cost. A fixed agreed upon percentage of the estimated construction cost is set as the total compensation for services. This method of payment is not allowed to be used in Virginia.

  1. 4 MOA Development

The standard MOA should be followed as explicitly as possible in so far as it is applicable to the scope of services for which it is to cover.

The draft MOA will be reviewed by all divisions involved in the contract. Drafts of the MOA should be reviewed by one person in the managing division for consistency and

5 - 6content prior to the MOA being transmitted to the Attorney General’s Office, as needed.

The draft MOA should be reviewed with the consultant to assure that it meets with their approval. Any changes that are made to the wording or general content of the MOA, must be specifically identified and reviewed by the Attorney General's Office. Changes in standard wording used in all VDOT contracts should not be revised simply because the consultant does not agree with it.

If the consultant desires for payment to be sent to an address other than the office address given in the MOA, a remittance address must be included in the MOA.

After approval has been received from the appropriate divisions all appropriate recommendations are to be incorporated in the final MOA. The results of the Pre-Award evaluation should be reviewed, and corrections should be made to the Fee Proposal, if necessary.

A pdf of the final MOA is sent to the consultant for review and signature, by the appropriate officer of the firm. Instructions are included regarding the number is signature pages.

Consultant Signature Requirements

  1. Individuals - A contract with an individual shall be signed by that individual. A contract with an individual doing business as a firm shall be signed by that individual, and the signature shall be followed by the individual's typed name and the words, "an individual doing business as ___" (insert name of firm).

  2. Partnerships - A contract with a partnership shall be signed in the partnership name, followed by the typed name and title of the person authorized to sign. The Project Manager shall ensure that the individual signing for the partnership has legal and binding signature authority for the partnership.

  3. Corporations - A contract with a corporation shall be signed in the corporate name, followed by the signature and typed name and title of the person authorized to sign.

The Project Manager shall ensure that the person signing for the corporation has legal and binding signature authority for the corporation.

  1. Joint Ventures - A contract with joint ventures may involve any combination of individuals, partnerships, or corporations. The contract shall be signed by each participant in the joint venture in the manner prescribed above for each type of participant.

The Infrastructure Investment Division or Local Assistance Division must be notified by letter of the consultant's final fees and the current total preliminary engineering cost. For secondary road projects, this information is to be sent to the District Administrator and the Local Assistance Division Administrator. A response verifying the availability of the

5 - 7necessary funds should be received in writing (Form PD4-C). (Some divisions administer special funds that do not require this procedure to be followed).

  1. 5 MOA Execution

When the MOA is ready for execution, an email with a copy of the MOA is submitted to the Lead Division Administrator with a request for approval to finalize the agreement. After the Lead Division Administrator provides approval to proceed, the CPO-2 form will be completed and submitted to the Deputy Chief Engineer. The Deputy Chief Engineer has been designated by the Commissioner to execute professional service contracts.

  1. 6 MOA Distribution

After the MOA has been executed copies of the executed agreement are sent along with the letter of official notification to:

 The Consultant - one original executed copy of the MOA.  The Lead Division – one copy of the executed MOA.  District Administrator - one copy of the executed MOA (if applicable).  FHWA (FHWA oversight projects) - one copy of the final Scope of Services and the executed MOA.  Other involved divisions (if they are to administer the contract) - one copy each of the executed MOA.  Project File - one copy of the MOA.

The original copy of the consultant's insurance certification is to be transmitted to the VDOT Contract Administrator with a copy of the executed MOA.

Following execution of the MOA, the current date will be entered on VDOT’s web-site.

Any firm submitting an Expression of Interest in response to the RFP may protest the award or decision to award a contract by submitting such protest in writing to the Procurement Officer no later than ten days after public notice of the award.

Manuals, guidelines, information, etc., required by the consultant to accomplish the work, should be provided as required.

  1. 7 Notice to Proceed

The VDOT Project Manager will send a written notice to proceed to the consultant. The consultant shall not proceed with any work prior to being given a written notice to proceed.

A notice to proceed shall not be issued prior to the MOA being fully executed.

Subconsultants - Our agreement with the prime consultant requires that all provisions of the agreement be included in any contracts the prime consultant has or enters into with subconsultants. Since our contract with the prime consultants requires inclusion of certain provisions of our contract in any subcontract, VDOT Contract Administrator

5 - 8should obtain a copy of any subcontracts for professional services and review them prior to giving the prime consultant a notice to proceed.

In some cases, the scope of the service will have been so well defined during negotiations and the consultant is familiar enough with VDOT work, that no start up meeting is required. In most cases, it is necessary to have a startup meeting with the consultant to discuss the scope of services, format of receivables, lines of communication, project schedules, priorities, milestones, progress reports, vouchers, etc. and to furnish sample plans/reports and any additional information or data that has become available.

  1. 8 Critical Infrastructure Information/Sensitive Security Information (CII/SSI), Criminal History Records Checks (CHRC) and VDOT Photo-Identification Badges

Consultants shall be responsible for safeguarding Critical Infrastructure/Sensitive Security Information (CII/SSI) (as defined in the VDOT Criminal History Records Checks Policy; VDOT Department Memorandum 1-25 (DM 1-25) and any succeeding updates) in their custody or under their control. Individuals are responsible for safeguarding CII/SSI entrusted to them. The extent of protection afforded CII/SSI shall be sufficient to reasonably foreclose the possibility of its loss or compromise. The project material containing CII/SSI in whole or in part will be subject to the terms of the contract and the requirements of CII/SSI Guide and any succeeding, which is available at; http://www.virginiadot.org/business/const/CII-CriticalStructureInformation.asp. When the required services will involve the handling of CII/SSI material, firms handling CII/SSI material will be required to sign non-disclosure agreements. Individuals with the firm(s) that handle CII/SSI material will be required to sign non-disclosure agreements.

Once negotiations have been completed and prior to executing a contract, a Criminal History Records Check (CHRC), through VDOT Personnel Security Section (PSS) or other background checks as determined necessary by VDOT, in accordance with the VDOT Criminal History Records Checks Policy DM 1-25 and any succeeding shall be required of all employees of the prime consultant and all subconsultants for;

[1] Work in Rest Areas, operating in the Safety Service Patrol Program or requiring unrestricted access to VDOT Tier One Critical Infrastructure. [2] All individuals having access to any Agency network system or Commonwealth network supporting VDOT. This includes all users with any network logion or account. [3] All contingent workers for work conducted at all VDOT locations where VDOT is directly responsible for the day-to-day management of staff. [4] All individuals having unrestricted access to personnel information or CII/SSI, protected systems information, FOIA exempt information related to VDOT Tier One Critical Infrastructure. [5] Work requiring a VDOT photo-identification badge or other reasons required by

VDOT.

5 - 9An individual employee's failure to successfully pass the fingerprint-based CHRC will not negate the selection and offerors will be allowed to replace those individuals.

However, if key personnel fail the fingerprint-based CHRC, the selection may be cancelled and negotiations begun with the next ranked offeror. VDOT reserves the right to conduct fingerprint-based CHRC on all employees of the prime consultant, on any employees of subconsultants or on any proposed replacements during the term of the contract who will be involved in this project. All costs associated with the fingerprint-based CHRC are the responsibility of the prime consultant.

A VDOT issued photo-identification badge is required for each employee of the prime consultant or any subconsultant who will need unrestricted access to VDOT facilities or information as defined in VDOT Criminal History Records Checks Policy DM 1-25 and any succeeding updates. Based upon the results of the fingerprint-based CHRC, VDOT reserves the right to deny issuance of a VDOT suitability clearance or a VDOT issued photo-identification badge. Upon denial, appeals will be handled in accordance with the VDOT Criminal History Records Checks Policy DM 1-25 and any succeeding updates.

Criminal History Records Checks through the PSS and photo-identification issuance through the Access Control and Badging Program are coordinated through VDOT’s Safety, Security & Emergency Management Division’s (SSEM), Agency Security Section. Specific CHRC or Badging requirements should be coordinated directly with the respective program areas. Non-Disclosure Agreements and new Consultant billing process is incorporated into the CHRC process.

5 - 10 CHAPTER 6

PAYMENT

PROCESS/

VOUCHERS

6 - 1CHAPTER 6 - PAYMENT PROCESS / VOUCHER

  1. 1 General

After the agreement has been fully executed, the VDOT Project Manager should furnish the consultant with either a paper or electronic copy of the voucher format that is required by VDOT. The consultant is also furnished a paper supply or electronic file of the Consultant Progress Report. These forms may be replicated by the consultant on computer spreadsheets which have the capability to produce a similar format, so long as they are close approximations of VDOT forms and approved by the VDOT Project Manager.

After written notice to proceed is given, work can begin on the project. As the project proceeds, the consultant will need to submit vouchers for payment.

  1. 2 Cardinal Financial Management System (Cardinal)

VDOT utilizes a computer program, Cardinal, to track contract data on all consultant work, including supplemental agreements, vouchers and man-hour reports. Cardinal also provides data on the value of work each consultant has with VDOT and the amount of funds allocated.

Each division is responsible for entering, updating and maintaining its own pertinent project records, in accordance with the procedure outlined in Cardinal User Manuals.

Each contract will be added to Cardinal by the Procurement Officer within seven (7) work days of the contract being executed.

The consultant shall submit Cardinal input data with the voucher giving man-hours and dollars spent during the payment period for the prime and all subconsultants. This information along with a copy of the front sheet of the voucher is to be submitted to the Fiscal Division for Cardinal data entry.

Supplemental agreement data needs to be added to Cardinal within seven (7) work days of the supplement being executed.

When the final voucher is entered on Cardinal, the Contract Final Status box is to be checked.

  1. 3 Consultant Invoice and Progress Report Submissions

Unless stated otherwise in the MOA, the frequency for submittal of vouchers for all contracts is once every thirty (30) days unless set forth in the MOA. Vouchers are to be submitted only when accumulated charges exceed $500.00. Amounts shown are to be rounded to the nearest dollar. 6 - 2 When the voucher contains billings from subconsultants, the first sheet of each subconsultant's voucher should be distinctly labeled “SUB-CONSULTANT” in large, bold print.

The consultant is required to submit monthly progress reports, along with its voucher, to show the status of the services. The consultant should use standard VDOT progress report forms. The progress report should show the percentage of work accomplished, a narrative of the actual work performed this period, and significant activities anticipated for the next month. These progress reports should note important milestones along the life of the project. If a standard format does not exist, the consultant should submit his progress report format to VDOT for approval prior to the first voucher submittal.

  1. 4 Review of Invoices & Progress Reports

The voucher is to be date stamped when received by VDOT, reviewed as expeditiously as possible, and input on the Cardinal computer system within ten (10) working days from the receipt, so that it can be paid within the thirty (30) calendar day requirement. In instances where there is an error in a voucher or defect in services received, the VDOT Contract Manager must immediately notify the consultant upon discovery of the error or defect that would prevent payment. Upon notification, the consultant should submit a revision. A new date received will be stamped on the voucher on the date the revision is received.

The progress of the services is reviewed to verify that the consultant is on schedule and will complete the services on schedule. Should the review show that proper progress is not being made, the consultant shall be notified and reminded of the firm’s obligation to meet the time schedule specified in the MOA. No Consultant's Estimate Voucher will be paid without a progress report covering the period of the voucher. No voucher should be approved for payment when the percentage of money requested is more than 10% ahead of the actual percentage of completion of the work.

The VDOT Contract Manager will review the invoice to determine if the progress claimed by the consultant is reasonable and consistent based on knowledge of the project progress. The VDOT Project Manager will also assure the billing is reasonable and in accordance with the MOA and other written authorizations. No consultant is to be allowed to perform or invoice for any services beyond the original or supplemented contract scope of services without a fully justified and properly executed supplemental agreement. The total net fee that is billed with each voucher should match the overall progress of the completed activities for the project, irrespective of the amount of monies that have been expended.

Review primarily consists of verifying the percentages of completion upon which the voucher is based; verifying current overhead rates; reviewing direct labor, net fee and non-salary direct costs; and checking math. 6 - 3 The purchase of items to be used on the project but which are not consumed by the project and are kept by the consultant for use on other projects are not billable to the project. These items include computers, software, specifications or reference books.

VDOT pays reasonable direct costs on cost plus net fee contracts. Consultant per diem rates shall be in accordance with Fiscal Division's guidelines for state employees.

VDOT does not pay for consultants to relocate personnel to a Virginia office in order to perform work in a Virginia office. If a consultant is required to furnish on a long term basis, a full time Resident Engineer or construction inspectors during the construction of VDOT’s project, relocation expenses will be reimbursed in accordance with the Office of the Comptroller's "Moving and Relocation Policies and Procedures." http://www.doa.virginia.gov/Admin_Services/CAPP/CAPP_Topics/20345.pdf)..

Consultants are not permitted to work overtime unless authorized to do so in writing by the Project Manager. Non-exempt employees may be paid at time and a half. Others are paid at their regular rate. Overtime is generally not allowed except in special cases where VDOT requires the project to be completed on an aggressive or accelerated schedule and where it is the only way the schedule may be met. A consultant's own scheduling problems are not justification for overtime. A copy of the letter authorizing overtime shall be included with the invoice.

Consultants are not permitted to use any of the contingency without the written permission of VDOT.

Common voucher errors made by consultants:  Salaried payroll costs are not supported with adequate documentation  Sub-consultant work not clearly distinguished from prime  All phases/stages of work must be included with each estimate  Errors in net fee percentage  Errors in arithmetic  Previously billed amounts incorrect  Exceeding allowable hotel and M&IE expenses  Progress Report not included  Project mileage logs not provided  Billing Rates not consistent with the Contract Billable Rates  Not using current FAR overhead rates or safe harbor rates approved by the ACO (Cost Plus Net Fee compensation)

When vouchers show a percent complete or stage beyond a point, which by prior agreement, certain reviews should have been completed and have not, payment should not be approved and the consultant should be questioned.

On projects involving multiple bridges, the progress report must indicate the percent completion of each individual bridge. 6 - 4 Consultant Contract Data Tracking information shall be submitted by the consultant with the voucher.

Once the voucher and progress schedule have been checked by the VDOT Project Manager and found to be in agreement, Forms FD-AP-01 and FD-AP-02 must be filled out with the correct information from the voucher. The vouchers, FD-AP-01, FD-AP-02 and progress reports are then sent to an individual designated by the Lead Division Administrator for approval and signature. If review and approval by other divisions is required, the voucher and progress report must be sent to the other divisions.

Once the voucher, FD-AP-01 and FD-AP-02 have been approved, a letter must be sent to the consultant, informing the firm the voucher was approved and has been processed for payment. The voucher information and the contract data is then entered into Cardinal.

One signed voucher (original), along with a copy of the letter for payment, is sent to Fiscal Division for entry into Cardinal Divisions and Districts are responsible for maintaining records of voucher payments and are subject to review of pertinent Chief or his/her designee.

VDOT does not withhold retainage on consultant vouchers. Prime consultants should be encouraged to not withhold retainage on subconsultants.

When the final voucher is sent to Fiscal Division, the transmittal letter should indicate it is the final voucher and closes out the project. The first sheet of the voucher should be marked "Final Voucher."

A letter will be sent to the ACO mailbox (ACO@VDOT.Virginia.gov) informing them that the final voucher has been processed on the project and request that they perform the final audit. After current FAR rates are provided to VDOT on cost plus net fee contracts, final audits will be completed within twelve (12) months of satisfactory completion of the contract as defined in the MOA. Lump sum contracts usually are not audited.

  1. 5 Annual FAR Audits

Upon annual submittal of FAR audit information and the acceptance of a new overhead rate by ACO, the consultant must start using the new rate on future billings for cost plus net fee contracts. The consultant is not permitted to use the new rate to go back and make adjustments for work previously billed. This adjustment will be made at the time of final audit of Cost plus Net Fee contracts. New overhead rates do not change the maximum compensation payable in the contract.

  1. 6 Voucher Package Distribution Voucher 1 - Project File 1 - Fiscal Division (original) 1 - Other Divisions Involved Cover Letter & 1 - Project File 6 - 5 Progress Report 1 - Other Divisions Involved Cardinal Data 1 - Project File 1 - Cardinal Input Person 1 - Other Divisions Involved (if requested)

  2. 7 Interim and Final Reviews

ACO performs final reviews after the completion of the project on Cost Plus Net Fee and upon close out of Fixed Billable Rate contracts, based upon a risk-based approach.

ACO will issue an email with findings, if applicable, to the appropriate consultant representative with copies of the report provided to the appropriate VDOT personnel.

  1. 8 Items Eligible For Reimbursement As Consultant's Costs

A. Direct Salary Costs are the Direct Productive Payroll (actual wages paid all employees of the consultant regardless of job classification when directly engaged in work necessary to fulfill the terms of the agreement) less the premium portion of such wages paid for overtime. 1. Related costs which are normally paid by the consultant may include items such as: a. Wages paid or accrued for vacation time. b. Wages paid for holidays and for sick, military, jury, and other authorized leave. c. Group and Workmen's compensation insurance costs. d. Bonus, incentive compensation or deferred compensation. The allowability of the compensation costs for the senior executives of Government contracts is capped by statute (10 U.S.C. 2323 (e)(1)(P) and 41 U.S.C. 4303(a)(16), both as in effect prior to June 21, 2014) at a benchmark compensation cap amount determined in accordance with a statutory formula. e. Social Security and Unemployment taxes. f.

Pension or retirement benefits. g. Group Medical Plan and Life Insurance Premiums.

  1. The allocation of the related costs shall be in accordance with FAR.
  2. Principals, partners, associates, Chief Executive Officers (“CEOs”), and similar titles are considered to be administrative and/or management functions whose costs have been included in the overhead markup of the rates for technical categories. Salaries of principals of the firm who perform technical services on the project may be included in the Direct Salary Costs for all times they are productively engaged in work necessary to fulfill the terms of the agreement, providing this is the consultant's normal practice and that the cost is not also 6 - 6 included in Indirect Salary Costs. If principals of the consultant perform routine services, such as standard design and drafting work which could be performed by lesser-salaried personnel, the wage rates billed directly for those services shall not exceed those rates paid to the consultant's salaried personnel performing the same or similar work. A principal of a firm may perform the function of a project manager, especially in a small firm. In larger firms, a principal, associate or similar titled person may be assigned this responsibility.

Regardless of title, this function is the same and the marked-up rate should be comparable to project managers of other firms in Virginia.

  1. Premium Wages for overtime paid to employees, in accordance with the consultant's normal practice and directly chargeable to the project, may be reimbursed as Direct Productive Payroll with no surcharge for related costs provided the consultant obtained prior written approval from VDOT to work overtime.

B. Direct Non-salary Costs submitted for payment must be allocable, allowable, and reasonable in accordance with FAR. Some direct non-salary costs include:

  1. Travel, food and lodging, including automotive equipment rentals, fuel, maintenance, tolls, mileage or per diem paid by the consultant for personal expenses of only his own employees in accordance with his normal company policy and VDOT limits. Costs of alcoholic beverages are unallowable. Cost for airfare requires advance authorization in order to be reimbursable.
  2. Communications, including telephone, fax, postage, parcel post, air freight and package express.
  3. Reproductions including photographs, prints and offset work.
  4. Outside professional service and laboratory charges, including, but not limited to, those for surveys, photogrammetry, soils investigations and testing and other charges for engineers, surveyors, lawyers, sociologists, economists, model makers, architects, scientists and other specialists. These charges must be authorized in advance by VDOT to be reimbursable.
  5. Special Equipment as authorized in writing by VDOT and materials required for and used solely in the fulfillment of the agreement. The consultant shall deliver all such equipment and material to VDOT upon completion of the work.
  6. Special insurance for the project that is requested in writing by VDOT.
  7. Rental charges for equipment owned by the consultant are only recoverable to the extent they are allocable, allowable, and reasonable, necessary and consistently treated in like circumstances in accordance with FAR. 6 - 7
  8. Costs of leasing or renting vehicles/equipment are only recoverable to the extent they are allocable, allowable, and reasonable, necessary and consistently treated in like circumstances in accordance with FAR.
  9. The eVA one-time transaction fee.

C. Indirect Costs (or overhead costs) are the remaining costs of the consultant's business operations after the assignment to all his clients of all Direct Costs, exclusive of costs ineligible for compensation such as uncollectible charges, advertising, amusement, entertainment, contributions, donations, interest on borrowed money and the like. (For a complete list see 49 CFR Part 31.)The consultant's established practices for allocation of eligible Indirect Costs to each project shall be used if in accordance with generally accepted accounting procedures.

D. Indirect Salary Costs are the actual wages paid to all employees of the consultant for work not directly chargeable to individual clients plus the same related costs as previously outlined in Direct Salary Costs if not included in Direct Cost, such as:

E. Indirect Non-Salary Costs are all non-salary costs of the Consultant's business operations eligible for compensation (Section C.) not directly chargeable to individual clients. Those costs are only recoverable to the extent that they are allocable, allowable reasonable and consistently treated in like circumstances in accordance with FAR such as: 6. 9 Final Payment

If, as a result of the final review, the consultant owes VDOT a reimbursement of some payments, the Assurance and Compliance Office will secure the reimbursement. If VDOT owes the consultant additional compensation, the VDOT Project Manager will have the consultant submit another invoice to claim the payment. If the project has been closed-out to charges, the VDOT Project Manager will have to contact the funding division and have the project opened for additional charges. 6 - 8

CHAPTER 7

CONTRACT

ADMINISTRATION/

REVIEWS

7 - 1CHAPTER 7 - CONTRACT ADMINISTRATION / REVIEWS

  1. 1 Contract Administration

VDOT shall assign or designate a Project Manager and a Contract Administrator to deliver the project and to oversee the contract and ensure that the consultant performs in accordance with the terms, conditions, and specifications of its contract.

Contract Administrators are responsible for the control of their assigned contracts. They must be fully knowledgeable of the contract general terms and conditions, rate structures and deliverable requirements. This responsibility includes coordination with contract users to assure consistent contract compliance.

The overall duties of the VDOT Contract Administrator include, but are not limited to the following:

 Coordinating contract “start-up” activities with the appropriate personnel (facilities, security, etc.)  Assurance that services are delivered in accordance with the contract price, terms and conditions.  Coordinates the development of contract task order assignments to include project description, scope of work, schedule, and fee proposal with support from the VDOT Project Manager.  Obtains signature approval of task order assignments from the Lead Division Administrator and distributes final approved task orders for implementation.  Collecting and filing of mandatory documentation such as sub-consultant agreements, insurance forms, etc.  Regular input into PSCRS and Cardinal (task orders, invoices, etc.).  Prompt reporting of delivery failures or consultant performance problems to the Procurement Officer.  Coordinates the preparation and submittal of the evaluations with support from the VDOT Project Manager.  Ensure that the contract terms, conditions and maximum compensation are not modified in any way without action by the Procurement Officer.  Ensure that contact renewals are processed on-time in coordination with the Procurement Officer.

The Contact Administrator reviews invoices for compliance with the MOA and applicable task orders, reasonableness, etc., and coordinates review and approval of the invoice with the VDOT Project Manager. Once the invoice is approved, the Contract Administrator prepares the invoice for payment.

Project Managers are responsible for the control of their assigned projects. They must be fully aware of the project scope, objectives and the proper flow of the work activities.

This responsibility includes coordination with the functional work areas to assure the blending of all activities into a quality product produced within the required schedule.

7 - 2The overall duties of a VDOT Project Manager include, but are not limited to the following:

 Day to day coordination for the delivery of the consultant services.  Coordinate contract “start-up” activities with the appropriate personnel.  Develop overall project goals, plans, and schedules.  Maintain complete project files and satisfy the requirements for record keeping, filing, and reporting.  Provide liaison with consultants in preliminary stage, design stage and during construction.  Ensures that no work is done or costs incurred until written authorization is given by VDOT.  Monitor the consultant’s progress on work assignments to ensure on time, on budget delivery of expected quality product.  Review and approve consultant invoices and status reports. Process invoices for payment in a timely fashion. Ensures project data is input into Cardinal.  Gather, coordinate and transmit information required to complete the contractual services.  Work with other functional specialists and divisions to coordinate plans and schedules, obtain commitments, and resolve problems.  Coordinate and provide liaison with other entities such as FHWA, city, county, and State regulatory agencies, environmental resource agencies, citizen groups, and elected and appointed government officials.  Review preliminary, intermediate, pre-final and final plans and special provisions, etc. prepared by the consultant(s) for accuracy and completeness prior to submitting them for the designated activity.  Distribute and obtain approval of plans and special provisions from other divisions and outside agencies.  Answer inquiries relating to VDOT's practices and specifications, including AASHTO modifications and geometric standards.  Prepare Consultant Performance Reports, at a minimum, in January and June of each year and upon expiration of the agreement.  Assist field personnel in solving construction problems. Coordinate field inquiries regarding the review of shop drawings.  All internal coordination of the consultant plans, reports, etc. shall be arranged by the VDOT Project Manager. Once the plans, reports, etc. have been accepted, the appropriate division will be responsible for making in-house revisions or returning the plans, reports, etc. to the consultant for revisions.  Coordinate and process plan revisions.  Identify changes to scope of services, review man-hour estimates and prepare contract amendments (supplemental agreements).  Participate in the review of consultant claims and time extension requests.  Provide technical information and report project status to upper management.

7 - 3Coordination may involve: field survey, aerial photography, traffic, environmental, right-of-way, corridor analysis, hydraulic and hydrologic analysis, geotechnical, value engineering, road plans, structure and bridge plans, public involvement, specifications, FHWA, signs, signals, lighting, utilities, drainage, navigation permit, quality control reviews, etc.

Status meetings and other project reviews are necessary for the VDOT Project Manager to satisfactorily control his/her assigned project. These meetings will allow him/her to evaluate the work progress and to determine if any activities should be redirected to meet the goals of the project. Through effective leadership by the VDOT Project Manager, these meetings will also provide information and produce decisions for the efficient advancement of the project to the next level of completion.

In addition to the scheduled meetings, the VDOT Project Manager must anticipate other meetings or reviews which may be required. Quality Assurance audits, coordination meetings and value engineering reviews may require the VDOT Project Manager's participation during the project development. The satisfactory accomplishment of these meetings will be necessary for the success of the project.

  1. 2 Evaluation of Consultant Performance and Services

It will be the responsibility of the VDOT Project Manager and each division involved in the contract to evaluate the consultant’s performance, including named subconsultants performing any major type of work, at a minimum, in January and June of each year over the duration of the project and upon expiration of the agreement. However, additional performance evaluation reports may be filed at any time over the duration of the project as deemed necessary by the Project Manager. The Lead Division will be responsible for monitoring and ensuring timely completion of these reports by the Project Manager. The Consultant Performance Report will be used for the evaluation.

The analysis must be completely fair and honest; personal dislikes and biased opinions of the firm must be set aside. Ratings shall be based on facts and documentation and not personal prejudices. The evaluation should consider only the performance of the consultant during the production of the project. Attention must be paid to the rating values.

A consultant that fully meets the terms and conditions of the contract receives a score of three. Scores higher than three must result from exceptional performance from which VDOT realizes some benefit to the schedule or budget and must have supporting comments. Scores of less than three without any supporting comments will result in the performance report being returned to the rater for the comments to be added. Attention must be paid to the utilization of DBEs/SWaMs and appropriate scores given.

Each division involved in a contract is responsible for completing performance reports for their portion of the work. The following steps shall be taken with the report for signature and approval:

 Reviewed by the consultant and the consultant given an opportunity to respond back with written comments

7 - 4  Reviewed and signed by the Division/District Administrator (Reviewer)  Filed with Procurement Officer, along with the firm’s written comments

The consultant may appeal the evaluation to the rater's supervisor, Division/District Administrator or the appropriate Chief Administrator. If the report is revised, the VDOT Project Manager will make sure that any previously distributed copies of the original report are voided and that the correct information is in the database. Consultant Performance Reports shall be retained in the performance database for five (5) years after the date of the report. If requested by the prime consultant, the performance reports of their subconsultants on a project will be furnished to the prime consultant. This will provide feedback to the prime consultant on the subconsultant's performance.

The reports will be used as back-up data for future justification in using that firm for work.

The Consultant Performance Reports shall be uploaded to the Consultant Performance Evaluation library for use by Selection Committees. Individual scores for each item rated will be in the SharePoint table, not just the average score. This will allow committee members to see if there are any individual category low scores while the average score is still high. Report data over five (5) years old will be deleted from the database. If requested by a consultant in writing, a copy of the Performance Report spreadsheet will be provided to the consultants on a frequency of not more than twice a year.

If a contract is of such a nature that no useful purpose will be served by periodic reviews, the Lead Division Administrator may exempt the specific contract from the review procedures stated above and substitute other procedures deemed appropriate to accomplish the intended purpose. A record of this exemption should be maintained in the project file. The reasons for exemption and the substitute procedures used must be stated in writing and retained in the project file..

In the event the consultant's performance is unsatisfactory or it is deemed in the best interest of VDOT to cease work on a project, a written notification to stop work shall be issued to the consultant. The consultant may not proceed with work on the project unless a subsequent written authorization to proceed is given. If VDOT decides to terminate the contract, it must be done in compliance with the terms and conditions stated in the MOA.

  1. 3 Final Consultant Performance Report

VDOT requires that a final Consultant Performance Report to be completed by the VDOT Project Manager from each division that works with the consultant within sixty calendar (60) days after the completion of the work from the prime, sub-consultant and DBE. Work will be considered complete after payment of the final voucher. If errors are found in the plans during construction, the procedure outlined in the MOA should be followed and an additional Consultant Performance Report should be completed and filed with Procurement Officer. The report must be reviewed with the consultant and the consultant given the opportunity to submit written comments regarding an unsatisfactory evaluation.

7 - 57.4 Title VI Evaluation Report

Title VI Evaluation Reports (T6-2-3-09) must be updated annually by consultants whose portion of the contract is $10,000 or greater, as long as the consultant or subconsultant(s) is performing in accordance with the MOA. A copy is furnished to the CRD for their review and approval. The VDOT Project Manager is responsible for ensuring the Title VI Evaluation Reports (T6-2-3-09) is updated annually by consultants and approved by CRD.

In the event of a finding of non-compliance, the VDOT Project Manager may seek resolution with the consultant with the assistance of the CRD.

  1. 5 Insurance

Certificates of Insurance evidencing that the insurance coverages required by the MOA are in effect must be submitted annually, from the date of execution of the MOA, by the consultants. The VDOT Contract Administrator is responsible for ensuring the Certificate of Insurance filed with VDOT is up-to-date.

  1. 6 Annual FAR Reviews

FAR audit information and new overhead and payroll burden rate must be submitted annually and approved by ACO. The documentation required is contained on the ACO website.

  1. 7 Plan Errors and Omissions

VDOT’s policy is to take all reasonable steps to preclude significant design errors/omissions both by its own designers and by consultants. Upon discovery of an alleged design error/omission, immediate action is mandatory to minimize potential delay costs. This should include communication with the designer unless the solution is immediately obvious without this input. The consultant must be made aware of the circumstances and put on notice as soon as possible that there may be a claim against them for errors/omissions. The consultant must be given an opportunity to help resolve problems that arise during construction as a result of unforeseen conditions or alleged or potential plan errors/omissions. VDOT will seek to recover costs incurred as a result of design errors/omissions determined to be the liability of a consultant. If the error/omission results in additional quantities being added to the project that would have been required anyway, no compensation is sought from the consultant unless obtaining the additional quantities caused a delay in the project and there were other costs associated with the delay or there were premium costs created because new pay items had to be set up to pay for additional quantities. All alleged design errors/omissions relating to this policy and known facts surrounding the alleged error will be carefully and fully reviewed by VDOT personnel and affected consultant as indicated herein. If necessary, a review committee shall establish the official position of VDOT with respect to liability for additional costs incurred as a result of a particular alleged design error/omission. All decisions shall be subject to appeal to the appropriate Chief at the option of the consultant.

7 - 6At the first indication of a potential design error/omission, the VDOT Project Manager shall take the following action; however, an error/omission alleged by a contractor does not necessarily start this process.

 Immediately notify supervisor and consultant. Correspondence regarding errors/omissions must be addressed to an Officer in the firm.  Alert subordinates that more detailed documentation than is normally required on the work performed shall begin; include all decisions and descriptions of work, photographs, records of labor, materials, and equipment.  Notify the consultant and offer the consultant an opportunity to participate in a solution.  Attempt to resolve the issue. This attempt should proceed through channels to the Administrator of the Central Office procuring division as necessary.

Upon notification of an alleged error/omission, the Division Administrator (or designee) shall:

 Review all available information, including costs, and determine the appropriateness of attempting to secure reimbursement from the consultant for the legally recoverable additional costs incurred as a result of the alleged error.  Request assistance from the Attorney General’s Office if legal interpretation is required.  Drop further action if it would not be appropriate to pursue reimbursement from a cost viewpoint, or proceed to next step.  If the decision is to proceed, schedule a meeting of a review committee.  Lead the review committee in its deliberations to determine if the consultant has responsibility for the alleged error/omission, if reimbursement should be pursued, and amount of reimbursement.  If the review committee determines the Consultant committed an error/omission and the consensus of the committee is to recommend reimbursement, notify the consultant and the appropriate Chief of the decision and outline the options for repayment or appeal.  Take the following steps when applicable:

o Negotiate a settlement. Settlements of $50,000 or larger require approval of the Governor’s office. o Acceptable methods of settlement include cash payment, installment cash payments, services in kind in lieu of money, and withholding payment from future vouchers. o If the consultant agrees to reimburse VDOT through deductions from other payments due, notify Fiscal Division to make appropriate deductions and release the consultant from further liability. o If the consultant repays in full, acknowledge receipt and tender release from further liability for the specific error/omission.

7 - 7 o If the consultant refuses repayment, does not appeal the decision, and has payments due from other agreements, notify Fiscal Division and advise him/her to withhold payments due the consultant. o If the consultant refuses repayment, does not appeal the decision, and has no other payments due, notify the Office of Attorney General to proceed with legal action. o If the consultant requests an appeal of the decision, notify the appropriate Chief that the consultant wishes to appeal the decision. Provide all pertinent details concerning the alleged error and actions and decisions to date. o Notify the consultant of any actions taken.

  1. 8 Ethics in Contracting

Sections 2.2-4367 through 2.2-4377 of the VPPA and Department of Personnel and Training Policy and Procedures Policy 1.60 discuss ethics in contracting.

Governmental business shall be conducted in a manner above reproach and, except as authorized by statute or regulation, with complete impartiality and with preferential treatment for none. Transactions relating to the expenditure of public funds require the highest degree of public trust and an impeccable standard of conduct. The general rule is to avoid strictly any conflict of interest or even the appearance of a conflict of interest in VDOT-consultant relationships.

Accepting unsolicited advertising or promotional items such as calendars, pens, pencils, key rings, golf balls, coffee cups, etc., (Usually costing less than $10) is acceptable since these would not reasonably tend to influence the discharge of an employee’s duties and they are of nominal value. Employees may accept food, drinks and give-away items offered to all participants of consultant sponsored seminars or trade shows.

  1. 9 Critical Infrastructure Information/Sensitive Security Information (CII/SSI)

Consultants shall be responsible for safeguarding CII/SSI (as defined in VDOT CII/SSI Policy) in their custody or under their control. Individuals are responsible for safeguarding CII/SSI entrusted to them. The extent of protection afforded CII/SSI shall be sufficient to reasonably foreclose the possibility of its loss or compromise.

Consultants shall ensure that all employees using this information are aware of the prohibition against disclosing CII/SSI in any manner (written, verbal, graphic, electronic, etc.) that permits interception by unauthorized persons.

Consultants shall protect CII/SSI at all times, either by appropriate storage or having it under the personal observation and control of a person authorized to receive it. Each person who works with protected CII/SSI is personally responsible for taking proper precautions to ensure that unauthorized persons do not gain access to it. The use and storage of CII/SSI shall conform to the following guidelines: During working hours, reasonable steps shall be taken to minimize the risks of access to CII/SSI by unauthorized personnel. After working hours, CII/SSI shall be secured in a secure

7 - 8container, such as a locked desk, file cabinet or facility where contract security is provided.

The reproduction of CII/SSI documents or material containing CII/SSI shall be kept to the minimum extent necessary consistent with the need to carry out official duties. The reproduced CII/SSI material shall be marked and protected in the same manner as the original material. Material containing CII/SSI shall be disposed of by any method that prevents unauthorized retrieval. (e.g. shredding, burning, returning to original source, etc.) CII/SSI shall be transmitted only by US first class, express (US Postal, FedEx, UPS, etc.), certified or registered mail, or through secure electronic means.

The portions of the documents that are marked as CII/SSI are not subject to release under the FOIA (Code of Virginia §2.2-3705.2), and may not be released except with written permission from VDOT. Unauthorized release or reproduction of these documents may result in civil penalty or other legal action.

By copying, downloading, or receiving a copy of any documentation containing CII/SSI, or any part thereof, the consultant or any other recipient acknowledges and agrees to the terms of the MOA and will advise any individual using these documents, or any part thereof, that they too shall be responsible for safeguarding the CII/SSI in their custody or under their control. All costs associated with performing these CII/SSI requirements are the responsibility of the prime consultant.

In the event of loss, suspected loss or compromise of any VDOT CII/SSI material, the consultants having possession of the said CII/SSI material will immediately upon having knowledge of the loss, suspected loss or compromise of any VDOT CII/SSI material, notify the VDOT Project Manager. If the loss is a result of a theft or suspected theft, of either the actual CII/SSI material or any device containing or storing CII/SSI material, the consultant will immediately file a report with a law enforcement agency having jurisdiction and forward a copy of the report to the VDOT Project Manager.

The consultant shall include the CII/SSI terms in the MOA in any further dissemination of any contract documents or project materials containing CII/SSI in whole or in part, and in all subcontracts awarded under the consultant’s contract.

7 - 9 CHAPTER 8

SUPPLEMENTAL

AGREEMENTS

8 - 1CHAPTER 8 - SUPPLEMENTAL AGREEMENTS AND MODIFICATIONS

The MOA provides that supplemental agreements may be needed to amend the services and/or compensation that were agreed upon in the original contract. The additional work required must fall within the original scope and provides for services that are essentially the same as those in the original contract. Supplemental agreements will state the proposed changes of work, and adjustment of fees to be paid, if any.

  1. 1 Allowable Uses of Supplemental Agreements

Frequently, changes must be made in the services covered by agreements for transportation projects. Supplemental agreements may increase or decrease the consultant's compensation and/or time and are used for the following:

 Increasing or decreasing the scope, character or complexity of the original services to be provided. When VDOT reduces the scope of work and eliminates some consultant services, a supplemental agreement will be executed decreasing the maximum compensation payable and decreasing the net fee payable.  Correction of errors or omissions in the wording of the original contract.  Additional phases of a Multiphase Professional Services Contract.  Sole source and emergency contracts are to be awarded only when the circumstances surrounding the original procurement still exist and, therefore, warrant continued use of sole source or emergency services. If these changes require an adjustment of the prime compensation provided in the prime consultant agreement, the authorization to perform the work must include the method to be used in determining the adjustment in the prime compensation and the amount of such adjustment. The Consultant's Estimate Voucher shall be modified to include any changes and the date of the supplemental agreement noted on the first page.

If using a supplemental agreement for a contract with lump sum compensation, the total contract amount cannot be increased by more than the greater of $50,000 or twenty-five percent of the original contract amount, unless advance written approval of the Governor or his designee is obtained. This does not apply to cost-plus-net-fee type of compensation.

  1. 2 Non-Allowable Uses of Supplemental Agreements

Supplemental agreements cannot be used for

 Any changes which are outside the general scope of services defined in the RFP and/or MOA. Such changes would have the effect of making the services performed substantially different from the services the parties bargained for at the time the original contract was awarded (i.e. a contract for road design work may not have a bridge added to it if there was not any bridge design work in the original RFP and MOA).

8 - 2  Transferring authorized amounts among the consultants working on a project does not require a supplemental agreement as long as the transfer does not change the total maximum compensation. Transfers may be from the prime consultant to subconsultant(s), subconsultant(s) to subconsultant(s), or subconsultant(s) to prime consultant. To document the transfer, a letter which outlines the changes must be submitted by the involved prime consultant, to each affected subconsultant, and the Lead Division Administrator. A copy of the letter will be furnished to ACO and the Procurement Officer.  Supplemental agreements will not be processed to compensate the consultant for changes in overhead.  If there is any question as to whether or not the extra work is within the scope of the MOA, the Attorney General's office shall be consulted.

  1. 3 Justification of Supplemental Agreements

In justifying the supplemental services, it is of particular importance that specific reasons are stated why the additional services are not contained in the original agreement; and, that a clear indication is given to show that circumstances would not require the consultant to anticipate the conditions warranting the change.

Evidence to justify a supplemental agreement should, at a minimum, address the following: project continuity, time savings, cost effectiveness, and the learning curve for a new consultant. Proposals will be submitted, reviewed and approved by the Procurement Officer for any supplemental agreement using the same process covered in Chapter 4.

  1. 4 Net Fee

When the consultant provides additional services clearly outside the scope of agreement and at the request of VDOT that require a supplemental agreement, additional net fee will be paid to the consultant. Additional services outside the scope of the original agreement may include providing the same services, but for an extended time past the original contract completion date or in a quantity significantly larger than expected when originally scoped.

The net fee is a negotiated amount and not a set percentage of the contract. The net fee on supplemental agreements will be determined independently of the process used to determine the net fee for the original agreement. This would not be a cost plus a percentage of the cost situation since the net fee on the supplemental agreement is a negotiated amount and not a set percentage.

  1. 5 Execution of Supplemental Agreement

The process for executing a supplement is the same as used in the original agreement.

FHWA shall be notified when any of the instances set forth in Chapter 1, Section 1.2, of this Manual apply. It must be verified that funds are available to perform the additional services. The general procedure for negotiating the fee proposal is similar to the original

8 - 3MOA. Supplemental agreements do not have to use the same net fee as the original contract, and the net fee should be a negotiated amount based on the factors in Section

  1. 6 for the additional services. Once the supplemental fee proposal has been negotiated, and man-hours and fees have been agreed upon, the process for approval is the same as with the original MOA. The supplemental agreement will state the proposed changes of work or services, extension of time and completion, and adjustments of fees to be paid, if any. VITA or ITD approval is required if computer hardware and/or software acquisition or lease is indicated in the agreement. Supplemental agreements must be signed by the same entity as the original agreements of which they are to become a part.

Once approved, the supplement should be sent to everyone who received a copy of the original. The Cardinal system will be updated to reflect the current dollar amounts as revised by the supplemental agreement and the funding division should be notified of the increase in cost. A copy of the supplemental agreement will be sent to the ACO.

  1. 6 Notice to Proceed

The consultant must have an executed supplemental agreement and receive authorization and a written notice to proceed prior to proceeding with the work.

If not feasible, the consultant may be given authorization to proceed, with approval from the appropriate Chief, with the services up to the maximum compensation payable of the current contract. However, the authorization and approval to proceed must not be considered a substitution for the supplemental agreement. The consultant shall submit a proposal to perform the services. The proposal will be negotiated and an agreement reached. The consultant will be given a written notice to proceed with the understanding that a supplemental agreement will be executed as soon as possible. The consultant may not exceed the current maximum compensation payable in the original agreement and any existing supplemental agreements until the new supplemental agreement is executed.

  1. 7 Modifications

A contract modification is the process used to document changes to the MOA that do not affect the scope of work or maximum compensation value. A contract modification is documented by a letter to the consultant allowing the changes agreed upon by both parties. Contract modifications are coordinated with the Lead Division Administrator and issued by the CPO.

8 - 4 CHAPTER 9

SMALL

PURCHASE

PROCEDURES

9 - 1CHAPTER 9 - SMALL PURCHASE PROCEDURES

  1. 1 Small Purchase Procedures for Professional Services

Divisions requiring the use of professional services are authorized to procure such services in the following manner if the anticipated contract amount is expected to be $60,000 or less. The Lead Division Administrator will:

  1. Develop a scope of services and proposed schedule for the project.

  2. From a list of firms which have performed similar services over the previous two biennium or which are available to perform a specialty service, select not less than three (3) firms which appear to be most qualified and suitable to render the required services. Consideration should be given to the current amount of existing work with VDOT and to selecting a business to meet VDOT's overall DBE/SWaM goal.

  3. Solicit interest from the selected firms to determine their current personnel's qualifications, experience, workload, capacity, past performance on similar projects, and ability to perform the scope of services and meet the proposed schedule.

Written documentation of the interviews must be made a part of the project file. It shall include the names and addresses of the firms contacted, the description of the required services, the names of the persons requesting and receiving the information, and the date the information was obtained. Professional service procurements of $60,000 or less are not advertised on eVA.

  1. Rank the firms in the order deemed most qualified and include written documentation of the reasons for the ranking in the project file. Past performance on VDOT projects will be considered. Consideration should be given to the number and value of previous VDOT contracts awarded to each firm and the work should be spread around to avoid favoritism or the appearance of favoritism.

  2. Negotiate a fee for the service with the first ranked firm. If negotiations fail to obtain a satisfactory agreement which is advantageous to VDOT and at a fair and reasonable fee, negotiations shall be formally terminated and the second ranked firm shall be selected for negotiation. This procedure shall be continued until a contract can be negotiated at a fair and reasonable fee.

  3. Prepare a MOA using the latest guide agreement approved by the Attorney General's office. The agreement shall be on a lump sum or on a unit cost (hourly rate) basis and the overhead rates, average salary rates and fixed fee shall be within the range normally accepted by VDOT and shall be determined by the Division Administrator to be reasonable. No pre-award audit will be required.

  4. The agreement shall be executed by the Lead Division Administrator designated to execute an agreement of this nature.

9 - 28. A written notice shall be issued identifying the consulting firm to be hired, the type of work to be performed, and the date the contract was or will be awarded. This notice shall be sent to the ASD at “CO ASD Procurement Request” email address in Outlook with a request to post it in a public place for 10 workdays. The notice of award must be posted on the On-Line Bids page of eVA: http://www.eva.state.va.us.

  1. If the anticipated contract amount is expected to be less than $5,000, it is only necessary to solicit interest from one firm.

  2. The remainder of the procurement and contract administration process follows that of a regular contract beginning with Chapter 6.

  3. See the DGS, Division of Engineering & Building’s Construction and Professional Services Manual for additional information.

  4. 2 Small Purchase Procedures for Goods and Services Other Than Professional Services

When consultants make small purchases of goods and services other than professional services that are directly billable to the project and are not expected to exceed $100,000, the consultant should comply with the following procedures:

  1. Purchases made pursuant to these procedures do not require public bid openings or newspaper and eVA advertising.

  2. Small purchase procedures shall provide for competition wherever practicable.

  3. Single Quotation. (Up to $5,000)

Where the estimated cost of goods or nonprofessional services is $5,000 or less, purchases shall be made upon the receipt of one (1) written or telephone (oral) quotation from at least one (1) DSBSD-certified micro business, if available.

Additional sources may also be solicited. A record of the quotation shall be kept to document the name and address of the vendors contacted, the item description or service offered, price quoted, delivery dates and F.O.B. point, names of persons giving and receiving prices and the date the information was obtained. If more than one quote is solicited, the award will be made to the lowest responsive and responsible bidder.

  1. Unsealed Bidding. (Over $5,000 to $100,000)

Solicit written bids or quotes for goods and nonprofessional services from $5,000 to $100,000. Solicit four (4) valid sources, including a minimum of four (4) DSBSD-certified micro businesses, if available, in writing or electronically. A record of the solicitation and responses shall be kept. If fewer than the required

9 - 3 number of sources are solicited, the reasons shall be documented. The award will be made to the lowest responsive and responsible bidder.

  1. Unsealed Proposals (Over $5,000 to $100,000)

Solicit written offers for goods and nonprofessional services from $5,000 to $100,000 using an informal RFP. The solicitation should include a cover sheet, a general description of what is being sought, the factors and weights to be used in evaluation, any general terms and conditions including unique capabilities or qualifications that will be required. Solicit four (4) valid sources, including a minimum of two (2) DSBSD-certified micro businesses, if available, by mail, fax, or electronically. All responses must be received at the designated location by the date and hour stated in the solicitation. In lieu of an evaluation committee, the buyer or end user may solely evaluate and rank offers. Upon completion of the evaluation, negotiations shall be conducted with the offeror selected. A record of the solicitation, the responses, and the evaluations shall be kept. If fewer than the required number of sources are solicited, the reasons shall be documented.

When purchases of goods and services other than professional services are expected to exceed $100,000, it’s not considered a small purchase procurement. Competitive sealed bidding or competitive negotiation shall be used. Solicit from a minimum of six (6) valid sources, including a minimum of four (4) DSBSD-certified micro businesses, if available. Public advertisement is required.

See the DGS, DPS’s Agency Procurement and Surplus Property Manual, Chapter 3 & 5, for additional information.

9 - 4 CHAPTER 10

SOLE

SOURCE/

EMERGENCY

CONTRACTS

10 - 1CHAPTER 10 - SOLE SOURCE AND EMERGENCY CONTRACTS

  1. 1 General

Section 2.2-4303 of the Code of Virginia provides for sole source and emergency contracts. Written determination must be made of the need for a sole source or emergency contract and retained in the file. A written notice must be posted for at least ten (10) working days in a designated public area and on the On-Line Bids page of eVA (http://www.eva.state.va.us) on the day the contract is awarded or the decision to award is made. The notice must include the determination of need and identify that which is being procured, the contractor selected, and the date on which the contract was or will be awarded. This notice shall be posted on the Scheduling and Contract Division’s Bulletin Board on the first floor at 1221 East Broad St., Richmond, VA. In addition, all sole source and emergency contracts shall be posted on the designated bulletin board in the ASD located on the first floor at 1201 East Broad St., Richmond, VA. It will be necessary to furnish a copy of the notice to the ASD for this posting. A copy of the notice may be faxed to the district with a request that it be posted in a public area for at least ten (10) work days. Sole source or emergency procurements are improper if used only for the administrative convenience of VDOT.

  1. 2 Sole Source Contracts

Sole source procurement is authorized when there is only one source practicably available for the goods or services required. Sole source procurements up to $50,000 are approved by the Commissioner. Sole source contracts exceeding $50,000 shall be approved by the DGS/DPS. Submissions for approval shall address the following four points in the order given: explain why this is the only product or service that can meet the needs of the purchasing agency; explain why this vendor is the only practicably available source from which to obtain this service; explain why the price is considered reasonable; and describe the efforts that were made to conduct a non-competitive negotiation to get the best possible price for the taxpayer. When sole source contracts exceed $50,000, forward the request to the Procurement Section of the ASD who will seek the DGS/DPS approval for you. ASD will complete the Sole Source Procurement Approval Request form.

The ASD maintains a central file of all VDOT sole source requests. Ensure that ASD is provided a copy of requests for $10,000 or less.

Upon the division’s receipt of approval to proceed, the public notice will be posted.

Sole source procurements up to $50,000 are not posted to eVA.

The remainder of the procurement process follows that of the small purchase procedure in Chapter 9 except there are no other firms to select for negotiations if negotiations fail with the sole source firm. The contract may be awarded lump sum or cost plus net fee. A Pre-Award Audit Evaluation shall be performed when the contract is greater than $25,000.

10 - 2See the DGS/DPS’s Agency Procurement and Surplus Property Manual, Chapter 8, for additional information.

  1. 3 Emergency Contracts

Divisions requiring the use of professional services for emergency contracts are authorized to procure such services in the following manner. Emergency contracts may be for any amount and are authorized and approved by the appropriate Chief. “Emergency” means a set of unforeseen circumstances beyond the control of VDOT of a serious and urgent nature that either presents a real, immediate threat to the proper performance of essential functions or may result in material loss or damage to property, bodily injury, or loss of life if immediate action is not taken.

The Lead Division Administrator shall

  1. Obtain approval in writing from the appropriate Chief to proceed on an emergency basis. Documented justification which must accompany each emergency request is to include an explanation of the following:

 Explain the nature of the emergency and the relevant circumstances associated therewith.  Describe the threat to the health or safety of individuals, property, or essential state functions if immediate action is not taken. Provide an estimate of the potential material loss or damage.  Explain how the services of the consultant will alleviate or eliminate the emergency.  Describe what the consequences will be if the emergency action is not taken and the risks associated therewith.

  1. Develop a scope of services and proposed schedule for the project.

  2. Select a firm which has performed similar services over the previous two biennium or which is available to perform a specialty service and which appears to be the most qualified to render the required services. The selected firm should have sufficient staff and expertise to rapidly perform the services. The procurement shall be made with such competition as is practicable under the circumstances.

  3. Conduct a telephone or personal interview with a representative of the selected firm to determine their current personnel's qualifications, experience, workload, capacity, and ability to perform the scope of services and meet the proposed schedule. Written documentation of the interview must be made a part of the project file.

  4. Negotiate a fee for the services. If negotiations fail to reach a satisfactory agreement which is advantageous to VDOT and at a fair and reasonable fee, negotiations shall be formally terminated and another firm selected as indicated in Steps 3 and 4. This procedure shall be continued until a contract can be negotiated

10 - 3 at a fair and reasonable fee. Written documentation of the negotiation process must be made a part of the project file.

  1. Prepare a MOA using the latest standard agreement approved by the Attorney General's office. The agreement will usually be on a lump sum basis and the overhead rates, average salary rates and fixed fee shall be within the range normally accepted by VDOT for work performed under emergency conditions and shall be determined by the Lead Division Administrator to be reasonable. Because of the necessity to rapidly proceed with emergency work, Pre-Award Audit Evaluations and Legal Reviews are not required.

  2. The agreement shall be executed by the appropriate Chief. The agreement transmittal letter shall include a description of the contractor’s qualifications, experience and background to provide the emergency service and the basis on which this consultant was selected over other qualified firms. Also include an explanation of how you concluded that the cost is fair and reasonable since competition was not conducted.

  3. For emergency procurements over $50,000, notices of award must be posted on the eVA website and at a minimum state that the procurement has been declared an emergency, what is being procured, the contractor selected, and the date the contract was or will be awarded.

  4. See the DGS/DPS’s Agency Procurement and Surplus Property Manual, Chapter 9, for additional information.

10 - 4 CHAPTER 11

CONSULTANT

ENGINEERING

INSPECTION

11 - 1CHAPTER 11 – CONSULTANT ENGINEERING INSPECTION

This chapter provides additional guidance for the procurement of Consultant Engineering and Inspection services. It is not meant to replace any applicable requirements listed in previous chapters.

  1. 1 General VDOT utilizes Consultant Engineering Inspection (“CEI”) firms to provide inspection services when VDOT cannot provide the program objectives for roadway construction inspection. The need for CEI is generally determined at the District or Residency level by use of construction manpower management techniques, upcoming project data, and existing inspector manpower levels. The Construction Division, as requested through the Districts, will serve as the Lead Division for the procurement of CEI services.

In addition to the standard inspection services contract, the Construction Division also procures Bridge Repair and Coatings Inspection Contracts, Technical Inspection Services Contracts, Schedule and Constructability Contracts and Finals Preparation Contracts. Due to the unique nature of the Finals Preparations Contracts, to avoid any real or perceived conflict of interest, no employee of a Consultant Firm shall be permitted to audit work on any project in which that firm performed any design work.

  1. 2 CEI Services RFP

The RFP for CEI contracts identifies the scope of services, method of compensation, i.e., Fixed Billable Rate or Cost Plus Net Fee, the number of CEI staff requested, and the need for additional engineering services such as shop drawing reviews, schedule analysis, etc. For each classification of staff requested by the RFP, there may be Staff Functions, Features of Work and Knowledge Skills and Abilities Requirements.

The EOI may include up to four Team members who are not currently employed by the firm, under which they are proposed. They each shall have a signed commitment letter attached to their resume, demonstrating their commitment to the firm under which they are proposed. An example commitment letter may be found in the RFP.

Two methods of payment are generally used for CEI contracts: (1) cost plus net fee payment, which is used for payment of project specific inspection contracts and (2) fixed billable rate payment (actual cost basis) for each project assignment which is used for payment of district-wide and/or regional contracts.

The Construction Division has established base hourly rates (caps) for various staff classifications requested by the RFP. These rates can be found in the method of payment section of the RFP.

For short listing purposes, the submitting firm’s experience in the type of service qualifications of the proposed inspection team and the firm’s current workload are evaluated with a numerical scoring system based on criteria contained in the RFP.

Emphasis is placed on the inspection staff’s knowledge, skills and abilities. Prior to scoring, each Selection Committee member is briefed on the use of the RFP’s

11 - 2Evaluation Criteria and provided information on other various items found therein, such as the required materials certifications.

The Construction Division chairs the Selection Committee, with the two remaining members representing the districts. The Selection Committee shall consist of three members; one member represents the central office Lead Division, one is from the district in which the construction inspection services are to be provided, and the remaining member is chosen from central office or another district.

Upon completion of the interview and selection process, the district will often schedule a meeting with the selected firm so that the district and residency personnel can better define the scope of services and identify issues of concern associated with the inspection services. At this meeting, notes should be taken and a copy submitted with the consultant’s fee proposal. This meeting will define construction time frames, staffing requirements, and direct cost items such as numbers of cell phones and computers.

The consultant should also be advised, as general policy, VDOT will not pay per diems for the inspection staff. However, depending on the anticipated inspection needs, two to four weeks of per diem expenses may be included in the fee proposal and noted “for use only when authorized by VDOT.” The consultant should understand that these per diems are for use only in the event that an increase in staff is required for a short duration, or when safety is a concern. A short duration is defined as one to two weeks only. Both the Construction Division and the ACO will review cost associated with direct cost items identified during the scoping meeting. Should an Inspector Coordinator position be required the consultant should be informed that supervision and support of the consultant’s own inspection staff is not considered billable to VDOT.

  1. 3 Direct and Indirect Cost

VDOT will allow the direct labor costs required for the field office operations as well as home or branch office direct labor costs, which are specifically identified and approved.

The job classifications, man-hours, wage rates, etc. will be determined during contract negotiations. As a general rule, the home or branch office direct labor will be limited to only those essential services which can be provided from the home or branch office more effectively and/or economically.

As a general rule, VDOT will provide a field office with the necessary office equipment for its establishment and the operations associated with it. Should VDOT not own or have access to the required equipment items, the decision as to whether the items should be leased or provided in some other manner will be made during the contract negotiations, consistent with VDOT’s normal contracting practices. Payment for mobilization i.e., the consultant cost for implementation or providing and establishing inspection services is not allowable as a direct cost item.

The consultant is responsible for providing office supplies to the field office for their employees such as pencils, paper etc. as well as, those items commonly used when providing construction inspection.

11 - 3The list below provides some direct cost items normally associated with consultant inspection. This list is not all-inclusive, but provides a general description of costs, which might be expected and also indicates VDOT’s policy on the allowance of such costs. It should also be noted, that VDOT has an option to furnish these items.

  1. Survey equipment

  2. Nuclear gauge film badges.

  3. Specialized test and safety equipment are normally not considered “Tools of the Trade”, such as a respirator and paint test equipment on a task specific contract, such as a bridge painting inspection contract, or a nuclear density gauge.

  4. Computer, imaging and communication equipment only when the district requests it.

  5. Inspection vehicles and mileage will be will be reimbursed in accordance with the Department’s current policy.

The following have been identified as indirect cost and therefore cost for these items should be included in the consultant’s overhead expense.

  1. “Tools of the Trade” or normal inspector equipment such as rules, manuals, safety vest and normal safety equipment i.e. steel toed shoes, hard hats, first aid kits, flares, fire extinguishers and flashers.

  2. Storage and security requirements for the consultant firm’s owned and leased equipment.

  3. Field office supplies such as paper, pens, pencils, paper clips, etc.

  4. Supervision and support of the consultant’s own inspection staff.

11 - 4 APPENDIX A

CONSULTANT

AGREEMENT

CHECKLIST

A - 1 CONSULTANT AGREEMENT PROCESS

NEW AGREEMENT

This checklist has been developed to ensure the procurement process is followed consistently for all VDOT professional services contracts. The Procurement Officer shall insert the date of completion in the space provided for all of the activities listed below.

Project:_______

Chapter 1

_ Determination if outside services are needed based on Section 1.1. _ Procurement Officer assigned. _ Determine if other divisions are included. _ Scoping meeting with other divisions (if applicable). _ Develop Comprehensive Scope _ Check to see if the project is on the PoDI/PoCI list. _ Notify FHWA if criteria listed from Section 1.2 applies. _ Prepare PE cost estimate and determine if PE funds are available (Form IID4-C). _ If PE funds not available, review with appropriate Chief. _ Selection Committee appointed. _ Rating criteria established to short list (RFP score sheet). _ Approval of Lead Division Administrator of selection committee, including rating criteria for short list via the CP-1 form _ _ Approval of FHWA to use consultant, if applicable, in accordance with Section 1.4.

Chapter 2

_ Request for Proposal (RFP) prepared. _ CRD review and approve RFP, for Project Specific Contract_ RFP review for quality assurance by an independent reviewer by the Lead Division. _ Final scope reviewed by Lead Division Administrator prior to advertisement. _ RFP posted on Internet. _ eVA Internet notice posted. _ Date public notice to be printed in newspaper. _ Date public notice to be printed in eVA. _ RFP and rating criteria sent to consultants when requested. _ Cutoff date for EOI responses to RFP. __ Consultant EOIs checked out of Falcon.

A - 2__ Perform a responsiveness check on all EOIs to verify all required information per the RFP has been submitted including verification of applicable governmental licensing requirements.

Chapter 3 _ Verify to ensure the Selection Committee members’ training and certification requirements are met. _ Distribute EOI’s and additional documentation in accordance with Section

    1. _ Hold short list meeting _ Short listed firms workload verified. _ Short listed firms performance reports reviewed/ reference checks made. _ Short listed firms debarment status verified. _ Short list with scores of all firms evaluated and rating forms for the short listed firms certified by Procurement Officer and Lead Division Administrator. _ Notice of short listed firms posted to VDOT’s web site. _ Notification of short list to short listed firms in writing. _ Notice to short listed firms to make technical presentations. _ Project Briefing Meeting to give short listed firms the detailed scope of services (if applicable). _ Prepare questions for interviews/technical presentations (if applicable). _ Short listed firms make technical presentations. _ Short listed firms evaluated and final ranking for selection made, along with combined narrative. _ Final Selection to Lead Division Administrator for approval with narratives and certifications for all firms interviewed. _ Final Selection approval from Lead Division Administrator. _ Notice to selected firm in writing and by telephone. _ Written notice sent to consultants not selected. _ Notice of final selection posted to VDOT’s web site with the top ranked firm _ Receipt of FAR audit data, Contractor Cost Certification for indirect cost rates, Insurance Certificate, Workman’s compensation and/or professional liability information as required. ___Receipt of the selected firm’s submittal of the Title VI Evaluation Report Form to CRD (if not currently on file). ___Send the selected firm’s Title VI Evaluation Report Form to CRD or confirmation that the form is currently on file to CRD. ___Receive confirmation of Title VI Evaluation Report on file.

Chapter 4 _ Scope of Services Meeting held with top ranked firm, if applicable _ Items and information provided to the top ranked firm in accordance with Section 4.2. _ Prepare VDOT’s fee estimate in accordance with Section 4.3. _ Request top ranked firm’s fee proposal. _ Fee proposal received. _ Ensure required data and forms are submitted with the fee proposal in accordance with Section 4.4.

A - 3_ Distribute fee proposal to involved divisions for review and comment (if applicable). _ Analyze the fee proposal in accordance by using VDOT’s estimate and resources outlined in Section 4.3 _ Proposal negotiated. _ Revised proposal received and analyzed. _ Revised proposal negotiated, (if applicable). _ Pre-Award Audit letter received. _ Adjustments made to the fee proposal to include audit comments. _ Consult with and submit to FHWA final Scope of Services in accordance with Section 1.4. __ Out-of-state corporation submits registration as professional corporation in Virginia and Certificate of Authority.

Chapter 5

_ Prepare MOA _ Draft MOA reviewed by other involved divisions. _ Draft MOA to consultant for review and comment. _ Draft MOA concurrence received from consultant. _ MOA submitted to ITD for review (if computer equipment and/or software in fee proposal). _ MOAs returned by ITD. _ Adjustments made to the MOA to include comments received from other divisions. _ Send MOA to consultant for concurrence and execution. _ Executed MOA’s returned by consultant (check for authorized signatures and dates on all copies). _ Notify Infrastructure Investment Division or Local Assistance Division by letter of consultant’s final fees and the current total preliminary engineering cost. If secondary, notify District Administrator and Local Assistance. _ Submit CP-2 form, with MOA to Deputy Chief Engineer for signature. _ Distribute executed MOA in accordance with Section 5.6. _ Post Award of contract on VDOT’s web site. _ Expiration of 10 work days appeal of award. _ Send firm any manuals, guidelines, etc., required for the firm to accomplish the work. _ Issue Notice to Proceed in accordance with Section 5.7.

Chapter 6

_ Project/contract information entered into Cardinal. _ Submit invoice template to consultant.

Chapter 7 _ Furnish agreement data file to Asst. Div. Admin. _ District advised regarding review of shop drawings.

A - 4 Note: Some correspondence may be combined into one letter.

Final Scopes of Work and MOA’s are required to be sent to the FHWA only for federally funded NHS oversight projects, federal projects with an estimated total cost of $500,000,000 or more, or when the consultants are to act in a management role for VDOT on federal projects. (Do not send proposals)

Escrow Agreements must be furnished to ACO Division prior to submitting any vouchers to them.

A - 5 CONSULTANT AGREEMENT PROCESS

SUPPLEMENTAL AGREEMENT

This checklist has been developed to ensure the procurement process is followed consistently for all VDOT professional services contracts. The Project Manager shall insert the date of completion in the space provided for all of the activities listed below.

Project:__________

Note: Supplements are approved by the Commissioner.

Chapter 8

_ Letter to Lead Division Administrator for authorization to proceed with a Supplemental Agreement. _ Approval of the FHWA for Supplemental Agreement if criteria listed from Section 1.2 applies. _ Prepare PE cost estimate and determine if PE funds are available. _ If PE funds not available, review with appropriate Chief. _ Invitation to consultant for proposal. _ Meeting with consultant to discuss scope of services. _ Coordinate with ACO Division regarding status of most current FAR Review. _ Proposal received. _ Proposal analyzed by all divisions involved. _ Proposal negotiated. _ Revised proposal received and analyzed. _ Revised proposal negotiated. _ Adjust fee proposal to include audit comments, if appropriate. _ Final Scope of Services to FHWA on federally funded NHS oversight projects, projects with an estimated total cost of $500,000,000 or more, or when the consultants are to act in a management role for VDOT. _ Prepare Supplement to Memorandum of Agreement (“SMOA”) (Supplement to be signed by same person as original Agreement). _ Draft SMOA reviewed by other divisions involved. _ Draft SMOA to consultant for review and comment. _ Draft SMOA concurrence received from consultant. _ 1 SMOA to Legal for review, if appropriate. _ SMOA returned by Legal. _ SMOA to ITD for review (if computer equipment and/or software is involved in fee proposal). _ SMOAs returned by ITD. __ Chapter 8 (continued)

_ Send SMOA to consultant for concurrence and execution. _ Executed SMOA’s returned by consultant. __ Submit CP-2 form, with MOA to Deputy Chief Engineer for signature.

A - 6_ Letter to Infrastructure Investment Division Administrator informing whether or not fee exceeds established preliminary engineering cost. If secondary, use letter to District Engineer instead. If Urban, notify Local Assistance Division Administrator _ Executed SMOAs returned. _ Executed SMOA to consultant with notice to proceed (original). _ Executed SMOA to Project File (copy). _ 1 SMOA to FHWA on federally funded NHS oversight projects, projects with an estimated total cost of $500,000,000 or more, or when the consultants are to act in a management role for VDOT. _ Add supplement date to consultant voucher. __ Supplement entered on Cardinal.

Note: Final Scopes of Work and SMOAs are required to be sent to the FHWA only for federally funded NHS oversight projects, projects with an estimated total cost of $500,000,000 or more, or when the consultants are to act in a management role for VDOT. (Do not send proposals)

A - 7 CONSULTANT AGREEMENT PROCESS

TERM CONTRACT RENEWALS

This checklist has been developed to ensure the process for a renewal of Limited Services Term Contract is followed consistently for all VDOT professional services contracts. The Project Manager shall insert the date of completion in the space provided for all of the activities listed below.

Project: __________

_ Sent Letter/email to Districts requesting feedback on consultant’s suitability to have the contract renewed for another term _ Received reply from the District on whether to renew or not _ Sent letter notifying consultant of recommendation to renew the contract for another term. _ Received response form the consultant _ Prepare CONSUTANT TERM CONTRACT RENEWAL REQUEST FORM (Renewal Form) _ Renewal Form signed by Lead Division Administrator _ Renewal Form Procurement Officer _ Procurement Officer prepares CP-2 form for approval. _ Renewal notification letter sent to consultant with copies sent to pertinent personnel (Engineers in CO and Districts) _ Update the contract amount in Cardinal _ Update information on Division Project list _ Update PSCRS for consultant services

A - 8 APPENDIX B

23 CFR 172

B - 1PART 172—PROCUREMENT, MANAGEMENT, AND ADMINISTRATION OF ENGINEERING AND

DESIGN RELATED SERVICES

§172.1 Purpose and applicability.

This part prescribes the requirements for the procurement, management, and administration of engineering and design related services under 23 U.S.C. 112 and as supplemented by the Uniform Administrative Requirements For Federal Awards rule. The Uniform Administrative Requirements, Cost Principles and Audit Requirements For Federal Awards rule (2 CFR parts 200) shall apply except where inconsistent with the requirements of this part and other laws and regulations applicable to the Federal-aid highway program (FAHP). The requirements herein apply to federally funded contracts for engineering and design related services for projects subject to the provisions of 23 U.S.C. 112(a) (related to construction) and are issued to ensure that a qualified consultant is obtained through an equitable qualifications-based selection procurement process, that prescribed work is properly accomplished in a timely manner, and at fair and reasonable cost. State transportation agencies (STA) (or other recipients) shall ensure that sub recipients comply with the requirements of this part and the Uniform Administrative Requirements, Cost Principles and Audit Requirements For Federal Awards rule. Federally funded contracts for services not defined as engineering and design related, or for services not in furtherance of a highway construction project or activity subject to the provisions of 23 U.S.C. 112(a), are not subject to the requirements of this part and shall be procured and administered under the requirements of the Uniform Administrative Requirements, Cost Principles and Audit Requirements For Federal Awards rule and procedures applicable to such activities.

§172.3 Definitions.

As used in this part

Audit means a formal examination, in accordance with professional standards, of a consultant's accounting systems, incurred cost records, and other cost presentations to test the reasonableness, allowability, and allocability of costs in accordance with the Federal cost principles (as specified in 48 CFR part 31).

Cognizant agency means any governmental agency that has performed an audit in accordance with generally accepted government auditing standards to test compliance with the requirements of the Federal cost principles (as specified in 48 CFR part 31) and issued an audit report of the consultant's indirect cost rate, or any described agency that has conducted a review of an audit report and related workpapers prepared by a certified public accountant and issued a letter of concurrence with the audited indirect cost rate(s). A cognizant agency may be any of the following:

(1) A Federal agency;

(2) A State transportation agency of the State where the consultant's accounting and financial records are located; or

(3) A State transportation agency to which cognizance for the particular indirect cost rate(s) of a consulting firm has been delegated or transferred in writing by the State transportation agency identified in paragraph (2) of this definition.

Competitive negotiation means qualifications-based selection procurement procedures complying with 40 U.S.C. 1101-1104, commonly referred to as the Brooks Act.

Consultant means the individual or firm providing engineering and design related services as a party to a contract with a recipient or sub recipient of Federal assistance (as defined in 2 CFR 200.86 or 2 CFR 200.93, respectively).

B - 2 Contract means a written procurement contract or agreement between a contracting agency and consultant reimbursed under a FAHP grant or subgrant and includes any procurement subcontract under a contract.

Contracting agencies means a State transportation agency or a procuring agency of the State acting in conjunction with and at the direction of the State transportation agency, other recipients, and all subrecipients that are responsible for the procurement, management, and administration of engineering and design related services.

Contract modification means an agreement modifying the terms or conditions of an original or existing contract.

Engineering and design related services means

(1) Program management, construction management, feasibility studies, preliminary engineering, design engineering, surveying, mapping, or architectural related services with respect to a highway construction project subject to 23 U.S.C. 112(a) as defined in 23 U.S.C. 112(b)(2)(A); and

(2) Professional services of an architectural or engineering nature, as defined by State law, which are required to or may logically or justifiably be performed or approved by a person licensed, registered, or certified to provide the services with respect to a highway construction project subject to 23 U.S.C. 112(a) and as defined in 40 U.S.C. 1102(2).

Federal cost principles means the cost principles contained in 48 CFR part 31 of the Federal Acquisition Regulation for determination of allowable costs of commercial, for-profit entities.

Fixed fee means a sum expressed in U.S. dollars established to cover the consultant's profit and other business expenses not allowable or otherwise included as a direct or indirect cost.

Management support role means performing engineering management services or other services acting on the contracting agency's behalf, which are subject to review and oversight by agency officials, such as a program or project administration role typically performed by the contracting agency and necessary to fulfill the duties imposed by title 23 of the United States Code, other Federal and State laws, and applicable regulations.

Noncompetitive means the method of procurement of engineering and design related services when it is not feasible to award the contract using competitive negotiation or small purchase procurement methods.

One-year applicable accounting period means the annual accounting period for which financial statements are regularly prepared by the consultant.

Scope of work means all services, work activities, and actions required of the consultant by the obligations of the contract.

Small purchases means the method of procurement of engineering and design related services where an adequate number of qualified sources are reviewed and the total contract costs do not exceed an established simplified acquisition threshold.

State transportation agency (STA) means that department or agency maintained in conformity with 23 U.S.C. 302 and charged under State law with the responsibility for highway construction (as defined in 23 U.S.C. 101); and that is authorized by the laws of the State to make final decisions in all matters relating to, and to enter into, all contracts and agreements for projects and activities to fulfill the duties imposed by title 23 United States Code, title 23 Code of Federal Regulations, and other applicable Federal laws and regulations.

B - 3 Subconsultant means the individual or firm contracted by a consultant to provide engineering and design related or other types of services that are part of the services which the consultant is under contract to provide to a recipient (as defined in 23 CFR 200.86) or subrecipient (as defined in 2 CFR 200.93) of Federal assistance.

§172.5 Program management and oversight.

(a) STA responsibilities. STAs or other recipients shall develop and sustain organizational capacity and provide the resources necessary for the procurement, management, and administration of engineering and design related consultant services, reimbursed in whole or in part with FAHP funding, as specified in 23 U.S.C. 302(a). Responsibilities shall include the following:

(1) Preparing and maintaining written policies and procedures for the procurement, management, and administration of engineering and design related consultant services in accordance with paragraph (c) of this section;

(2) Establishing a procedure for estimating the level of effort, schedule, and costs of needed consultant services and associated agency staffing and resources for management and oversight in support of project authorization requests submitted to FHWA for approval, as specified in 23 CFR 630.106;

(3) Procuring, managing, and administering engineering and design related consultant services in accordance with applicable Federal and State laws, regulations, and approved policies and procedures, as specified in 23 CFR 1.9(a); and

(4) Administering subawards in accordance with State laws and procedures as specified in 2 CFR part 1201, and the requirements of 23 U.S.C. 106(g)(4), and 2 CFR 200.331. Administering subawards includes providing oversight of the procurement, management, and administration of engineering and design related consultant services by subrecipients to ensure compliance with applicable Federal and State laws and regulations. Nothing in this part shall be taken as relieving the STA (or other recipient) of its responsibility under laws and regulations applicable to the FAHP for the work performed under any consultant agreement or contract entered into by a subrecipient.

(b) Subrecipient responsibilities. Subrecipients shall develop and sustain organizational capacity and provide the resources necessary for the procurement, management, and administration of engineering and design related consultant services, reimbursed in whole or in part with FAHP funding as specified in 23 U.S.C. 106(g)(4)(A). Responsibilities shall include the following:

(1) Adopting written policies and procedures prescribed by the awarding STA or other recipient for the procurement, management, and administration of engineering and design related consultant services in accordance with applicable Federal and State laws and regulations; or when not prescribed, shall include:

(i) Preparing and maintaining its own written policies and procedures in accordance with paragraph (c) of this section; or

(ii) Submitting documentation associated with each procurement and subsequent contract to the awarding STA or other grantee for review to assess compliance with applicable Federal and State laws, regulations, and the requirements of this part;

(2) Procuring, managing, and administering engineering and design related consultant services in accordance with applicable Federal and State laws, regulations, and approved policies and procedures, as specified in 23 CFR 1.9(a).

B - 4 (c) Written policies and procedures. The contracting agency shall prepare and maintain written policies and procedures for the procurement, management, and administration of engineering and design related consultant services. The FHWA shall approve the written policies and procedures, including all revisions to such policies and procedures, of the STA or recipient to assess compliance with applicable requirements. The STA or other recipient shall approve the written policies and procedures, including all revisions to such policies and procedures, of a subrecipient to assess compliance with applicable requirements. These policies and procedures shall address, as appropriate for each method of procurement a contracting agency proposes to use, the following items to ensure compliance with Federal and State laws, regulations, and the requirements of this part:

(1) Preparing a scope of work and evaluation factors for the ranking/selection of a consultant;

(2) Soliciting interests, qualifications, or proposals from prospective consultants;

(3) Preventing, identifying, and mitigating conflicts of interest for employees of both the contracting agency and consultants and promptly disclosing in writing any potential conflict to the STA and FHWA, as specified in 2 CFR 200.112 and 23 CFR 1.33, and the requirements of this part.

(4) Verifying suspension and debarment actions and eligibility of consultants, as specified in 2 CFR part 1200 and 2 CFR part 180;

(5) Evaluating interests, qualifications, or proposals and the ranking/selection of a consultant;

(6) Determining, based upon State procedures and the size and complexity of a project, the need for additional discussions following RFP submission and evaluation;

(7) Preparing an independent agency estimate for use in negotiation with the selected consultant;

(8) Selecting appropriate contract type, payment method, and terms and incorporating required contract provisions, assurances, and certifications in accordance with §172.9;

(9) Negotiating a contract with the selected consultant including instructions for proper disposal of concealed cost proposals of unsuccessful bidders;

(10) Establishing elements of contract costs, accepting indirect cost rate(s) for application to contracts, and assuring consultant compliance with the Federal cost principles in accordance with §172.11;

(11) Ensuring consultant costs billed are allowable in accordance with the Federal cost principles and consistent with the contract terms as well as the acceptability and progress of the consultant's work;

(12) Monitoring the consultant's work and compliance with the terms, conditions, and specifications of the contract;

(13) Preparing a consultant's performance evaluation when services are completed and using such performance data in future evaluation and ranking of consultant to provide similar services;

(14) Closing-out a contract;

(15) Retaining supporting programmatic and contract records, as specified in 2 CFR 200.333 and the requirements of this part;

B - 5 (16) Determining the extent to which the consultant, which is responsible for the professional quality, technical accuracy, and coordination of services, may be reasonably liable for costs resulting from errors and omissions in the work furnished under its contract;

(17) Assessing administrative, contractual, or legal remedies in instances where consultants violate or breach contract terms and conditions, and providing for such sanctions and penalties as may be appropriate; and

(18) Resolving disputes in the procurement, management, and administration of engineering and design related consultant services.

(d) A contracting agency may formally adopt, by statute or within approved written policies and procedures as specified in paragraph (c) of this section, any direct Federal Government or other contracting regulation, standard, or procedure provided its application does not conflict with the provisions of 23 U.S.C. 112, the requirements of this part, and other laws and regulations applicable to the FAHP.

(e) Notwithstanding paragraph (d) of this section, a contracting agency shall have a reasonable period of time, not to exceed 12 months from the effective date of this rule unless an extension is granted for unique or extenuating circumstances, to issue or update current written policies and procedures for review and approval in accordance with paragraph (c) of this section and consistent with the requirements of this part.

§172.7 Procurement methods and procedures.

(a) Procurement methods. The procurement of engineering and design related services funded by FAHP funds and related to a highway construction project subject to the provisions of 23 U.S.C. 112(a) shall be conducted in accordance with one of three methods: Competitive negotiation (qualifications-based selection) procurement, small purchases procurement for small dollar value contracts, and noncompetitive procurement where specific conditions exist allowing solicitation and negotiation to take place with a single consultant.

(1) Competitive negotiation (qualifications-based selection). Except as provided in paragraphs (a)(2) and (3) of this section, contracting agencies shall use the competitive negotiation method for the procurement of engineering and design related services when FAHP funds are involved in the contract, as specified in 23 U.S.C. 112(b)(2)(A). The solicitation, evaluation, ranking, selection, and negotiation shall comply with the qualifications-based selection procurement procedures for architectural and engineering services codified under 40 U.S.C. 1101-1104, commonly referred to as the Brooks Act. In accordance with the requirements of the Brooks Act, the following procedures shall apply to the competitive negotiation procurement method:

(i) Solicitation. The solicitation process shall be by public announcement, public advertisement, or any other public forum or method that assures qualified in-State and out-of-State consultants are given a fair opportunity to be considered for award of the contract. Procurement procedures may involve a single step process with issuance of a request for proposal (RFP) to all interested consultants or a multiphase process with issuance of a request for statements or letters of interest or qualifications (RFQ) whereby responding consultants are ranked based on qualifications and a RFP is then provided to three or more of the most highly qualified consultants. Minimum qualifications of consultants to perform services under general work categories or areas of expertise may also be assessed through a prequalification process whereby annual statements of qualifications and performance data are encouraged. Regardless of any process utilized for prequalification of consultants or for an initial assessment of a consultant's qualifications under a RFQ, a RFP specific to the project, task, or service is required for evaluation of a consultant's specific technical approach and qualifications.

B - 6 (ii) Request for proposal (RFP). The RFP shall provide all information and requirements necessary for interested consultants to provide a response to the RFP and compete for the solicited services. The RFP shall:

(A) Provide a clear, accurate, and detailed description of the scope of work, technical requirements, and qualifications of consultants necessary for the services to be rendered. To the extent practicable, the scope of work should detail the purpose and description of the project, services to be performed, deliverables to be provided, estimated schedule for performance of the work, and applicable standards, specifications, and policies;

(B) Identify the requirements for any discussions that may be conducted with three or more of the most highly qualified consultants following submission and evaluation of proposals;

(C) Identify evaluation factors including their relative weight of importance in accordance with paragraph (a)(1)(iii) of this section;

(D) Specify the contract type and method(s) of payment anticipated to contract for the solicited services in accordance with §172.9;

(E) Identify any special provisions or contract requirements associated with the solicited services;

(F) Require that submission of any requested cost proposals or elements of cost be in a concealed format and separate from technical/qualifications proposals, since these shall not be considered in the evaluation, ranking, and selection phase; and

(G) Provide an estimated schedule for the procurement process and establish a submittal deadline for responses to the RFP that provides sufficient time for interested consultants to receive notice, prepare, and submit a proposal, which except in unusual circumstances shall be not less than 14 calendar days from the date of issuance of the RFP.

(iii) Evaluation factors. (A) Criteria used for evaluation, ranking, and selection of consultants to perform engineering and design related services must assess the demonstrated competence and qualifications for the type of professional services solicited. These qualifications-based factors may include, but are not limited to, technical approach (e.g., project understanding, innovative concepts or alternatives, quality control procedures), work experience, specialized expertise, professional licensure, staff capabilities, workload capacity, and past performance.

(B) Price shall not be used as a factor in the evaluation, ranking, and selection phase. All price or cost related items which include, but are not limited to, cost proposals, direct salaries/wage rates, indirect cost rates, and other direct costs are prohibited from being used as evaluation criteria.

(C) In-State or local preference shall not be used as a factor in the evaluation, ranking, and selection phase. State licensing laws are not preempted by this provision and professional licensure within a jurisdiction may be established as a requirement for the minimum qualifications and competence of a consultant to perform the solicited services.

(D) The following nonqualifications-based evaluation criteria are permitted under the specified conditions and provided the combined total of these criteria do not exceed a nominal value of 10 percent of the total evaluation criteria to maintain the integrity of a qualifications-based selection:

(1) A local presence may be used as a nominal evaluation factor where appropriate. This criteria shall not be based on political or jurisdictional boundaries and may be applied on a project-by-project basis for contracts where a need has been established for a consultant to provide a local presence, a local presence will add value to the quality and efficiency of the project, and application of this criteria leaves an appropriate number of qualified consultants, given the nature and size of the project. If a

B - 7consultant from outside of the locality area indicates as part of a proposal that it will satisfy the criteria in some manner, such as establishing a local project office, that commitment shall be considered to have satisfied the local presence criteria.

(2) The participation of qualified and certified Disadvantaged Business Enterprise (DBE) subconsultants may be used as a nominal evaluation criterion where appropriate in accordance with 49 CFR part 26 and a contracting agency's FHWA-approved DBE program.

(iv) Evaluation, ranking, and selection. (A) The contracting agency shall evaluate consultant proposals based on the criteria established and published within the public solicitation.

(B) Although the contract will be with the consultant, proposal evaluations shall consider the qualifications of the consultant and any subconsultants identified within the proposal with respect to the scope of work and established criteria.

(C) The contracting agency shall specify in the RFP discussion requirements that shall follow submission and evaluation of proposals and based on the size and complexity of the project or as defined in contracting agency written policies and procedures, as specified in §172.5(c). Discussions, as required by the RFP, may be written, by telephone, video conference, or by oral presentation/interview and shall be with at least three of the most highly qualified consultants to clarify the technical approach, qualifications, and capabilities provided in response to the RFP.

(D) From the proposal evaluation and any subsequent discussions which may have been conducted, the contracting agency shall rank, in order of preference, at least three consultants determined most highly qualified to perform the solicited services based on the established and published criteria. In instances where only two qualified consultants respond to the solicitation, the contracting agency may proceed with evaluation and selection if it is determined that the solicitation did not contain conditions or requirements that arbitrarily limited competition. Alternatively, a contracting agency may pursue procurement following the noncompetitive method when competition is determined to be inadequate and it is determined to not be feasible or practical to re-compete under a new solicitation as specified in paragraph (a)(3)(iii)(C) of this section.

(E) Notification must be provided to responding consultants of the final ranking of the three most highly qualified consultants.

(F) The contracting agency shall retain supporting documentation of the solicitation, proposal, evaluation, and selection of the consultant in accordance with this section and the provisions of 2 CFR 200.333.

(v) Negotiation. (A) The process for negotiation of the contract shall comply with the requirements codified in 40 U.S.C. 1104(b) for the order of negotiation.

(B) Independent estimate. Prior to receipt or review of the most highly qualified consultant's cost proposal, the contracting agency shall prepare a detailed independent estimate with an appropriate breakdown of the work or labor hours, types or classifications of labor required, other direct costs, and consultant's fixed fee for the defined scope of work. The independent estimate shall serve as the basis for negotiation.

(C) The contracting agency shall establish elements of contract costs (e.g., indirect cost rates, direct salary or wage rates, fixed fee, and other direct costs) separately in accordance with §172.11. The use of the independent estimate and determination of cost allowance in accordance with §172.11 shall ensure contracts for the consultant services are obtained at a fair and reasonable cost, as specified in 40 U.S.C. 1104(a).

B - 8 (D) If concealed cost proposals were submitted in conjunction with technical/qualifications proposals, the contracting agency may consider only the cost proposal of the consultant with which negotiations are initiated. Due to the confidential nature of this data, as specified in 23 U.S.C. 112(b)(2)(E), concealed cost proposals of unsuccessful consultants may be disposed of in accordance with written policies and procedures established under §172.5(c).

(E) The contracting agency shall retain documentation of negotiation activities and resources used in the analysis of costs to establish elements of the contract in accordance with the provisions of 2 CFR 200.333. This documentation shall include the consultant cost certification and documentation supporting the acceptance of the indirect cost rate to be applied to the contract, as specified in §172.11(c).

(2) Small purchases. The contracting agency may use the State's small purchase procedures that reflect applicable State laws and regulations for the procurement of engineering and design related services provided the total contract costs do not exceed the Federal simplified acquisition threshold (as defined in 48 CFR 2.101). When a lower threshold for use of small purchase procedures is established in State law, regulation, or policy, the lower threshold shall apply to the use of FAHP funds. The following additional requirements shall apply to the small purchase procurement method:

(i) The scope of work, project phases, and contract requirements shall not be broken down into smaller components merely to permit the use of small purchase procedures.

(ii) A minimum of three consultants are required to satisfy the adequate number of qualified sources reviewed. In instances where only two qualified consultants respond to the solicitation, the contracting agency may proceed with evaluation and selection if it is determined that the solicitation did not contain conditions or requirements which arbitrarily limited competition. Alternatively, a contracting agency may pursue procurement following the noncompetitive method when competition is determined to be inadequate and it is determined to not be feasible or practical to re compete under a new solicitation as specified in §172.7(a)(3)(iii)(C).

(iii) Contract costs may be negotiated in accordance with State small purchase procedures; however, the allowability of costs shall be determined in accordance with the Federal cost principles.

(iv) The full amount of any contract modification or amendment that would cause the total contract amount to exceed the established simplified acquisition threshold is ineligible for Federal-aid funding. The FHWA may withdraw all Federal-aid from a contract if it is modified or amended above the applicable established simplified acquisition threshold.

(3) Noncompetitive. The following requirements shall apply to the noncompetitive procurement method:

(i) A contracting agency may use its own noncompetitive procedures that reflect applicable State and local laws and regulations and conform to applicable Federal requirements.

(ii) A contracting agency shall establish a process to determine when noncompetitive procedures will be used and shall submit justification to, and receive approval from FHWA before using this form of contracting.

(iii) A contracting agency may award a contract by noncompetitive procedures under the following limited circumstances:

(A) The service is available only from a single source;

(B) There is an emergency which will not permit the time necessary to conduct competitive negotiations; or

B - 9 (C) After solicitation of a number of sources, competition is determined to be inadequate.

(iv) Contract costs may be negotiated in accordance with contracting agency noncompetitive procedures; however, the allowability of costs shall be determined in accordance with the Federal cost principles.

(b) Additional procurement requirements—(1) Uniform administrative requirements, cost principles and audit requirements for Federal awards. (i) STAs or other recipients and their subrecipients shall comply with procurement requirements established in State and local laws, regulations, policies, and procedures that are not addressed by or are not in conflict with applicable Federal laws and regulations, as specified in 2 CFR part 1201.

(ii) When State and local procurement laws, regulations, policies, or procedures are in conflict with applicable Federal laws and regulations, a contracting agency shall comply with Federal requirements to be eligible for Federal-aid reimbursement of the associated costs of the services incurred following FHWA authorization, as specified in 2 CFR 200.102(c).

(2) Disadvantaged Business Enterprise (DBE) program. (i) A contracting agency shall give consideration to DBE consultants in the procurement of engineering and design related service contracts subject to 23 U.S.C. 112(b)(2) in accordance with 49 CFR part 26. When DBE program participation goals cannot be met through race-neutral measures, additional DBE participation on engineering and design related services contracts may be achieved in accordance with a contracting agency's FHWA approved DBE program through either:

(A) Use of an evaluation criterion in the qualifications-based selection of consultants, as specified in §172.7(a)(1)(iii)(D); or

(B) Establishment of a contract participation goal.

(ii) The use of quotas or exclusive set-asides for DBE consultants is prohibited, as specified in 49

CFR 26.43.

(3) Suspension and debarment. A contracting agency shall verify suspension and debarment actions and eligibility status of consultants and subconsultants prior to entering into an agreement or contract in accordance with 2 CFR part 1200 and 2 CFR part 180.

(4) Conflicts of interest. (i) A contracting agency shall maintain a written code of standards of conduct governing the performance of their employees engaged in the award and administration of engineering and design related services contracts under this part and governing the conduct and roles of consultants in the performance of services under such contracts to prevent, identify, and mitigate conflicts of interest in accordance with 2 CFR 200.112, 23 CFR 1.33 and the provisions of this paragraph (b)(4).

(ii) No employee, officer, or agent of the contracting agency shall participate in selection, or in the award or administration of a contract supported by Federal-aid funds if a conflict of interest, real or apparent, would be involved. Such a conflict arises when there is a financial or other interest in the consultant selected for award by:

(A) The employee, officer, or agent;

(B) Any member of his or her immediate family;

(C) His or her partner; or

(D) An organization that employs or is about to employ any of the above.

B - 10 (iii) The contracting agency's officers, employees, or agents shall neither solicit nor accept gratuities, favors, or anything of monetary value from consultants, potential consultants, or parties to subagreements. A contracting agency may establish dollar thresholds where the financial interest is not substantial or the gift is an unsolicited item of nominal value.

(iv) A contracting agency may provide additional prohibitions relative to real, apparent, or potential conflicts of interest.

(v) To the extent permitted by State or local law or regulations, the standards of conduct required by this paragraph shall provide for penalties, sanctions, or other disciplinary actions for violations of such standards by the contracting agency's officers, employees, or agents, or by consultants or their agents.

(vi) A contracting agency shall promptly disclose in writing any potential conflict of interest to FHWA.

(5) Consultant services in management support roles. (i) When FAHP funds participate in a consultant services contract, the contracting agency shall receive approval from FHWA, or the recipient as appropriate, before utilizing a consultant to act in a management support role for the contracting agency; unless an alternate approval procedure has been approved. Use of consultants in management support roles does not relieve the contracting agency of responsibilities associated with the use of FAHP funds, as specified in 23 U.S.C. 302(a) and 23 U.S.C. 106(g)(4) and should be limited to large projects or circumstances where unusual cost or time constraints exist, unique technical or managerial expertise is required, and/or an increase in contracting agency staff is not a viable option.

(ii) Management support roles may include, but are not limited to, providing oversight of an element of a highway program, function, or service on behalf of the contracting agency or may involve managing or providing oversight of a project, series of projects, or the work of other consultants and contractors on behalf of the contracting agency. Contracting agency written policies and procedures as specified in §172.5(c) may further define allowable management roles and services a consultant may provide, specific approval responsibilities, and associated controls necessary to ensure compliance with Federal requirements.

(iii) Use of consultants or subconsultants in management support roles requires appropriate conflicts of interest standards as specified in paragraph (b)(4) of this section and adequate contracting agency staffing to administer and monitor the management consultant contract, as specified in §172.9(d). A consultant serving in a management support role may be precluded from providing additional services on projects, activities, or contracts under its oversight due to potential conflicts of interest.

(iv) FAHP funds shall not participate in the costs of a consultant serving in a management support role where the consultant was not procured in accordance with Federal and State requirements, as specified in 23 CFR 1.9(a).

(v) Where benefiting more than a single Federal-aid project, allocability of consultant contract costs for services related to a management support role shall be distributed consistent with the cost principles applicable to the contracting agency, as specified in 2 CFR part 200, subpart E—Cost Principles.

§172.9 Contracts and administration.

(a) Contract types. The contracting agency shall use the following types of contracts:

(1) Project-specific. A contract between the contracting agency and consultant for the performance of services and defined scope of work related to a specific project or projects.

(2) Multiphase. A project-specific contract where the solicited services are divided into phases whereby the specific scope of work and associated costs may be negotiated and authorized by phase as the project progresses.

B - 11 (3) On-call or indefinite delivery/indefinite quantity (IDIQ). A contract for the performance of services for a number of projects, under task or work orders issued on an as-needed or on-call basis, for an established contract period. The procurement of services to be performed under on-call or IDIQ contracts shall follow either competitive negotiation or small purchase procurement procedures, as specified in §172.7. The solicitation and contract provisions shall address the following requirements:

(i) Specify a reasonable maximum length of contract period, including the number and period of any allowable contract extensions, which shall not exceed 5 years;

(ii) Specify a maximum total contract dollar amount that may be awarded under a contract;

(iii) Include a statement of work, requirements, specifications, or other description to define the general scope, complexity, and professional nature of the services; and

(iv) If multiple consultants are to be selected and multiple on-call or IDIQ contracts awarded through a single solicitation for specific services:

(A) Identify the number of consultants that may be selected or contracts that may be awarded from the solicitation; and

(B) Specify the procedures the contracting agency will use in competing and awarding task or work orders among the selected, qualified consultants. Task or work orders shall not be competed and awarded among the selected, qualified consultants on the basis of costs under on-call or IDIQ contracts for services procured with competitive negotiation procedures. Under competitive negotiation procurement, each specific task or work order shall be awarded to the selected, qualified consultants:

(1) Through an additional qualifications-based selection procedure, which may include, but does not require, a formal RFP in accordance with §172.5(a)(1)(ii); or

(2) On a regional basis whereby the State is divided into regions and consultants are selected to provide on-call or IDIQ services for an assigned region(s) identified within the solicitation.

(b) Payment methods. (1) The method of payment to the consultant shall be set forth in the original solicitation, contract, and in any contract modification thereto. The methods of payment shall be: Lump sum, cost plus fixed fee, cost per unit of work, or specific rates of compensation. A single contract may contain different payment methods as appropriate for compensation of different elements of work.

(2) The cost plus a percentage of cost and percentage of construction cost methods of payment shall not be used.

(3) The lump sum payment method shall only be used when the contracting agency has established the extent, scope, complexity, character, and duration of the work to be required to a degree that fair and reasonable compensation, including a fixed fee, can be determined at the time of negotiation.

(4) When the method of payment is other than lump sum, the contract shall specify a maximum amount payable which shall not be exceeded unless adjusted by a contract modification.

(5) The specific rates of compensation payment method provides for reimbursement on the basis of direct labor hours at specified fixed hourly rates, including direct labor costs, indirect costs, and fee or profit, plus any other direct expenses or costs, subject to an agreement maximum amount. This payment method shall only be used when it is not possible at the time of procurement to estimate the extent or duration of the work or to estimate costs with any reasonable degree of accuracy. This specific rates of compensation payment method should be limited to contracts or components of contracts for specialized or support type services where the consultant is not in direct control of the number of hours worked, such as construction engineering and inspection. When using this payment method, the contracting agency B - 12shall manage and monitor the consultant's level of effort and classification of employees used to perform the contracted services.

(6) A contracting agency may withhold retainage from payments in accordance with prompt pay requirements, as specified in 49 CFR 26.29. When retainage is used, the terms and conditions of the contract shall clearly define agency requirements, including periodic reduction in retention and the conditions for release of retention.

(c) Contract provisions. (1) All contracts and subcontracts shall include the following provisions, either by reference or by physical incorporation into the language of each contract or subcontract, as applicable:

(i) Administrative, contractual, or legal remedies in instances where consultants violate or breach contract terms and conditions, and provide for such sanctions and penalties as may be appropriate;

(ii) Notice of contracting agency requirements and regulations pertaining to reporting;

(iii) Contracting agency requirements and regulations pertaining to copyrights and rights in data;

(iv) Access by recipient, the subrecipient, FHWA, the U.S. Department of Transportation's Inspector General, the Comptroller General of the United States, or any of their duly authorized representatives to any books, documents, papers, and records of the consultant which are directly pertinent to that specific contract for the purpose of making audit, examination, excerpts, and transcriptions;

(v) Retention of all required records for not less than 3 years after the contracting agency makes final payment and all other pending matters are closed;

(vi) Standard DOT Title VI Assurances (DOT Order 1050.2);

(vii) Disadvantaged Business Enterprise (DBE) assurance, as specified in 49 CFR 26.13(b);

(viii) Prompt pay requirements, as specified in 49 CFR 26.29;

(ix) Determination of allowable costs in accordance with the Federal cost principles;

(x) Contracting agency requirements pertaining to consultant errors and omissions;

(xi) Contracting agency requirements pertaining to conflicts of interest, as specified in 23 CFR 1.33 and the requirements of this part; and

(xii) A provision for termination for cause and termination for convenience by the contracting agency including the manner by which it will be effected and the basis for settlement.

(2) All contracts and subcontracts exceeding $100,000 shall contain, either by reference or by physical incorporation into the language of each contract, a provision for lobbying certification and disclosure, as specified in 49 CFR part 20.

(d) Contract administration and monitoring—(1) Responsible charge. A full-time, public employee of the contracting agency qualified to ensure that the work delivered under contract is complete, accurate, and consistent with the terms, conditions, and specifications of the contract shall be in responsible charge of each contract or project. While an independent consultant may be procured to serve in a program or project management support role, as specified in §172.7(b)(5), or to provide technical assistance in review and acceptance of engineering and design related services performed and products developed by other consultants, the contracting agency shall designate a public employee as being in responsible

B - 13charge. A public employee may serve in responsible charge of multiple projects and contracting agencies may use multiple public employees to fulfill monitoring responsibilities. The term responsible charge is intended to be applied only in the context defined within this regulation. It may or may not correspond to its usage in State laws regulating the licensure and/or conduct of professional engineers. The public employee's responsibilities shall include:

(i) Administering inherently governmental activities including, but not limited to, contract negotiation, contract payment, and evaluation of compliance, performance, and quality of services provided by consultant;

(ii) Being familiar with the contract requirements, scope of services to be performed, and products to be produced by the consultant;

(iii) Being familiar with the qualifications and responsibilities of the consultant's staff and evaluating any requested changes in key personnel;

(iv) Scheduling and attending progress and project review meetings, commensurate with the magnitude, complexity, and type of work, to ensure the work is progressing in accordance with established scope of work and schedule milestones;

(v) Ensuring consultant costs billed are allowable in accordance with the Federal cost principles and consistent with the contract terms as well as the acceptability and progress of the consultant's work;

(vi) Evaluating and participating in decisions for contract modifications; and

(vii) Documenting contract monitoring activities and maintaining supporting contract records, as specified in 2 CFR 200.333.

(2) Performance evaluation. The contracting agency shall prepare an evaluation summarizing the consultant's performance on a contract. The performance evaluation should include, but not be limited to, an assessment of the timely completion of work, adherence to contract scope and budget, and quality of the work conducted. The contracting agency shall provide the consultant a copy of the performance evaluation and an opportunity to provide written comments to be attached to the evaluation. The contracting agency should prepare additional interim performance evaluations based on the scope, complexity, and size of the contract as a means to provide feedback, foster communication, and achieve desired changes or improvements. Completed performance evaluations should be archived for consideration as an element of past performance in the future evaluation of the consultant to provide similar services.

(e) Contract modification. (1) Contract modifications are required for any amendments to the terms of the existing contract that change the cost of the contract; significantly change the character, scope, complexity, or duration of the work; or significantly change the conditions under which the work is required to be performed.

(2) A contract modification shall clearly define and document the changes made to the contract, establish the method of payment for any adjustments in contract costs, and be in compliance with the terms and conditions of the contract and original procurement.

(3) A contracting agency shall negotiate contract modifications following the same procedures as the negotiation of the original contract.

(4) A contracting agency may add to a contract only the type of services and work included within the scope of services of the original solicitation from which a qualifications-based selection was made.

B - 14 (5) For any additional engineering and design related services outside of the scope of work established in the original request for proposal, a contracting agency shall:

(i) Procure the services under a new solicitation;

(ii) Perform the work itself using contracting agency staff; or

(iii) Use a different, existing contract under which the services would be within the scope of work.

(6) Overruns in the costs of the work shall not automatically warrant an increase in the fixed fee portion of a cost plus fixed fee reimbursed contract. Permitted changes to the scope of work or duration may warrant consideration for adjustment of the fixed fee portion of cost plus fixed fee or lump sum reimbursed contracts.

§172.11 Allowable costs and oversight.

(a) Allowable costs. (1) Costs or prices based on estimated costs for contracts shall be eligible for Federal-aid reimbursement only to the extent that costs incurred or cost estimates included in negotiated prices are allowable in accordance with the Federal cost principles.

(2) Consultants shall be responsible for accounting for costs appropriately and for maintaining records, including supporting documentation, adequate to demonstrate that costs claimed have been incurred, are allocable to the contract, and comply with Federal cost principles.

(b) Elements of contract costs. The following requirements shall apply to the establishment of the specified elements of contract costs:

(1) Indirect cost rates. (i) Indirect cost rates shall be updated on an annual basis in accordance with the consultant's annual accounting period and in compliance with the Federal cost principles.

(ii) Contracting agencies shall accept a consultant's or subconsultant's indirect cost rate(s) established for a 1-year applicable accounting period by a cognizant agency that has:

(A) Performed an audit in accordance with generally accepted government auditing standards to test compliance with the requirements of the Federal cost principles and issued an audit report of the consultant's indirect cost rate(s); or

(B) Conducted a review of an audit report and related workpapers prepared by a certified public accountant and issued a letter of concurrence with the related audited indirect cost rate(s).

(iii) When the indirect cost rate has not been established by a cognizant agency in accordance with paragraph (b)(1)(ii) of this section, a STA or other recipient shall perform an evaluation of a consultant's or subconsultant's indirect cost rate prior to acceptance and application of the rate to contracts administered by the recipient or its subrecipients. The evaluation performed by STAs or other recipients to establish or accept an indirect cost rate shall provide assurance of compliance with the Federal cost principles and may consist of one or more of the following:

(A) Performing an audit in accordance with generally accepted government auditing standards and issuing an audit report;

(B) Reviewing and accepting an audit report and related workpapers prepared by a certified public accountant or another STA;

B - 15 (C) Establishing a provisional indirect cost rate for the specific contract and adjusting contract costs based upon an audited final rate at the completion of the contract; or

(D) Conducting other evaluations in accordance with a risk-based oversight process as specified in paragraph (c)(2) of this section and within the agency's approved written policies and procedures, as specified in §172.5(c).

(iv) A lower indirect cost rate may be accepted for use on a contract if submitted voluntarily by a consultant; however, the consultant's offer of a lower indirect cost rate shall not be a condition or qualification to be considered for the work or contract award.

(v) Once accepted in accordance with paragraphs (b)(1)(ii) through (iv) of this section, contracting agencies shall apply such indirect cost rate for the purposes of contract estimation, negotiation, administration, reporting, and contract payment and the indirect cost rate shall not be limited by administrative or de facto ceilings of any kind.

(vi) A consultant's accepted indirect cost rate for its 1-year applicable accounting period shall be applied to contracts; however, once an indirect cost rate is established for a contract, it may be extended beyond the 1-year applicable period, through the duration of the specific contract, provided all concerned parties agree. Agreement to the extension of the 1-year applicable period shall not be a condition or qualification to be considered for the work or contract award.

(vii) Disputed rates. If an indirect cost rate established by a cognizant agency in paragraph (b)(1)(ii) of this section is in dispute, the contracting agency does not have to accept the rate. A contracting agency may perform its own audit or other evaluation of the consultant's indirect cost rate for application to the specific contract, until or unless the dispute is resolved. A contracting agency may alternatively negotiate a provisional indirect cost rate for the specific contract and adjust contract costs based upon an audited final rate. Only the consultant and the parties involved in performing the indirect cost audit may dispute the established indirect cost rate. If an error is discovered in the established indirect cost rate, the rate may be disputed by any prospective contracting agency.

(2) Direct salary or wage rates. (i) Compensation for each employee or classification of employee must be reasonable for the work performed in accordance with the Federal cost principles.

(ii) To provide for fair and reasonable compensation, considering the classification, experience, and responsibility of employees necessary to provide the desired engineering and design related services, contracting agencies may establish consultant direct salary or wage rate limitations or “benchmarks” based upon an objective assessment of the reasonableness of proposed rates performed in accordance with the reasonableness provisions of the Federal cost principles.

(iii) When an assessment of reasonableness in accordance with the Federal cost principles has not been performed, contracting agencies shall use and apply the consultant's actual direct salary or wage rates for estimation, negotiation, administration, and payment of contracts and contract modifications.

(3) Fixed fee. (i) The determination of the amount of fixed fee shall consider the scope, complexity, contract duration, degree of risk borne by the consultant, amount of subcontracting, and professional nature of the services as well as the size and type of contract.

(ii) The establishment of fixed fee shall be contract or task order specific.

(iii) Fixed fees in excess of 15 percent of the total direct labor and indirect costs of the contract may be justified only when exceptional circumstances exist.

(4) Other direct costs. A contracting agency shall use the Federal cost principles in determining the reasonableness, allowability, and allocability of other direct contract costs.

B - 16 (c) Oversight—(1) Agency controls. Contracting agencies shall provide reasonable assurance that consultant costs on contracts reimbursed in whole or in part with FAHP funding are allowable in accordance with the Federal cost principles and consistent with the contract terms considering the contract type and payment method. Contracting agency written policies, procedures, contract documents, and other controls, as specified in §§172.5(c) and 172.9 shall address the establishment, acceptance, and administration of contract costs to assure compliance with the Federal cost principles and requirements of this section.

(2) Risk-based analysis. The STAs or other recipient may employ a risk-based oversight process to provide reasonable assurance of consultant compliance with Federal cost principles on FAHP funded contracts administered by the recipient or its subrecipients. If employed, this risk-based oversight process shall be incorporated into STA or other recipient written policies and procedures, as specified in §172.5(c). In addition to ensuring allowability of direct contract costs, the risk-based oversight process shall address the evaluation and acceptance of consultant and subconsultant indirect cost rates for application to contracts. A risk-based oversight process shall consist of the following:

(i) Risk assessments. Conducting and documenting an annual assessment of risks of noncompliance with the Federal cost principles per consultant doing business with the agency, considering the following factors:

(A) Consultant's contract volume within the State;

(B) Number of States in which the consultant operates;

(C) Experience of consultant with FAHP contracts;

(D) History and professional reputation of consultant;

(E) Audit history of consultant;

(F) Type and complexity of consultant accounting system;

(G) Size (number of employees or annual revenues) of consultant;

(H) Relevant experience of certified public accountant performing audit of consultant;

(I) Assessment of consultant's internal controls;

(J) Changes in consultant organizational structure; and

(K) Other factors as appropriate.

(ii) Risk mitigation and evaluation procedures. Allocating resources, as considered necessary based on the results of the annual risk assessment, to provide reasonable assurance of compliance with the Federal cost principles through application of the following types of risk mitigation and evaluation procedures appropriate to the consultant and circumstances:

(A) Audits performed in accordance with generally accepted government audit standards to test compliance with the requirements of the Federal cost principles;

(B) Certified public accountant or other STA workpaper reviews;

(C) Other analytical procedures;

B - 17 (D) Consultant cost certifications in accordance with paragraph (c)(3) of this section; and

(E) Consultant and certified public accountant training on the Federal cost principles.

(iii) Documentation. Maintaining supporting documentation of the risk-based analysis procedures performed to support the allowability and acceptance of consultant costs on FAHP funded contracts.

(3) Consultant cost certification. (i) Indirect cost rate proposals for the consultant's 1-year applicable accounting period shall not be accepted and no agreement shall be made by a contracting agency to establish final indirect cost rates, unless the costs have been certified by an official of the consultant as being allowable in accordance with the Federal cost principles. The certification requirement shall apply to all indirect cost rate proposals submitted by consultants and subconsultants for acceptance by a STA or other recipient. Each consultant or subconsultant is responsible for certification of its own indirect cost rate and may not certify the rate of another firm.

(ii) The certifying official shall be an individual executive or financial officer of the consultant's organization at a level no lower than a Vice President or Chief Financial Officer, or equivalent, who has the authority to represent the financial information utilized to establish the indirect cost rate proposal submitted for acceptance.

(iii) The certification of final indirect costs shall read as follows

Certificate of Final Indirect Costs

This is to certify that I have reviewed this proposal to establish final indirect cost rates and to the best of my knowledge and belief:

  1. All costs included in this proposal (identify proposal and date) to establish final indirect cost rates for (identify period covered by rate) are allowable in accordance with the cost principles of the Federal Acquisition Regulation (FAR) of title 48, Code of Federal Regulations (CFR), part 31; and

  2. This proposal does not include any costs which are expressly unallowable under applicable cost principles of the FAR of 48 CFR part 31.

Firm: Signature: Name of Certifying Official: Title: Date of Execution

(4) Sanctions and penalties. Contracting agency written policies, procedures, and contract documents, as specified in §§172.5(c) and 172.9(c), shall address the range of administrative, contractual, or legal remedies that may be assessed in accordance with Federal and State laws and regulations where consultants violate or breach contract terms and conditions. Where consultants knowingly charge unallowable costs to a FAHP funded contract:

(i) Contracting agencies shall pursue administrative, contractual, or legal remedies and provide for such sanctions and penalties as may be appropriate; and

(ii) Consultants are subject to suspension and debarment actions as specified in 2 CFR part 1200 and 2 CFR part 180, potential cause of action under the False Claims Act as specified in 32 U.S.C. 3729-3733, and prosecution for making a false statement as specified in 18 U.S.C. 1020.

(d) Prenotification; confidentiality of data. FHWA, recipients, and subrecipients of FAHP funds may share audit information in complying with the recipient's or subrecipient's acceptance of a consultant's indirect cost rates pursuant to 23 U.S.C. 112 and this part provided that the consultant is given notice of B - 18each use and transfer. Audit information shall not be provided to other consultants or any other government agency not sharing the cost data, or to any firm or government agency for purposes other than complying with the recipient's or subrecipient's acceptance of a consultant's indirect cost rates pursuant to 23 U.S.C. 112 and this part without the written permission of the affected consultants. If prohibited by law, such cost and rate data shall not be disclosed under any circumstance; however, should a release be required by law or court order, such release shall make note of the confidential nature of the data.

B - 19 APPENDIX C SWaM/DBE

POLICY

C - 1 DBE/SWaM PROCEDURES FOR CONSULTANT PROCUREMENT

RFP Requirements Matrix

Preliminary Engineering Funding STATE FUNDED PE FEDERAL FUNDED PE Source Procurement Procedure Same on all state funded projects. Start as race neutral and switch to race conscious if goal not being met. Each division will track DBE utilization separately and make own decision as to whether to use race neutral or race conscious goals. The number of contracts to be advertised may be considered when deciding which method to use.

DBE/SWaM Goal Coordinate SWaM goal CRD. Coordinate participation with CRD Good Faith Efforts Not applicable. Reviewed if/when DBE goal not met Encourage Use of DBE/SWaMs RFP wording encourages use of RFP wording encourages use of DBEs SWaMs on state contracts and DBEs on federal contracts. on federal contracts.

Consultant Performance Reports Consultants failing to utilize DBE/SWaM subconsultants for the amount of work established in the fee proposal, shall receive a low score in Management Rating.

Low scores in this area shall be considered on future consultant selections.

Consultant Data included in EOI. (A Data will be collected on a Firm Data Sheet on all firms, both primes and subs, count of all firms participating or submitting EOIs. Firm name, location, DBE/SWaM status, age, and annual gross attempting to participate on contracts) receipts will be included in the Firm Data Sheet. A copy of the sheets from all advertisements will be sent to the Chairperson, Consultant Coordinating Committee.

Additional DBE/SWaM Data  Names and addresses of /SWaM  Names and addresses of DBE firms Required to be in EOI. Requested in firms that will participate in the that will participate in the contract.

RFP. contract.  Description of the work that each  Description of the work that each DBE will perform.

SWaM will perform.  Percentage amount of the  Percentage amount of the participation of each DBE firm. participation of each SWaM firm.  Written documentation of the prime’s  Written documentation of the prime’s commitment to use DBEs. commitment to use SWaMs.  Written confirmation from the DBE  Written confirmation from the SWaM that it is participating. that it is participating.  If the contract goal is not met,  Firm’s age and annual gross receipts. evidence of good faith effort.  Firm’s age and annual gross receipts.

C - 2September 25, 2015

ATTACHMENT C

VIRGINIA DEPARTMENT OF TRANSPORTATION

SPECIAL PROVISION FOR CONSULTANT PROJECTS Use of Disadvantaged Business Enterprises (DBEs) for Project Specific Consultant Projects

A.

Disadvantaged Business Enterprise (DBE) Program Requirements Any Consultant, subconsultant, DBE firm, and contract surety involved in the performance of work on a federal-aid contract shall comply with the terms and conditions of the United States Department of Transportation (USDOT) DBE Program as the terms appear in Part 26 of the Code of Federal Regulations (49 CFR as amended), the USDOT DBE Program regulations, and the Virginia Department of Transportation’s (VDOT or the Department) DBE Program rules and regulations in accordance with this Special Provision.

For the purposes of this provision, Consultant is defined as any individual, partnership, corporation, or Joint Venture that formally submits a Statement of Qualification or Proposal for the work contemplated there under; Consultant is defined as any individual, partnership, or Joint Venture that contracts with the Department to perform the Work; and subconsultant is defined as any supplier, manufacturer, or subconsultant performing work or furnishing material, supplies or services to the contract. The Consultant shall physically include this same contract provision in every supply or work/service subcontract that it makes or executes with a subconsultant having work for which it intends to claim credit.

In accordance with 49 CFR Part 26 and VDOT’s DBE Program requirements as outlined in this Special Provision, the Consultant, for itself and for its subconsultants and suppliers, whether certified DBE firms or not, shall commit to complying fully with the auditing, record keeping, confidentiality, cooperation, and anti-intimidation or retaliation provisions contained in those federal DBE Program and State legal requirements. By submitting a Proposal on this contract, and by accepting and executing this contract, the Consultant agrees to assume these contractual obligations and to bind the Consultant’s subconsultants contractually to the same at the Consultant’s expense.

The Consultant and each subconsultant shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Consultant shall carry out applicable requirements of 49 CFR Part 26 in the award, administration, and performance of this contract.

Failure by the Consultant to carry out these requirements is a material breach of this contract, which will result in the termination of this contract or other such remedy, as VDOT deems appropriate.

All administrative remedies noted in this provision are automatic unless the Consultant exercises the right of appeal within the required timeframe(s) specified herein. Appeal requirements, processes, and procedures shall be in accordance with guidelines stated in F of this provision and current at the time of the proceedings. Where applicable, the Department will notify the Consultant of any changes to the appeal requirements, processes, and procedures after receiving notification of the Consultant’s desire to appeal.

All time frames referenced in this provision are expressed in business days unless otherwise indicated. Should the expiration of any deadline fall on a weekend or holiday, such deadline will automatically be extended to the next normal business day.

B. DBE Certification

C - 3 The only DBE firms eligible to perform work on a federal-aid contract for DBE contract goal credit are firms certified as Disadvantaged Business Enterprises by the Virginia Department of Small Business and Supplier Diversity (SBSD) or the Metropolitan Washington Airports Authority (MWAA) in accordance with federal and VDOT guidelines. DBE firms must be certified in the specific work listed for DBE contract goal credit. A directory listing of certified DBE firms can be obtained from the Virginia Department of Small Business and Supplier Diversity’s website: http://www.sbsd.virginia.gov.

C. DBE Program-Related Certifications Made by Offerors/Consultants By submitting a Proposal and by entering into any contract on the basis of that Proposal, the Offeror/Consultant certifies to each of the following DBE Program-related conditions and assurances: 1.

That the Offeror/Consultant agrees to comply with the project construction and administration obligations of the USDOT DBE Program, 49 CFR Part 26 as amended, and the Standard Specifications setting forth the Department’s DBE Program requirements.

Consultant shall comply fully with the DBE Program requirements in the execution and performance of the contract. Consultant acknowledges that failure to fulfill the DBE subcontracting commitments made may result in sanctions being invoked for noncompliance.

To ensure that DBE firms have been given full and fair opportunity to participate in the performance of the contract. The Consultant certifies that all reasonable steps were, and will be, taken to ensure that DBE firms had, and will have, an opportunity to compete for and perform work on the contract. The Consultant further certifies that the Consultant shall not discriminate on the basis of race, color, age, national origin, or sex in the performance of the contract or in the award of any subcontract. Any agreement between a Consultant and a DBE whereby the DBE promises not to provide quotations for performance of work to other Consultants are prohibited.

Consultant shall make good faith efforts to obtain DBE participation in the proposed contract at or above the goal. The Offeror shall submit a written statement as a part of its Statement of Qualifications and/or Proposal indicating the Offeror’s commitment to achieve the minimum requirement related to DBE goal indicated in Request for Qualification (RFQ) and/or Request for Proposal (RFP) for the entire value of the contract. The Offeror, by signing and submitting its Proposal, certifies the DBE participation information that will be submitted within the required time thereafter is true, correct, and complete, and that the information to be provided includes the names of all DBE firms that will participate in the contract, the specific work that each listed DBE firm will perform, and the creditable dollar amounts of the participation of each listed DBE.

Offeror further certifies, by signing its Proposal, it has committed to use each DBE firm listed for the work specified to meet the contract goal for DBE participation. Award of the contract will be conditioned upon meeting these and other listed requirements of 49 CFR Part 26.53 and the contract documents. By signing the Proposal, the Offeror certifies that good faith efforts will be made on work that it proposes to sublet; and that it will seek out and consider DBE firms as potential subconsultants. The Consultant shall, as a continuing obligation, contact DBE firms to solicit their interest, capability, and prices in sufficient time to allow them to respond effectively, and shall retain on file proper documentation to substantiate its good faith efforts.

Once awarded the contract, the Consultant shall make good faith efforts to utilize DBE firms to perform work designated to be performed by DBE firms at or above the amount or percentage of the dollar value specified in the proposal documents. Further the Consultant understands it shall not unilaterally terminate, substitute for, or replace any DBE firm that was designated in the executed contract in whole or in part with another DBE, any non-DBE firm, or with the Consultant’s own forces or those of an affiliate of the Consultant without the prior written consent of Department as set out within the requirements of this Special Provision.

C - 4

Once awarded the contract, the Consultant shall designate and make known to the Department a liaison officer who is assigned the responsibility of administering and promoting an active and inclusive DBE program as required by 49 CFR Part 26 for DBE firms. The designation and identity of this officer needs to be submitted only once by the Consultant during any 12 month period.

Once awarded the contract, the Consultant shall comply fully with all regulatory and contractual requirements of the USDOT DBE Program, and that each DBE firm participating in the contract shall fully perform the designated work with the DBE firm’s own forces and equipment under the DBE firm’s direct supervision, control, and management. Where a contract exists and where the Consultant, DBE firm, or any other firm retained by the Consultant has failed to comply with federal or Department DBE Program requirements, the Department has the authority and discretion to determine the extent to which the DBE contract regulations have not been met, and will assess against the Consultant any remedies available at law or provided in the contract.

In the event a bond surety assumes the completion of work, if for any reason VDOT has terminated the Consultant, the surety shall be obligated to meet the same DBE contract terms and requirements as were required of the original Consultant in accordance with the requirements of this specification.

D. DBE Program Compliance Procedures The following procedures shall apply to the contract for DBE Program compliance purposes: 1. DBE Goal, Good Faith Efforts Specified: At the time of the submittal of the Expression of Interest, the Offeror will include form C-48 PSC. This form represents the Consultants solicitation of subconsultants to be used for the contract to meet the DBE goal.

If, at the time of submitting the Expression of Interest, the offeror knowingly cannot meet or demonstrate good faith efforts in meeting the required DBE contract goal, form C-49 PSC shall be submitted.

Upon completion of negotiation, Form C-111 shall be submitted electronically or may be faxed to the Department, but in no case shall the offeror’s Form C-111 be received later than two business days after the negotiated contract value has been determined. A revised Form C-48 must be received within ten (10) business days after the negotiated contract value has been determined.

If, at the time of submitting its offer, the offeror knowingly cannot meet or exceed the required DBE contract goal, it shall submit Form C-111 PSC exhibiting the DBE participation it commits to attain. The offeror shall then submit Form C-49, DBE Good Faith Efforts Documentation, within two (2) business days after the negotiated contract value.

The top-ranked offeror must submit its properly executed Form C-112, Certification of Binding Agreement, with the C-111 two business days after the negotiated contract value has been determined. DBE offerors responding as prime contractors are not required to submit Form C-112 unless they are utilizing other DBE firms as subconsultants.

If, after review of the selected Offeror, the Department determines the DBE requirements have not been met, the selected Offeror must submit Form C-49, DBE Good Faith Efforts Documentation, which must be received by the Department within two (2) business days after official notification of such failure to meet the aforementioned DBE requirements.

Forms C-48, C-49, C-111, and C-112 can be obtained from the VDOT website at: http://vdotforms.vdot.virginia.gov/ C - 5 If the most highly qualified (top-ranked) firm does not meet the goal or demonstrate a good faith effort, the Department may terminate negotiations and initiate negotiations with the number two-ranked firm.

  1. Good Faith Efforts Described: Department will determine if Consultant demonstrated adequate good faith efforts, and if given all relevant circumstances, those efforts were made actively and aggressively to meet the DBE requirements. Efforts to obtain DBE participation are not good faith efforts if they could not reasonably be expected to produce a level of DBE firm participation sufficient to meet the DBE Program requirements and DBE Goal.

Good faith efforts may be determined through use of the following list of the types of actions the Consultant may make to obtain DBE participation. This is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts of similar intent may be relevant in appropriate cases: (a) Soliciting through reasonable and available means, such as but not limited to, at pre-proposal meetings, advertising, and written notices to DBE firms who have the capability to perform the work of the contract. Examples include: advertising in at least one daily/weekly/monthly newspaper of general circulation, as applicable; phone contact with a completely documented telephone log, including the date and time called, contact person, or voice mail status; and internet contacts with supporting documentation, including dates advertised. DBE firms shall have no less than five (5) business days to reasonably respond to the solicitation. Consultant shall determine with certainty if the DBE firms are interested by taking reasonable steps to follow up initial solicitations as evidenced by documenting such efforts as requested on Form C-49, DBE Good Faith Efforts Documentation. (b) Selecting portions of the work to be performed by DBE firms in order to increase the likelihood that the DBE Goal will be achieved. This includes, where appropriate, breaking out work items into economically feasible units to facilitate DBE firm participation, even when the Consultant might otherwise prefer to completely perform all portions of this work in its entirety or use its own forces; (c) Providing interested DBE firms with adequate information about the scope and requirements of the contract in a timely manner, which will assist the DBE firms in responding to a solicitation; (d) Negotiating for participation in good faith with interested DBE firms;

  1. Evidence of such negotiation shall include the names, addresses, and telephone numbers of DBE firms that were considered; dates DBE firms were contacted; a description of the information provided regarding the scope and requirements of the contract for the work selected for subconsultanting; and, if insufficient DBE participation seems likely, evidence as to why additional agreements could not be reached for DBE firms to perform the work;
  2. Consultant should, using good business judgment, consider a number of factors in negotiating with subconsultants, and should take a DBE firm’s price, qualifications, and capabilities, as well as contract goals, into consideration. However, the fact that there may be some additional costs involved in finding and using DBE firms is not sufficient reason for a Consultant’s failure to meet the DBE goal as long as such costs are reasonable and comparable to costs customarily appropriate to the type of work under consideration. Also, the ability or desire of a Consultant to perform the work with its own organization does not relieve the Consultant of the responsibility to make diligent good faith efforts. Consultants are not, however, required to accept higher quotes from DBE firms if the price difference can be shown by the Consultant to be excessive, unreasonable, or greater than would normally be expected by industry standards;

C - 6 (e) A Consultant cannot reject a DBE firm as being unqualified without sound reasons based on a thorough investigation of the DBE firm’s capabilities. The DBE firm’s standing within its industry, membership in specific groups, organizations, associations, and political or social affiliations, are not legitimate causes for the rejection or non-solicitation of bids in the Consultant’s efforts to meet the contract goal for DBE participation; (f) Making efforts to assist interested DBE firms in obtaining or related assistance or services subject to the restrictions contained in this Special Provision; (g) Effectively using the services of appropriate personnel from VDOT and from SBSD; available minority/women community or minority organizations; contractors’ groups; local, state, and Federal minority/ women business assistance offices; and other organizations as allowed on a case-by-case basis to provide assistance in the recruitment and utilization of qualified DBEs.

E. Documentation and Administrative Reconsideration of Good Faith Efforts During Proposal Submission:

In the Expression of Interest, the Offeror is expected to identify those firms whose participation in the contract will achieve the DBE contract goal requirements.

During Negotiation: If the Department changes the scope of services in such a fashion as to affect the ability of the firm to meet the DBE contract goal requirements, the Civil Rights Division will re-consider the goal and inform the Offeror of the revised goal.

If a DBE, through no fault of the Consultant, is unable or unwilling to fulfill his agreement with the Consultant, the Consultant shall immediately notify the Department and provide all relevant facts.

In order to award a contract to a Offeror that has failed to meet DBE contract goal requirements, the Department will determine if the Offeror’s efforts were adequate good faith efforts, and if given all relevant circumstances, those efforts were made actively and aggressively to meet the DBE requirements. Efforts to obtain DBE participation are not good faith efforts if they could not reasonably be expected to produce a level of DBE participation sufficient to meet the DBE Program and contract goal requirements.

As described in the Contract Goal, Good Faith Efforts Specified section of this Special Provision, if the Offeror knowingly cannot meet or exceed the required DBE contract goal, the Offeror must submit Form C-49, DBE Good Faith Efforts Documentation. The Offeror shall attach additional pages to the certification, if necessary, in order to fully detail specific good faith efforts made to obtain the DBE firm’s participation in the proposed work.

If it is determined that the aforementioned documentation is insufficient or the failure to meet required participation is due to other reasons, the Consultant may request an appearance before the Department’s Administrative Reconsideration Panel to establish that all feasible means were used to meet such participation requirements. The Administrative Reconsideration Panel will be made up of Department Division Administrators or their designees, none of whom took part in the initial determination that the Consultant failed to make the DBE goal or make adequate good faith efforts to do so. After reconsideration, Department shall notify the Consultant in writing of its decision and explain the basis for finding that the Consultant did or did not meet the DBE goal or make adequate good faith efforts to do so. The decision of the Administrative Reconsideration Panel shall be administratively final.

During the Contract: If a DBE, through no fault of the Consultant, is unable or unwilling to fulfill his agreement with the Consultant, the Consultant shall immediately notify the Department and provide all relevant facts. If a Consultant relieves a DBE subconsultant of the responsibility to perform work C - 7 under their subcontract, the Consultant is encouraged to take the appropriate steps to obtain another DBE firm to perform the remaining subcontracted work for the amount that would have been paid to the original DBE firm. In such instances, Consultant is expected to seek DBE participation towards meeting the goal during the performance of the contract.

Before the Consultant transmits to the Department its request to terminate and/or substitute a DBE subconsultant, the prime consultant must give notice in writing to the DBE subconsultant, with a copy to the Department, of its intent to request to terminate and/or substitute, and the reason for the request.

The prime consultant must give the DBE firm five days to respond to the prime consultant’s notice.

The DBE firm may respond to the Department and the prime consultant the reasons, if any, why it objects to the proposed termination of its subcontract and why the Department should not approve the prime consultant’s action.

If at any point during the execution and performance of the contract it becomes evident that the remaining dollar value of allowable DBE goal credit for performing the subcontracted work is insufficient to obtain the DBE contract goal, and the Consultant has not taken the preceding actions, the Consultant and any aforementioned affiliates may be subject to disallowance of DBE credit until such time as sufficient progress toward achievement of the DBE goal is achieved or evidenced.

Project Completion: If, at final completion, the Consultant fails to meet the DBE goal, and fails to adequately document that it made good faith efforts to achieve sufficient DBE goal, then Consultant and any prime contractual affiliates, as in the case of a joint venture, may be subject to sanctions being invoked for noncompliance.

Prior to such sanctions being invoked, the Consultant may submit documentation to the Department’s designee to substantiate that failure was due solely to the elimination of the scope of work subcontracted to DBEs, or to circumstances beyond the Consultant’s control and that all feasible means had been used to achieve the DBE goal. The Department’s designee, upon verification of such documentation shall determine whether Consultant has met the requirements of the contract.

If it is determined that the aforementioned documentation is insufficient or the failure to meet required participation is due to other reasons, the Consultant may request an appearance before the Department’s Administrative Reconsideration Panel to establish that all feasible means were used to meet such participation requirements. The Administrative Reconsideration Panel will be made up of Department Division Administrators or their designees, none of who took part in the initial determination that the Consultant failed to make the DBE goal or make adequate good faith efforts to do so. After reconsideration, Department shall notify the Consultant in writing of its decision and explain the basis for finding that the Consultant did or did not meet the DBE goal or make adequate good faith efforts to do so.

The decision of the Administrative Reconsideration Panel shall be administratively final. If the decision is made to invoke sanctions for failure to perform any or all of the responsibilities contained herein, the Department may declare the Consultant to be non-responsive with respect to renewal and future contracts to include enjoinment from responding or participating on Department procurement opportunities for a period of 180 days.

F. DBE Participation for Contract Goal Credit DBE participation on the contract will count toward meeting the DBE contract goal in accordance with the following criteria: 1. The applicable percentage of the total dollar value of the contract or subcontract awarded to the DBE firm will be counted toward meeting the DBE goal in accordance with the DBE Program-Related Certifications Made by Offerors/Consultant’s section of this Special Provision for the value of the work, goods, or services that are actually performed or provided by the DBE firm itself.

C - 8

  1. When a DBE performs work as a participant in a joint venture with a non-DBE firm, the Consultant may count toward the DBE goal only that portion of the total dollar value of the subcontract equal to the distinctly defined portion of the work that the DBE firm has performed with the DBE firm’s own forces or in accordance with the provisions of this Section. The Department shall be contacted in advance regarding any joint venture involving both a DBE firm and a non-DBE firm to coordinate Department review and approval of the joint venture’s organizational structure and proposed operation where the Consultant seeks to claim the goal credit.
  2. When a DBE firm subcontracts part of the work to another firm, the value of that subcontracted work may be counted toward the DBE contract goal only if the DBE firm’s subconsultant is a DBE firm. Work that a DBE firm subcontracts to a non-DBE firm, or to a firm that may be eligible to be a DBE firm, but has not yet been certified as a DBE firm, will not count toward the DBE. The cost of supplies and equipment a DBE subconsultant purchases or leases from the Consultant or prime contractual affiliates, as in the case of a joint venture, will not count toward the DBE goal.
  3. The Consultant may count expenditures to a DBE subconsultant toward the DBE goal only if the DBE performs a Commercially Useful Function (CUF) on that subcontract, as such term is defined in subparagraph G below. G. Performing a Commercially Useful Function (CUF) No credit toward the DBE goal will be allowed for payments or reimbursement of expenditures to a DBE firm if that DBE firm does not perform a CUF on that contract. A DBE firm performs a CUF when the DBE is solely responsible for execution of a distinct element of the work and the DBE firm actually performs, manages, and supervises such work with the DBE firm’s own forces or in accordance with the provisions of the DBE Participation for Contract Goal Credit section of this Special Provision. To perform a CUF the DBE firm alone must perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own work force. The amount the DBE firm is to be paid under the subcontract shall be commensurate with the work the DBE actually performs and the DBE goal credit claimed for the DBE firm’s performance.

Monitoring CUF Performance: It shall be the Consultant’s responsibility to confirm that all DBE firms selected for subcontract work on the contract, for which he seeks to claim credit toward the DBE goal, perform a CUF. Further, the Consultant is responsible for and shall confirm that each DBE firm fully performs the DBE firm’s designated tasks in accordance with the provisions of the DBE Participation for Contract Goal Credit section of this Special Provision. For the purposes of this Special Provision the DBE firm’s equipment will mean either equipment directly owned by the DBE as evidenced by title, bill of sale or other such documentation, or leased by the DBE firm, and over which the DBE has control as evidenced by the leasing agreement from a firm not owned in whole or part by the Consultant or an affiliate of the Consultant.

Department will monitor Consultant’s DBE involvement during the performance of the contract.

However, Department is under no obligation to warn the Consultant that a DBE firm’s participation will not count toward the goal.

DBE Firms Must Perform a Useful and Necessary Role in Contract Completion: A DBE firm does not perform a CUF if the DBE firm’s role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE firm participation.

DBE Firms Must Perform The Contract Work With Their Own Workforces: If a DBE firm does not perform and exercise responsibility for at least thirty (30) percent of the total cost of the DBE firm’s contract with the DBE firm’s own work force, or the DBE firm subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of C - 9 work involve, Department will presume that the DBE firm is not performing a CUF and such participation will not be counted toward the DBE goal.

Department Makes Final Determination On Whether a CUF Is Performed: Department has the final authority to determine, in its sole discretion, whether a DBE firm has performed a CUF on the contract. To determine whether a DBE is performing or has performed a CUF, Department will evaluate the amount of work subcontracted by that DBE firm or performed by other firms and the extent of the involvement of other firms’ forces and equipment. Any DBE work performed by the Consultant or by employees or equipment of the Consultant shall be subject to disallowance under the DBE Program, unless the independent validity and need for such an arrangement and work is demonstrated. When a DBE firm is presumed not to be performing a commercially useful function the DBE may present evidence to rebut the Department’s finding. Department has the final authority to determine, in its sole discretion, whether a DBE firm has performed a CUF on the contract.

H. Verification of DBE Participation and Imposed Damages Within fourteen (14) days after subcontract execution between Consultant and DBE subconsultants, the Consultant shall submit to the Department’s Civil Rights Office (CRO), a copy of the fully executed subcontract agreement for each DBE firm used to claim credit in accordance with the requirements stated on Form C-111. The subcontract shall be executed by both parties stating the work to be performed, the details or specifics concerning such work, and the price which will be paid to the DBE subconsultant.

The Consultant shall also furnish, and shall require each subconsultant to furnish, information relative to all DBE involvement on the project for each quarter during the life of the contract in which participation occurs and verification is available. The information shall be indicated on Form C-63, DBE and SWAM Payment Compliance Report. The Department reserves the right to request proof of payment via copies of cancelled checks with appropriate identifying notations. Failure to provide Form C-63 to the CRO within five (5) business days after the reporting period may result in delay of approval of the Consultant’s scheduled payment. The names and certification numbers of DBE firms provided by the Consultant on the various forms indicated in this Special Provision shall be exactly as shown on SBSD’s latest list of certified DBEs. Signatures on all forms indicated herein shall be those of authorized representatives of the Consultant. If DBE firms are used which have not been previously documented with the Consultant’s minimum DBE requirements documentation and for which the Consultant now desires to claim credit toward the contract goal, the Consultant shall be responsible for submitting necessary documentation in accordance with the procedures stipulated in this Special Provision to cover such work prior to the DBE firm beginning work. Form C-63 can be obtained from the VDOT website at: http://vdotforms.vdot.virginia.gov/Prior to beginning any major component of the work to be performed by a DBE firm not previously submitted, Consultant shall furnish a revised Form C-111 showing the name(s) and certification number(s) of any such DBEs for which Consultant seeks DBE goal credit. Consultant shall obtain the prior approval of the Department for any assistance it may provide to the DBE firm beyond its existing resources in executing its commitment to perform the work in accordance with the requirements listed in the Good Faith Efforts Described section of this Special Provision. If Consultant is aware of any assistance beyond a DBE firm’s existing resources that Consultant, or another subconsultant, may be contemplating or may deem necessary and that have not been previously approved, Consultant shall submit a new or revised narrative statement for Department’s approval prior to assistance being rendered.

If the Consultant fails to correctly complete and any of the required documentation requested by this Special Provision within the specified time frames, the Department will withhold payment until such time as the required submissions are received by Department. Where such failures to provide required submittals or documentation are repeated, Department will move to enjoin the Consultant and any prime contractual affiliates, as in the case of a joint venture, from responding or participating Department projects until such submissions are received.

C - 10

I.

Documentation Required for Semi-final Payment Consultant must submit Form C-63 to the CRO sixty (60) days prior to date of final completion, set forth on the Baseline Schedule (as updated from time to time in accordance with the contract). The form must include each DBE firm used on the contract and the work performed by each DBE firm.

The form shall include the actual dollar amount paid to each DBE firm for the accepted creditable work. The form shall be certified under penalty of perjury, or other applicable legal requirements, to be accurate and complete. Department will use this certification and other information available to determine applicable DBE credit allowed to date by Department and the extent to which the DBE firms were fully paid for that work. The Consultant acknowledges by the act of filing the form that the information is supplied to obtain payment regarding the contract as a federal participation contract. A letter of certification, signed by both the Consultant and appropriate DBE firms, will accompany the form, indicating the amount that remains to be paid to the DBE firm(s).

J. Documentation Required for Final Payment In anticipation of final payment, Consultant shall submit a final Form C-63 marked “Final” to the CRO, within thirty (30) days of the anticipated date of final completion, as set forth on the Baseline Schedule (as updated from time to time in accordance with the contract). The form must include each DBE firm used on the contract and the work performed by each DBE firm. The form shall include the actual dollar amount paid to each DBE firm for the creditable work. Department will use this form and other information available to determine if Consultant and DBE firms have satisfied the DBE goal and the extent to which credit was allowed. Consultant acknowledges by the act of signing and filing the form that the information is supplied to obtain payment regarding the contract as a federal participation contract. K. Prompt Payment Requirements In accordance with Article 4 of the Virginia Public Procurement Act (Sections 2.2-4347 through 2.2-4356 of the Code of Virginia (1950), as amended), the Consultant shall make payment to all subcontractors within seven (7) days after receipt of payment from the Department, or shall notify the Department and subcontractor in writing of the intention to withhold all or a part of the amount due along with the reason for nonpayment. Invoices shall be submitted no more frequently than once every 30 calendar days and not less than every 60 calendar days. Sub-consultant invoices must be submitted within 60 calendar days of receipt by the Consultant.

For purposes of this Special Provision, a subconsultant’s work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished, documented, and accepted as required by the contract documents by Department. If Department has made partial acceptance of a portion of the contract, then Department will consider the work of any subconsultant covered by that partial acceptance to be satisfactorily completed.

Upon Department’s payment of the subconsultant’s portion of the work as shown on the application for payment and the receipt of payment by Consultant for such work, the Consultant shall make compensation in full to the subconsultant for that portion of the work satisfactorily completed and accepted by the Department. For the purposes of this Special Provision, payment of the subconsultant’s portion of the work shall mean the Consultant has issued payment in full, to the subconsultant for that portion of the subconsultant’s work that Department paid to Consultant pursuant to the applicable application for payment.

C - 11 By accepting and executing this contract, the Consultant agrees to assume these obligations, and to bind the Consultant’s subconsultants contractually to these obligations.

Nothing contained herein shall preclude Consultant from withholding payment to the subconsultant in accordance with the terms of the subcontract in order to protect the Consultant from loss or cost of damage due to a breach of the subcontract by the subconsultant.

L. Miscellaneous DBE Program Requirements Loss of DBE Eligibility: When a DBE firm has been removed from eligibility as a certified DBE firm, the following actions will be taken: 1. When a Consultant has made a commitment to use a DBE firm that is not currently certified, thereby making the Consultant ineligible to receive DBE goal credit for work performed, the ineligible DBE firm’s work does not count toward the DBE goal. Consultant shall meet the DBE goal with a DBE firm that is eligible to receive DBE credit for work performed, or must demonstrate to the CRO that it has made good faith efforts to do so. 2. When a Consultant has executed a subcontract with a DBE firm prior to official notification of the DBE firm’s loss of eligibility, Consultant may continue to use the firm on the contract and shall continue to receive DBE credit toward DBE goal for the subconsultant’s work. 3. When Department has executed a prime contract with a DBE firm that is certified at the time of contract execution but that is later ruled ineligible, the portion of the ineligible firm’s performance of the contract remaining after VDOT issued the notice of its ineligibility shall be counted toward the contract goal.

Termination of DBE: If a DBE subconsultant is terminated, or fails, refuses, or is unable to complete the work on the contract for any reason, Consultant must promptly request approval to substitute or replace that DBE firm in accordance with this section of this Special Provision.

Consultant, shall notify DCRO in writing before terminating and/or replacing the DBE firm that is being used or represented to fulfill DBE-related contract obligations during the term of the contract.

Written consent from the DCRO for terminating the performance of any DBE firm shall be granted only when the Consultant can demonstrate that the DBE firm is unable, unwilling, or ineligible to perform its obligations for which the Consultant sought credit toward the DBE goal. Such written consent by the Department to terminate any DBE shall concurrently constitute written consent to substitute or replace the terminated DBE with another DBE. Consent to terminate a DBE firm shall not be based on the Consultant’s ability to negotiate a more advantageous contract with another subconsultant whether that subconsultant is, or is not, a DBE firm.

  1. All Consultant requests to terminate, substitute, or replace a DBE firm shall be in writing, and shall include the following information: (a) The date the Consultant determined the DBE to be unwilling, unable, or ineligible to perform.

(b) The projected date that the Consultant shall require a substitution or replacement DBE to commence work if consent is granted to the request.

(c) A brief statement of facts describing and citing specific actions or inaction by the DBE firm giving rise to Consultant’s assertion that the DBE firm is unwilling, unable, or ineligible to perform; (d) A brief statement of the DBE firm’s capacity and ability to perform the work as determined by the Consultant;

C - 12 (e) A brief statement of facts regarding actions taken by the Consultant, that Consultant believes constitute good faith efforts toward enabling the DBE firm to perform; (f) The current percentage of work completed by the DBE firm; (g) The total dollar amount currently paid for work performed by the DBE firm; (h) The total dollar amount remaining to be paid to the DBE firm for work completed, but for which the DBE firm has not received payment, and with which the Consultant has no dispute; (i) The total dollar amount remaining to be paid to the DBE firm for work completed, but for which the DBE firm has not received payment, and over which the Consultant and/or the DBE firm have a dispute.

  1. Consultant’s Written Notice to DBE of Pending Request to Terminate and Substitute with another DBE.

Consultant shall send a copy of the “request to terminate and substitute” letter to the affected DBE firm and make best efforts to ensure its receipt by the DBE firm, in conjunction with submitting the request to the DCRO. The DBE firm may submit a response letter to the DCRO and Department within two (2) business days of receiving the notice to terminate from the Consultant. If the DBE firm submits a response letter, then Consultant shall, as part of its subcontract, obligate the DBE firm to explain its position concerning performance on the committed work. The Department will consider both the Consultant’s request and the DBE firm’s response and explanation before approving the Consultant’s termination and substitution request.

If, after making its best efforts to deliver a copy of the “request to terminate and substitute” letter, the Consultant is unsuccessful in notifying the affected DBE firm, the Department will verify that the DBE firm is unable or unwilling to continue performing its subcontract let with respect to the contract. Department will timely approve the Consultant’s request for a substitution.

  1. Proposed Substitution of Another Certified DBE Upon termination of a DBE firm, Consultant shall use reasonable good faith efforts to replace the terminated DBE firm. The termination of such DBE firm shall not relieve Consultant of its obligations under this Special Provision, and the unpaid portion of the terminated DBE firm’s subcontract will not be counted toward the DBE goal.

When a DBE substitution is necessary, the Consultant shall submit an amended Form C-111 to the DCRO for approval with the name of another DBE firm, the proposed work to be performed by that DBE firm, and the dollar amount of the work to replace the unfulfilled portion of the work of the original DBE firm.

Should Consultant be unable to commit the remaining required dollar value to the substitute DBE firm, the Consultant shall provide written evidence of good faith efforts made to obtain the substitute value requirement. Department will review the quality, thoroughness, and intensity of those efforts. Efforts that are viewed by Department as merely superficial or pro-forma will not be considered good faith efforts to meet the DBE goal. Consultant must document the steps taken that demonstrated its good faith efforts to obtain participation as set forth in the Good Faith Efforts Described section of this Special Provision.

M. Suspect Evidence of Criminal Behavior

C - 13 Failure of Consultant or any subconsultant to comply with the Standard Specifications, this Special Provision, or any other contract document wherein there appears to be evidence of criminal conduct shall be referred to the Attorney General for the Commonwealth of Virginia and/or the FHWA Inspector General for criminal investigation and, if warranted prosecution.

Suspected DBE Fraud In appropriate cases, Department will bring to the attention of the United States Department of Transportation any appearance of false, fraudulent, or dishonest conduct in connection with the DBE program, so that USDOT can take the steps, e.g., referral to the Department of Justice for criminal prosecution, referral to the USDOT Inspector General, action under suspension and debarment or “Program Fraud and Civil Penalties” rules provided in 49 CFR Part 31.

N. Availability of Records

Requests for information concerning any aspect of the DBE Program, the Department complies with provisions of the Federal and Virginia Freedom of Information and Privacy Acts (5 U.S.C. 552 and 552a) and Code of Virginia § 2.2 -3700.

C - 14

APPENDIX D

GUIDELINES FOR THE USE OF

CONSULTANT PERFORMANCE REPORTS

IN THE SELECTION PROCESS

D - 1GUIDELINES FOR THE USE OF

CONSULTANT PERFORMANCE REPORTS

IN THE SELECTION PROCESS 5-5-99

BACKGROUND

Performance evaluations on firms under contract with VDOT are collected and entered into a database. These reports will be considered as you proceed through the short list process.

PROCESS

The following outlines the Selection Committee members’ responsibility at the short list meeting. The Guidelines for the Procurement & Management of Professional Services should be referred to for the complete process:

  1. The Procurement Officer will begin the short list meeting by outlining the process to be used during the meeting.

  2. The individual committee members will read their scores. Their scores will be consolidated into one score sheet by the Procurement Officer.

  3. Each committee member will verify their score has been accurately recorded.

The math will be performed and checked, establishing a tentative short list.

  1. The committee will next verify the current workload and the debarment status of the apparent short listed firms. (The committee may elect to do this after reviewing the Consultant Performance Reports)

  2. The committee will then access the Consultant Performance Report Library and review the reports for all prime consultants and subconsultants that are in the tentative short list. Past performance ratings for the last five years will be considered. If a firm is new to VDOT or has no performance reports on file, the committee will check some of the references shown in the EOI and document their finding as part of the file.

  3. If ratings less than 3 are discovered, the committee will review the actual performance reports for that firm. Ratings below 3 that are not supported with written comments must be discussed with the rater before they may be used to adjust the score. After this review, all committee members will have the opportunity to adjust their scores, if they find sufficient justification exists to do so. All changes on the score sheet will be made in ink and include the reason for making the change. A copy of the Consultant Performance Report with low ratings that justified the change in score will be attached to the score sheet.

D - 2

  1. If changes in scores result in a firm being removed from the short list, the next ranked firm will be added to the short list, the workload and debarment status verified, and the performance reports reviewed.

  2. The Procurement Officer is not a member of the Selection Committee and will at no time in the process attempt to influence the committee’s decision.

However, if after observing the selection proceedings and reviewing the performance reports with the committee, the Procurement Officer, in his/her opinion, finds the committee has not made a decision in accordance with these guidelines or they have not properly documented their decision, the Procurement Officer will submit the documentation and reasons for not approving the short list to the Lead Division Administrator for review. In most cases, it is expected that the concerns will be resolved with the Lead Division Administrator. However, if after review by the Lead Division Administrator, the Procurement Officer still feels the decision is not in accordance with the guidelines or has not been properly documented, the Procurement Officer will ask for a review by the Chief Engineer. The Chief Engineer’s decision will be final. The reason for the decision made by the Lead Division Administrator or the Chief Engineer will be included in the selection documentation.

CONSIDERATIONS

As the Selection Committee goes through the process of reviewing the Consultant Performance Report data, the following should be considered:

  1. It is not the intent of the process for a single rating less than 3 to remove a firm from consideration to provide services for VDOT. A firm’s total work performance history will be taken into consideration prior to any score being changed. It is important that we remain mindful that it is the Chief Engineer’s desire that we should not be using firms that perform poorly.

  2. There is no set rule for the number of low ratings that requires a firm’s short list scores to be changed. This is an individual decision of each Selection Committee member.

  3. Low ratings may exist in areas on other projects which are not relative to your project and the committee may choose to rate this information accordingly.

The consultant may also be using different personnel on your project.

However, the general guidance is the Chief Engineer wants firms to consistently perform well in all areas.

  1. The Selection Committee need only review the performance reports in the same disciplines of work being procured. If a procurement is solely for bridge design, only the Structure and Bridge Division performance reports need to

D - 3 be reviewed. When surveying work is included as part of a road design contract, the term surveying and Location and Design Division reports will be reviewed. When a bridge design consultant is required to provide construction inspectors on unique types of construction, both the Structure and Bridge Division and construction inspection reports will be reviewed. A consultant’s performance with other divisions within the same category may be considered if determined to be relevant to the current procurement. If a firm has no performance reports on file related to the requested services, the committee will check some of the references shown in the EOI and document their findings as part of the file.

  1. A rating of 3 indicates the consultant met the terms and conditions of their contract and is not considered to be a bad rating. Fractional ratings less than three may be given to indicate that a firm did not totally meet expectations, but their work was not of such poor quality for them not to be considered for future work. Committee members need to refer to the rater’s comments. Any rebuttal comments by the consultant should also be considered.

  2. The quality of the final product is of utmost importance; however, the amount of time and effort spent by the Department’s staff in the management and supervision of the consultant during the project life must be considered. A consultant may submit a good final product, but it required a tremendous effort by Department personnel to make the consultant achieve the end results. This should be reflected in the performance reports and considered by the Selection Committee.

  3. Low ratings of subconsultants should be weighed according to their scope and value to the effort, keeping in mind the Chief Engineer expects subconsultants to perform consistently well.

  4. The short list scores may be adjusted as the Selection Committee deems appropriate based on the numerical ratings and significance of the rated category to the project being considered. If a firm’s score is adjusted and the firm remains in the short list, the performance reports may be cited in the narrative prepared to document the selection recommendation as a reason for not ranking as high as the other firms.

  5. Sometimes, it may be necessary for the Selection Committee to communicate with the rater that completed a Consultant Performance Report. This may occur from the rater not giving clear enough comments to appropriately support a low score or from the consultant’s rebuttal to the rating in their comment section.

D - 4

APPENDIX E

COMPUTATION

OF

COST

PLUS

NET

FEE

E - 1 COST PLUS NET FEE CONTRACT Computation of Fee *

A. Direct Labor, Estimated $1,000,000.00 Est. Man-hrs X Current Hourly Rates

B. Escalation $60,000.00 Approved Escalation Rate X A

C. Total Direct Labor $1,060,000.00

(A + B)

D. Overhead (Payroll Burden + Overhead, G&A) $1,908,000.00 Audited Overhead Rate (180%) X C

E. Total Direct Labor Plus Overhead $2,968,000.00

(C + D)

F. Direct Labor Plus Overhead Contingency ** $148,400.00 Contingency Rate X E

G. Negotiated Net Fee *** $284,928.00 Based on (E + F) with Overhead Limit of 156%

H. Cost of Facilities Capital $11,660.00 Audited Rate X C

I. Nonsalary Direct Cost, Estimated $50,000.00

J. Nonsalary Contingency ** $3,083.00 Contingency Rate X (H + I)

K. Sub-consultant Cost, Estimated $200,000.00

L. Maximum Total Compensation Payable $3,666,071.00

(E + F + G + H + I + J + K)

M. Amount Not To Exceed Without Written VDOT Approval $3,514,588.00

(L-F-J)

    • Round to the nearest dollar with no cents. ** - Contingency is generally 5%, but may vary depending on the difficulty of determining the exact scope of the services. Contingency provides for minor work elements which could not be precisely determined when the contract was written. The contingency may not be used without written permission from the Department. *** - Overhead rate is limited to 156% in determining net fee.

MaxCompCalc05092005.xls

E - 2

Virginia Transportation Infrastructure Bank GuidelinesDoc ID: Virginia

Original: 11,832 words
Condensed: 8,609 words
Reduction: 27.2%

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The Commonwealth of Virginia

The Virginia Transportation

Infrastructure Bank

Program Overview, Guidelines and Selection Criteria

Administered by the Virginia Commonwealth

Transportation Board

Managed by the Virginia Resources Authority

September 2016

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Virginia Transportation Infrastructure Bank

TABLE OF CONTENTS

Introduction ................................................................................................... Page 1

Goals and Objectives ..................................................................................... Page 1

The VTIB Act ................................................................................................ Page 1

Virginia Transportation Infrastructure Bank Funding .................................. Page 2

Virginia Transportation Infrastructure Bank Administration ........................ Page 2

Eligible Applicants ........................................................................................ Page 2

Eligible Projects and Costs ............................................................................ Page 3

Eligible Types of Assistance ......................................................................... Page 3

Application Process ....................................................................................... Page 4 Minimum Eligibility Requirements .................................................. Page 5 Application Screening Criteria .......................................................... Page 5

Applicant Creditworthiness ........................................................................... Page 6

Financing Commitment ................................................................................. Page 6

Loan Closing/Grant Award/Financing Agreement ....................................... Page 6

Interest Rates ................................................................................................. Page 7

Disbursement Process ................................................................................... Page 7

Loan Term/Repayment .................................................................................. Page 7

Recipient Reporting Requirements ............................................................... Page 8

Appendix A: The VTIB Act .......................................................................... Page 9

Appendix B: VTIB Assistance Application .................................................. Page 16

Appendix C: VTIB Screening and Scoring Criteria and Worksheet ............ Page 25

Appendix D: VTIB Interest Rate Methodology ............................................ Page 28

i

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Virginia Transportation Infrastructure Bank

Introduction

Article 1 of Chapter 15 of Title 33.2 of the Code of Virginia as amended (the “VTIB Act”), is the legal framework creating the Virginia Transportation Infrastructure Bank (“VTIB” or the

“Bank”). The Bank is a special non-reverting, revolving loan fund that is a sub-fund of the Transportation Trust Fund. The Bank shall be capitalized with (i) two-thirds of all interest, dividends, and appreciation that may accrue to the Transportation Trust Fund and the Highway Maintenance and Operating Fund and (ii) monies appropriated by the General Assembly and credited to the Bank. Monies deposited into the Bank shall be used for the purpose of making loans and other financial assistance to localities, private entities and other eligible borrowers to finance transportation projects. Monies loaned from the Bank are to be repaid, with interest, to the Bank to provide loans and credit assistance to additional projects.

Goals and Objectives

The General Assembly has determined that creating the VTIB is in the public interest, serves a public purpose and will promote the health, safety, welfare, convenience, or prosperity of the people of the Commonwealth.

It is the intent of the VTIB Act and the Bank to alleviate, in part, a critical need for additional

sources of funding to finance present and future needs of the Commonwealth of Virginia (the “Commonwealth”) for the design and construction of roads and highways, including toll facilities, mass transit, freight, passenger and commuter rail, including rolling stock, port and airport and other transportation facilities.

The purpose of the Bank is also to encourage the investment of both public and private funds in the development of eligible transportation projects and to provide an alternative source of financing for present and future transportation needs in the Commonwealth.

The VTIB Act

The VTIB Act authorizes monies from the Bank to be used to provide loans, credit enhancements and other financial assistance to eligible borrowers to finance the cost of transportation projects and facilities. For the purpose of the VTIB Act, finance, when used in connection with a cost or project, is defined to include both the initial financing and any

refinancing of that cost or project.

The following guidelines and criteria have been developed by the Commonwealth Transportation Board (“CTB” or the “Board”), in consultation with the Virginia Resources Authority (“VRA”, the “Authority” or the “Manager”) and the Secretary of Transportation to guide the process of applying for and receiving financial assistance from the Bank.

Unless otherwise defined herein, capitalized terms used in the Guidelines and Criteria have the same meaning as the Definitions contained in section (§) 33.2.1501 of the VTIB Act.

Guidelines and Criteria Page 2 September 2016

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Virginia Transportation Infrastructure Bank

The complete text of the VTIB Act has been included as Appendix A to these guidelines.

Although guidance is provided herein with regard to the application of the VTIB Act, it will be incumbent upon all entities, both public and private, to read the VTIB Act in its entirety, and to

comply with provisions of the VTIB Act.

Virginia Transportation Infrastructure Bank Funding

The General Assembly has funded the Bank with an initial capitalization of $282,700,000. $32,700,000 has been appropriated from the Commonwealth’s general fund and $250,000,000 has been designated from the Commonwealth Transportation Fund. With the enactment of House Bill 1887, two-thirds of all interest, dividends, and appreciation that may accrue to the Transportation Trust Fund and the Highway Maintenance and Operating Fund are dedicated to the Bank.

Principal and interest payments from loans and other forms of financial assistance made from the VTIB and interest earned on monies in the Bank will be credited to the Bank for future use on other eligible transportation projects.

Virginia Transportation Infrastructure Bank Administration

The Board shall determine the projects for which loans or other financial assistance may be provided by the Bank. The General Assembly has given the Board, acting through the staff of the Virginia Department of Transportation (“VDOT” or the “Department”), the responsibility for administering the policy and programmatic aspects of the VTIB. The VRA serves as the financial manager of the Bank, serving as the administrator and trustee of the funds disbursed from the Bank. A management agreement between the Board, the Manager and the Secretary of Finance sets forth the specific terms and conditions under which the Bank will be administered and managed by the parties.

Eligible Applicants

Financial assistance from the VTIB may be provided to a Locality, a Private Entity and/or an Eligible Borrower. Eligible Borrower means any i) Private Entity, ii) Governmental Entity, iii)

instrumentality, corporation or entity established by any of the foregoing pursuant to § 33.2-1505; or, iv) combination of two or more of the foregoing.

“Private Entity” means any private or nongovernmental entity that has executed an interim or comprehensive agreement to develop and construct a transportation infrastructure project pursuant to the Public-Private Partnership Act of 1995 (§ 33.2-1800 et seq.).

“Governmental Entity” means any i) Locality; ii) local, regional, state or federal entity; transportation authority, planning district, commission, or political subdivision created by the

Guidelines and Criteria Page 3 September 2016

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Virginia Transportation Infrastructure Bank

General Assembly or pursuant to the Constitution and laws of the Commonwealth; or public transportation entity owned, operated or controlled by one or more local entities; iii) entity established by interstate compact; iv) instrumentality, corporation or entity established by any of the foregoing pursuant to § 33.2-1505; or, v) combination of two or more of the foregoing.

“Locality” means any county, city or town in the Commonwealth.

A Project Sponsor, or an Private Entity or Governmental Entity that is involved in the planning, design, right-of-way acquisition, engineering, construction, maintenance or financing of a project, may also apply to the Board for assistance from the Bank.

Eligible Projects and Cost

The proceeds from any financial assistance from the Bank may be used to finance the Cost associated with any eligible transportation Project. Finance, as defined by the VTIB Act and when used in connection with a cost or a project, includes both the initial financing and any refinancing of the cost or project. Under the VTIB Act, a Project means i) the construction, reconstruction, rehabilitation or replacement of any interstate, state highway, toll road, tunnel, local road, or bridge; or ii) the construction, reconstruction, rehabilitation or replacement of any a. mass transit, b) commuter, passenger or freight rail, c) port, or d) airport facility; or the

acquisition of any rolling stock, vehicle or equipment to be used therewith.

Cost, as applied to any project financed under the provisions of the Bank, means the total of all costs including, but not limited to, the costs of planning, design, right-of-way acquisition, engineering, and construction incurred by an Eligible Borrower or other Project Sponsor as reasonable and necessary for carrying out all works and undertakings necessary or incident to the accomplishment of any project. Cost also includes capitalized interest, reasonably required reserve funds, and financing, credit enhancement and issuance cost. Expenses incurred on an approved project prior to the execution of a financing agreement are also eligible provided they are necessary and attributable to the project.

Monies from the Bank are not intended to supplant existing or programmed funds from other public sources, but are to be used to support projects and activities beyond the funding capacity of existing programs.

Eligible Types of Assistance

Monies in the Bank may be used to provide Loans, Credit enhancements and Other financial assistance to Eligible Borrowers and Project Sponsors.

“Loan” means an obligation subject to repayment that is provided by the Bank to an Eligible Borrower to finance all or a part of the eligible cost of a project incurred by the Eligible Borrower or other Project Sponsor.

Guidelines and Criteria Page 4 September 2016

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Virginia Transportation Infrastructure Bank

“Credit enhancements” means surety bonds, insurance policies, letters of credit, guarantees, and other forms of collateral or security.

“Other financial assistance” includes capital or debt reserves for bond or debt instrument financing, provision of letters of credit and other forms of credit enhancement, and other lawful forms of financing and methods of leveraging funds that are approved by the Manager.

No loan or other financial assistance may be provided or committed to be provided by the Bank in a manner that would cause such loan or other financial assistance to be tax-supported debt within the meaning of § 2.2-2713 of the Code of Virginia or be deemed to constitute a debt of the Commonwealth or a pledge of the full faith and credit of the Commonwealth but shall be payable solely from legally available monies held by the Bank.

Application Process

Applications will be accepted throughout the year from Eligible Borrowers and Project Sponsors.

Applications must be submitted in the form and containing the items specified in the VTIB Assistance Application. A copy of the application is provided in Appendix B. Applications must be received at least ninety (90) days before the next scheduled Board meeting for possible consideration at that meeting.

All applications for assistance from the Bank shall be sent to VDOT’s Chief Financial Officer and addressed as follows:

Virginia Transportation Infrastructure Bank Attention: Chief Financial Officer Virginia Department of Transportation 1401 East Broad Street Annex Building – Third Floor Richmond, Virginia 23219-2000

Guidelines and Criteria Page 5 September 2016

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Virginia Transportation Infrastructure Bank

Applications will be initially screened by VDOT staff for minimum eligibility. The minimum eligibility requirements are as follows:

Minimum Eligibility Requirements

 The applicant is an Eligible Borrower or a Project Sponsor as defined by the VTIB Act. o A Governmental Entity is a duly created and a validly existing unit of government as defined by the VTIB Act. o A Private Entity has executed an interim or comprehensive agreement to develop and construct a transportation infrastructure project pursuant to the Public-Private Transportation Act of 1995. o The Project is of local, regional, or statewide significance and meets the public interest identified in subsection A of § 33.2-214.1, Statewide prioritization process for project selection.

The applications meeting the minimum requirements will be further reviewed and scored by

VDOT staff and the Manager, VRA. The Manager will analyze the applicants’ financial capability and credit worthiness to be considered in determining the successful applicants.

Following an applicant’s selection for evaluation, meetings may be conducted with the applicant by either or both the Board or the Manager. The purpose of the meetings will be to review and confirm the information contained in the application. Representatives of the applicant, VDOT staff, VRA staff and staff from the applicable modal oversight agencies, as appropriate, will participate in the meetings.

Application Screening Criteria

The applications will be scored using the screening criteria currently in use. Appendix C is the current VTIB Screening and Scoring Criteria and Worksheet and identifies the scoring items and weights. Each application meeting the minimum eligibility requirements will be scored on a series of criteria based on the project’s scope, project’s maturity, project’s benefits, project’s public benefits, project’s funding, and the applicant’s credit.

The results of the scoring process will be presented to and reviewed by the VTIB Advisory Panel (the “Panel”). The Panel shall be chaired by the Deputy Secretary of Transportation and include the following members:  VDOT’s Chief Financial Officer  Department of Rail and Public Transportation’s Chief Financial Officer  VRA Executive Director or designee  Secretary of Finance or designee  Secretary of Commerce and Trade or designee  Representative from Virginia Port Authority or Virginia Department of Aviation (if application pool contains related projects)

The panel will determine the applications to present to the Board at their next scheduled meeting with recommendation for approval. The Chair or designee will present to the Board a summary

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of the applications received, respective scores, and recommendations for approval or denial of the requested financial assistance. After action by the Board, the scores of the applications will be posted on VDOT’s website, with the successful applications so noted.

Applicant Creditworthiness

As part of the scoring process, the Manager will conduct a financial capability review of each application meeting minimum qualifications to determine the creditworthiness of the applicant and project. This assessment will analyze such factors as revenue stability, debt service coverage, various reserves and other factors to determine the applicant’s overall financial condition, the applicant’s ability to generate and maintain sufficient revenues from the project and the availability of reliable repayment sources to retire the project obligation.

Financing Commitment

Following action by the Board to approve the financial assistance from the Bank, the Manager will provide a written commitment (the “Commitment”) to the potential recipient. The Commitment will outline the type of assistance to be provided and in the case of a loan, the required security provisions, the loan term and payment provisions, the amount of assistance to

be provided and any conditions that must be met by the applicant prior to loan closing . The Commitment must be accepted by the potential recipient and returned signed to VRA within 60 days of the Commitment date to preserve the funding.

A project obligation, as defined by the VTIB Act, means any bond, note, debenture, interim certificate, grant or revenue anticipation note, lease or lease-purchase or installment sales agreement, or credit enhancement issued, incurred or entered into by an Eligible Borrower to evidence a loan, or any financing agreements, reimbursement agreements, guarantees, or other evidences of an obligation of an Eligible Borrower or other Project Sponsor to pay or to guarantee a loan.

Loan Closing/Grant Award/Financing Agreement

Any conditions or other prerequisites to receiving the assistance outlined in the Commitment must be met, to the Manager’s satisfaction, prior to execution of a Financing Agreement (the

“Agreement”. VRA and the applicant will enter into the Agreement for the funds. The Agreement will include the security provisions for the assistance, repayment terms along with the amortization schedule, representations and warranties, borrower covenants, disbursement requirements, monitoring and reporting requirements and will specify any other terms and conditions for the financial assistance.

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Interest Rates

Project obligations, will bear interest at a rate that shall be determined by reference to the current market rates for comparable obligations, the nature of the project and the financing structure

therefor, and the Creditworthiness of the Eligible Borrower and other Project Sponsors.

Standard Interest Rates: Appendix D explains the current methodology for determining Standard Rates.

Project Based Interest Rates: The applicant may elect to apply for an additional interest rate subsidy based on the nature of a project. Justification for the additional subsidy must detail project constraints and affordability factors.

Disbursement Process

Disbursement of the financial assistance can begin following execution of the Agreement.

Disbursements shall be made by the State Treasurer on warrants issued by the Comptroller upon written request signed by the Commissioner of Highways or his or her designee. Disbursements will be made from the Bank to the manager based on the estimated draws for financial assistance on the executed Agreements with the successful applicants. The funds shall be held in trust on

behalf of the Bank until paid to the applicant. Additional disbursements from the Bank to the Manager may be made if needed to provide for the actual draws.

A loan from the Bank may be disbursed to the recipient either i) in anticipation of reimbursement (including an advance or draw under a credit enhancement instrument), ii) as direct payment of eligible costs, or iii) to redeem or defease a prior obligation incurred by the Eligible Borrower or other Project Sponsor to finance the eligible costs of a project.

Recipients will submit a disbursement request to VDOT. VDOT will review the request for completeness and if acceptable, approve the request for payment by the Manager. VDOT will notify the recipient within 30-days of any deficiencies in any disbursement request. Upon receipt of a complete, acceptable disbursement request, the VDOT will forward the request to the Authority for payment.

VDOT may review or audit Project records and documentation as may be required to verify the eligibility and validity of expenditures financed from the VTIB.

Loan Term/Repayment

The repayment terms shall be outlined in the executed Agreement. The repayment schedule for each project obligation, shall require the amortization of principal beginning within five years following the later of i) substantial project completion, as defined by the VTIB Act or ii) the date of incurrence of the project obligation. The repayment schedule shall have a final maturity date of not more than 35 years following substantial project completion. Substantial project

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completion means the opening of any part of a project for vehicular or passenger traffic or the handling of cargo and freight.

Recipients must pledge one or more reliable repayment sources and/or other property to secure

the project obligation. This must be a source which is generating funds that will be dedicated by the Eligible Borrower or Project Sponsor for the purpose of retiring the project obligation. The pledge of a reliable repayment source(s) and/or other property to secure the project obligation may be subordinate to the pledge securing any other senior debt obligations incurred to finance the project.

Notwithstanding the provisions of the VTIB Act, the Manager may at any time following substantial project completion defer payment on a project obligation if the project is unable to generate sufficient revenues to pay the scheduled payments.

Loan recipients shall make their repayments to the Manager. The Manager will remit the Funds to the Bank monthly to be held by the Treasury. Payments on project obligations shall be credited to the Bank and are to be used solely for the purposes established by the VTIB Act.

The Manager will be responsible for monitoring and ensuring repayment of the loans.

Recipient Reporting Requirements

Recipients of VTIB assistance will be required to supply VDOT and VRA with various reports, certificates and documents during the project development phase as well as throughout the life of any loan. Submittals of annual audited and interim, unaudited financial statements, approved budgets and use of funds reporting will be required as a condition of accepting assistance from the Bank. In addition, the recipient shall provide disclosure of any material events that could affect its ability to complete and, if applicable, operate the project.

Other special reporting requirements may be required on a case-by-case basis. All reporting and submittal requirements will be included and outlined in the Agreement.

Appendix A

The VTIB Act

Virginia Transportation Infrastructure Bank.

§ 33.2-1500. Legislative findings and purposes.

The General Assembly finds that there exists in the Commonwealth a critical need for additional sources of funding to finance the present and future needs of the Commonwealth for the design and construction of roads and highways, including toll facilities, mass transit, freight, passenger and commuter rail, including rolling stock, port, airport and other transportation facilities. This need can be alleviated in part through the creation of a transportation infrastructure bank. The purpose of such bank is to encourage the investment of both public and private funds and to make loans and other financial assistance available to localities, private entities, and other

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Eligible Borrowers to finance eligible transportation projects. The General Assembly determines that the creation of a transportation infrastructure bank for this purpose is in the public interest, serves a public purpose and will promote the health, safety, welfare, convenience, or prosperity of the people of the Commonwealth.

§ 33.2-1501. Definitions.

As used in this article, whether in capitalized or uncapitalized form, each of the following terms has the meaning given it in this section, unless the context requires a different meaning to be consistent with the manifest intention of the General Assembly:

"Bank" means the Virginia Transportation Infrastructure Bank created in § 33.1-23.8.

“Board” means the Commonwealth Transportation Board.

"Cost," as applied to any project financed under the provisions of this article, means the total of all costs including, but not limited to, the costs of planning, design, right-of-way acquisition, engineering, and construction incurred by an Eligible Borrower or other Project Sponsor as reasonable and necessary for carrying out all works and undertakings necessary or incident to

the accomplishment of any project. The term also includes capitalized interest, reasonably required reserve funds, and financing, credit enhancement, and issuance costs.

"Credit enhancements" means surety bonds, insurance policies, letters of credit, guarantees, and other forms of collateral or security.

"Creditworthiness" means attributes such as revenue stability, debt service coverage, reserves, and other factors commonly considered in assessing the strength of the security for indebtedness.

"Eligible Borrower" means any (i) Private Entity; (ii) Governmental Entity; (iii) instrumentality, corporation, or entity established by any of the foregoing pursuant to § 33.1-23.11; or (iv) combination of two or more of the foregoing.

“Finance” and any variation of the term, when used in connection with a cost or a project, includes both the initial financing and any refinancing of the cost or project and any variation of

such terms. “Finance” does not include a grant.

"Governmental Entity” means any (i) Locality; (ii) local, regional, state, or federal entity; transportation authority, planning district, commission, or political subdivision created by the General Assembly or pursuant to the Constitution and laws of the Commonwealth; or public transportation entity owned, operated, or controlled by one or more local entities; (iii) entity established by interstate compact; (iv) instrumentality, corporation, or entity established by any of the foregoing pursuant to § 33.1-23.11; or (v) any combination of two or more of the foregoing.

"Grant" means a transfer of moneys or property that does not impose any obligation or condition on the grantee to repay any amount to the transferor other than in connection with

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assuring that the transferred moneys or property will be spent or used in accordance with the governmental purpose of the transfer. Such term includes, without limitation, direct cash payments made to pay or reimburse all or a portion of interest payments made by a grantee on a debt obligation. As provided in §§ 33.1-23.8 and 33.1-23.9, only Governmental Entities may

receive grants of moneys or property held in or for the credit of the Bank.

"Loan" means an obligation subject to repayment that is provided by the Bank to an Eligible Borrower to finance all or a part of the eligible cost of a project incurred by the Eligible Borrower or other Project Sponsor. A loan may be disbursed (i) in anticipation of reimbursement (including an advance or draw under a credit enhancement instrument), (ii) as direct payment of eligible costs, or (iii) to redeem or defease a prior obligation incurred by the Eligible Borrower or other Project Sponsor to finance the eligible costs of a project.

"Locality" means any county, city, or town in the Commonwealth.

“Management agreement” means the memorandum of understanding or interagency agreement among the Manager, the Secretary of Finance and the Board as authorized under subsection B of § 33.1-23.8.

“Manager” means the Virginia Resources Authority serving as the manager, administrator and trustee of funds disbursed from the Bank in accordance with the provisions of this article and the management agreement.

"Other financial assistance" includes capital or debt reserves for bonds or debt instrument financing, provision of letters of credit and other forms of credit enhancement, and other lawful forms of financing and methods of leveraging funds that are approved by the Manager.

"Private Entity" means any private or nongovernmental entity that has executed an interim or comprehensive agreement to develop and construct a transportation infrastructure project pursuant to the Public-Private Transportation Act of 1995 (§ 56-556 et seq.).

"Project" means (i) the construction, reconstruction, rehabilitation, or replacement of any interstate, state highway, toll road, tunnel, local road, or bridge; or (ii) the construction, reconstruction, rehabilitation, replacement, of any (a) mass transit, (b) commuter, passenger or freight rail, (c) port, or (d) airport facility; or the acquisition of any rolling stock, vehicle or

equipment to be used therewith.

"Project obligation" means any bond, note, debenture, interim certificate, grant or revenue anticipation note, lease or lease-purchase or installment sales agreement, or credit enhancements issued, incurred, or entered into by an Eligible Borrower to evidence a loan, or any financing agreements, reimbursement agreements, guarantees, or other evidences of an obligation of an Eligible Borrower or other Project Sponsor to pay or guarantee a loan.

"Project Sponsor" means any Private Entity or Governmental Entity that is involved in the planning, design, right-of-way acquisition, engineering, construction, maintenance or financing of a project.

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"Reliable repayment source" means any means by which an Eligible Borrower or other Project Sponsor generates funds that are dedicated to the purpose of retiring a project obligation.

"Substantial project completion" means the opening of a project for vehicular or passenger

traffic or the handling of cargo and freight.

§ 33.2-1502. Creation of the Virginia Transportation Infrastructure Bank.

A. There is hereby created in the state treasury a special nonreverting, revolving loan fund that is a subfund of the Transportation Trust Fund, known as the Virginia Transportation Infrastructure Bank. The Bank shall be established on the books of the Comptroller. The Bank shall be capitalized with (i) two-thirds of all interest, dividends and appreciation that may accrue to the Transportation Trust Fund and the Highway Maintenance and Operating Fund and (ii) moneys appropriated by the General Assembly and credited to the Bank. Disbursements from the Bank shall be made by the State Treasurer on warrants issued by the Comptroller upon written request signed by the Commissioner of Highways or his or her designee. Payments on project obligations and interest earned on the moneys in the Bank shall be credited to the Bank.

Any moneys remaining in the Bank, including interest thereon, at the end of each fiscal year shall not revert to the general fund but shall remain in the Bank. Notwithstanding anything to the contrary set forth in this article or in the management agreement, the Board will have the right

to determine the projects for which loans or other financial assistance may be provided by the Bank. Moneys in the Bank shall be used solely for the purposes enumerated in subsection C.

B. The Board, the Manager and the Secretary of Finance are authorized to enter into a management agreement which may include provisions (i) setting forth the terms and conditions under which the Manager will advise the Board on the financial propriety of providing particular loans or other financial assistance, (ii) setting forth the terms and conditions under which the substantive requirements of subsections C , D and E and § 33.2-1505 will be applied and administered; and (iii) authorizing the manager to request the Board to disburse from the moneys in the Bank, the reasonable costs and expenses the manager may incur in the management and administration of the Bank and a reasonable fee to be approved by the Board for the manager’s management and administrative services.

C. 1. Moneys deposited in the Bank shall be used for the purpose of making loans and other financial assistance to finance projects.

  1. Each project obligation shall be payable, in whole or in part, from reliable repayment sources pledged for such purpose.

  2. The interest rate on a project obligation shall be determined by reference to the current market rates for comparable obligations, the nature of the project and the financing structure therefor, and the creditworthiness of the Eligible Borrower and other Project Sponsors.

  3. The repayment schedule for each project obligation shall require (i) the amortization of principal beginning within five years following the later of substantial project completion or the

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date of incurrence of the project obligation and (ii) a final maturity date of not more than 35 years following substantial project completion.

D. The pledge of reliable repayment sources and other property securing any project obligation

may be subordinate to the pledge securing any other senior debt obligations incurred to finance the project.

E. Notwithstanding subdivision C 4, the manager may at any time following substantial project completion defer payments on a project obligation if the project is unable to generate sufficient revenues to pay the scheduled payments.

F. No loan or other financial assistance may be provided or committed to be provided by the Bank in a manner that would cause such loan or other financial assistance to be tax-supported debt within the meaning of § 2.2-2713 or be deemed to constitute a debt of the Commonwealth of Virginia or a pledge of the full faith and credit of the Commonwealth but shall be payable solely from legally available moneys held by the Bank.

G. Neither the Bank nor the Manager is authorized or empowered to be or to constitute a bank or trust company within the jurisdiction or under the control of the Commonwealth or an agency

thereof or the Comptroller of Currency of the U.S. Treasury Department; or a bank, banker, or dealer in securities within the meaning of, or subject to the provisions of, any securities, securities exchange, or securities dealers law of the United States or of the Commonwealth.

H. The Board or the Manager may establish or direct the establishment of federal and state accounts or subaccounts as may be necessary to meet any applicable federal law requirements or desirable for the efficient administration of the Bank in accordance with this article.

§ 33.2-1503. Eligibility and project selection.

I. Any entity constituting an Eligible Borrower or other Project Sponsor is eligible to apply to the Board for project financing from the Bank.

B. All applicants for a loan or other financial assistance must file an application with the Board, which must include all items determined by the Board in consultation with the Manager to be necessary and appropriate for the Board to determine whether or not to approve the loan,

including the availability of reliable repayment sources to retire the project obligation as well as creditworthiness.

C. Each applicant for a loan or other financial assistance must demonstrate that the project is of local, regional or statewide significance, and meets the public interest identified in subsection A of § 33.2-214.1. Another criterion to be considered is whether or not the loan or other financial assistance will enable the project to be completed at an earlier date than otherwise feasible. The Board shall issue guidelines for scoring projects in accordance with subsection of § 33.2-214.1 and any other criteria deemed necessary and appropriate for evaluating projects as determined by the Board in consultation with the Manager and shall apply the scoring guidelines to each

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proposed project. Further, the Board shall promptly publish each proposed project and its score using the scoring guidelines.

D. All projects for which a loan or other financial assistance is provided must meet and remain

in compliance with the policies and guidelines established by the Board and the manager.

§ 33.2-1504. Grants from the Commonwealth Transportation Board.

The Board may make grants of money or property to the Bank for the purpose of enabling it to carry out its corporate purposes and for the exercise of its powers. This section shall not be construed to limit any other power the Board may have to make grants to the Bank.

§ 33.2-1505. Project Obligations.

E. Subject to the terms determined by the manager in accordance with the management agreement, each loan or other financial assistance shall be evidenced or guaranteed by project obligations provided to finance the costs of any project. The manager may also sell any project obligations so acquired and apply the proceeds of such a sale to the making of additional loans and the provision of other financial assistance for financing the cost of any project or for any

other corporate purpose of the Bank.

B. The manager may require, as a condition to provision of a loan or other financial assistance and the acquisition of any project obligations, that the Eligible Borrower or any other Project Sponsor covenant to perform any of the following:

  1. Establish and collect tolls, rents, rates, fees, and other charges to produce revenue sufficient to pay all or a specified portion of (i) the costs of operation, maintenance, replacement, renewal, and repairs of the project; (ii) any outstanding indebtedness incurred for the purposes of the project, including the principal of and premium, if any, and interest on the project obligations; and (iii) any amounts necessary to create and maintain any required reserve, including any rate stabilization fund deemed necessary or appropriate by the manager to offset the need, in whole or part, for future increases in tolls, rents, rates, fees, or charges;

  2. Create and maintain a special fund or funds as security for or the source of the scheduled payments on the project obligations or for the operation, maintenance, repair, or replacement of

the project or any portions thereof or other property of the Eligible Borrower or any other Project Sponsor, and deposit into any fund or funds amounts sufficient to make any payments as they become due and payable;

  1. Create and maintain other special funds as required by the manager; and

  2. Perform other acts, including the conveyance or mortgaging of real and personal property together with all right, title and interest therein to secure project obligations, or take other actions as may be deemed necessary or desirable by the manager to secure payment of the project obligations and to provide for remedies in the event of any default or nonpayment by the

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Eligible Borrower or any other Project Sponsor, including, without limitation, any of the following:

a. The procurement of credit enhancements or liquidity arrangements for project obligations

from any source, public or private, and the payment therefor of premiums, fees, or other charges.

b. The combination of one or more projects, or the combination of one or more projects with one or more other undertakings, facilities, or systems, for the purpose of operations and financing, and the pledging of the revenues from such combined projects, undertakings, facilities, and systems to secure project obligations issued in connection with such combination or any part or parts thereof.

c. The payment of such fees and charges in connection with the acquisition of the project obligations as may be determined by the manager.

C. All Eligible Borrowers and other Project Sponsors, including any Governmental Entities, providing project obligations to the Bank are authorized to perform any acts, take any action, adopt any proceedings and make and carry out any contracts with the Bank, the manager, or the Board that are contemplated by this article. Such contracts need not be identical among all

Eligible Borrowers or other Project Sponsors, but may be structured as determined by the manager according to the needs of the contracting Eligible Borrowers and other Project Sponsors and the purposes of the Bank.

In addition, subject to the approval of the manager, any Project Sponsor is authorized to establish and contract with a special purpose or limited purpose instrumentality, corporation, or other entity for the purpose of having such entity serve as the Eligible Borrower with respect to a particular project.

§ 33.2-1506. Exemption from taxation; exemption from Virginia Public Procurement Act.

D. The Bank will be performing an essential governmental function in the exercise of the powers conferred upon it by this article. Accordingly, the Bank shall not be required to pay any taxes or assessments to the Commonwealth or its localities or any political subdivision thereof upon any capital, moneys or any property or upon any operations of the Bank or the income therefrom, or any taxes or assessments upon any project or any property or project obligation acquired by the

Bank under the provisions of this article or upon the income therefrom.

B. The provisions of the Virginia Public Procurement Act (§ 2.2-4300 et seq.) shall not apply to the Bank in the exercise of any power conferred under this article.

§ 33.2-1507. Reporting requirement.

C. No loan or other financial assistance shall be awarded from the Bank until the Secretary of Transportation has provided copies of the management agreement and related criteria and guidelines to the Chairmen of the House Committees on Appropriations, Finance, and Transportation and the Senate Committees on Finance and Transportation.

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B. Within 30 days after each six-month period ending June 30 and December 31, the manager shall provide a report to the Chairmen of the House Committees on Appropriations, Finance, and Transportation and the Senate Committees on Finance and Transportation, which shall include, but not be limited to, the amounts of loans and other financial assistance provided by

the Bank and the projects for which the loans and other financial assistance were provided.

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Appendix B

VTIB Assistance Application

The Commonwealth of Virginia

The

Virginia Transportation

Infrastructure Bank

Assistance Application

Administered by the Commonwealth

Transportation Board

Managed by the Virginia Resources Authority

September 2015

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All applicants must complete Sections 1 and 2. Private Entities and Project Sponsors, where applicable, may reference the location of material contained in their conceptual or detailed proposals submitted as a part of a Public-Private Transportation Act of 1995 (PPTA) project for the same information requested in Sections 3, 4 and 5.

SECTION 1 – Contact Information

Applicant’s Legal Name: _________

Other Names Under Which Applicant Does Business: _____ __________

Federal Tax Identification Number: ______

Business Address: _____________


Mailing Address (If different from above): ______


Contact Person Name: __________

Contact Person Title: __________

Contact Person Mailing Address (If different from above): ___ _______________

Telephone Number: ( )__________

Fax Number: ( )__________

E-mail Address: __________

SECTION 2 – Assistance Requested

Type of Assistance Requested: ( ) Loan ( ) Other – Please specify


Amount of Assistance Requested: $____ Interest Rate Requested: ( ) Standard Rate ( ) Project Based Rate – Please Specify __

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SECTION 3 – Project Information

This section requires narrative information and an exhibit. The list below must be included in the application package with responses attached and numbered to correspond to the respective item.

  1. Project Name. Assign a short name to the project for identification purposes. Identify any Virginia Department of Transportation’s Universal Project Code (UPC) Number(s) assigned to the project.

  2. Location. Describe the location of the project, including major intersecting highway and rail routes. Attach a map as Exhibit 1. Identify and include the town(s), cities (s), county(s) that the project will serve.

  3. Project Development Process. Describe the delivery and procurement methods by which the project will be undertaken. Is this project being developed pursuant to traditional arrangements or through innovative approaches such as state, local or regional design-build provisions or public-private partnerships? Will the project be locally administered or will VDOT be the expected to administer the project?

  4. Purpose of VTIB Assistance. Describe what aspect(s) of the project for which the assistance will be used. Provide a breakdown of the proposed uses of the VTIB assistance.

  5. Project Description. Describe the need for the project, its basic design features and what the project is intended to accomplish. Include an assessment of the current condition of all transportation facilities relating to the project. For a construction project, describe the difference in the current project scope as compared to any approved environmental documents or study alternatives. If no environmental assessments or reviews have been completed on the project, provide an explanation and a schedule outlining the steps to comply with the National Environmental Policy Act. Include a narrative as to how any

studies and analyses to be completed using moneys from the VTIB will advance the development of a transportation project or facility.

  1. Describe how the funds, if provided, will enhance the economic development opportunities for the local area, the region and the Commonwealth in general. The description should include, but not be limited to, the number of jobs created as a result of the project and the amounts of investment that will be committed in the event that the funds are being used for an economic development project. Explain the project’s goals in generating economic benefit for the locality, region or Commonwealth. Does the project meet the minimum criteria established in the Governor’s Opportunity Fund Guidelines?

  2. Describe the local, regional or statewide significance of the project and the benefits that would be achieved with the VTIB financial assistance. Provide any local governmental resolution(s), Planning District Commission or Metropolitan Planning Organization endorsements.

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  1. Project Schedule. Provide a timeline that shows the estimated start and completion dates for each task and element of work to be funded from the VTIB proceeds. Indicate the applicant’s current status with respect to the timeline. Describe the extent to which the VTIB assistance will expedite the schedule or aid in meeting the schedule than would be otherwise feasible. List any other critical path issues.

  2. Permits and Approvals. List all major permits and approvals necessary for construction of the project and the date, or projected date of the applicant’s receipt of such permits and approvals. The list should include permits and approvals required under local, regional, state and federal laws and regulations. Indicate when outstanding approvals by the governing entities are expected. Describe the status of the environmental review documents. Copies of major permits and approvals will be required upon execution of a financing agreement.

  3. Project Work Plan. Provide a project work plan that delineates the technical and financial steps, actions and activities necessary to complete project developmental activities, finalize

construction of the facility or the project, initiate operation and provide adequate maintenance.

  1. Project Compliance Monitoring Plan. Include a comprehensive project compliance monitoring plan that will assure the project sponsor’s ability to deliver the project as planned, fulfill all project commitments and ensure compliance with all terms of the financing agreement, including all applicable regulations and provisions of law.

  2. Maintenance and Operations. Include a description of the maintenance and operations plan for the project. Include projections of maintenance and operations expenses and the source of payment for these expenses.

Remainder of this page intentionally left blank.

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SECTION 4 – Plan of Finance

The following section pertains to the plan of finance for the project. This section also requests narrative information and exhibits. Projects in the developmental stage shall provide as much detailed and specific information as requested in the items below that is known or available at this time. This information should be presented in the form of a conceptual or preliminary plan of finance. Projects that are ready for implementation must provide the information as requested in the items below. This information should be presented in the form of a base case financial plan as follows.

  1. Estimated Project Cost (Uses of Funds). Provide a detailed budget for the project. The budget should include all applicable and anticipated expenses and cost for any and all administrative, engineering and/or technical services, feasibility studies, preliminary engineering and environmental assessments, right-of-way acquisition, vehicle acquisition,

construction, construction administration, project management, project inspection, project or facility maintenance, operation and handback, any contingencies and/or any other categories as may be necessary. All cost estimates should be shown on a year-of-expenditure, cash basis that includes any necessary explanations as to the assumptions used to determine the estimates. Project cost estimates must be current (no more than six months old) and certified by the VDOT project cost estimating system or a nationally recognized firm of consulting engineers for all projects.

  1. Sources of Funds. Provide a table that reflects the amount of funding from each source of funds for the project, including the VTIB financing that will be used to fund the uses identified in Section 4, Item 1. Include, as applicable, federal grants and/or loans, state grants and/or loans, local grants and/or loans, private investment and/or equity contributions, bond proceeds, other borrowings and any other sources of funding that will be used for the project.

In addition, provide in narrative form the following information for each source of funding.

Supplement the narrative with a chart showing the flow of funds.

Description of VTIB Funding:  The entity requesting the loan.  A schedule for the use of the VTIB loan proceeds.  Provide documentation evidencing authorization to commit to loan repayment.  The source of repayment for the VTIB loan; revenue, moral and/or general obligation pledge.  If project revenues are the source of repayment, the priority of repayment of the loan with respect to project revenues.  If non-project revenues are the source of repayment (e.g. general revenues, tax increments, special taxes or special assessments, appropriations, etc.), the priority of repayment of the loan with respect to borrowing entity’s other liabilities.  The security features for the loan, including any pledged revenues and collateral.  Debt service coverage on the loan.

 Whether the source of repayment is contingent on the project’s completion.

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 Whether the source of repayment is subject to future allocations, appropriations and/or governing body approval.  Proposed payment schedule.  Explanation and justification for requesting a Project Based Interest Rate.

Description of other governmental grants

 The specific governmental entity providing the grant.  The timing for receipt of the grant, including the key steps that must occur in order to receive the grant, such as environmental permits, receipt of other funding, resolutions adopted by the entity, budget appropriations, etc. Provide relevant documentation for those steps that have occurred.

 Any known level of commitment associated with the grant.  Requirements that will be imposed by the entity on the use of the grant monies or the project.

Description of other loans, debt or other borrowing

 The lender and legal entity borrowing the money.  The source of repayment for all other debt and the priority of payment relative to other project borrowing.  Provide current revenue estimates for loans to be secured by a pledge of revenue, certified (within six months of the application) by a nationally recognized consulting firm (i.e. traffic and revenue consultant, CPA firm or other acceptable consultant for the type of project) for all projects where revenues will be the main source of repayment for the loan.  Security features for all other debt, including any pledged revenues and collateral  Covenants related to the financial or operational performance of the project, such as coverage levels, and the incurrence of additional debt.

 Structure, including the term, amortization and whether the loan will be fixed or variable rate and expected fixed rate or expected spread to specified index for variable rate debt.  Anticipated credit ratings if funds are to be borrowed through a public debt offering.  Any credit enhancement or other guarantees.  The timing for the borrowing or issuance of debt, including the key steps that must occur. Provide relevant documentation for those steps that have occurred.

Description of equity and private investment

 The entity, or entities, providing the equity or private investment.  The mechanism(s) for how the investor(s) will be repaid, for example from excess cash flow, periodic scheduled payments, lump-sum payment from additional debt incurred in the future, etc.  The expected rate of return and justification for the rate of return.

 Any anticipated revenue sharing with any entity.

Guidelines and Criteria Page 22 September 2016

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 The timing for receipt of the investment, including the key steps that must occur in order to receive the funds. Provide relevant documentation for those steps that have occurred.  Any major conditions or requirements that will be imposed by the investor(s) on the project.

Other Financial Information

 List any ratings the applicant has received from Moody’s, Standard & Poor’s or Fitch Ratings.  Does the applicant have a financial policy in place?  Does the applicant have a multi-year capital improvement plan?

 Is there an existing Master Indenture by which the applicant issues debt?  Are there any service, inter-agency, inter-entity or other such agreements or memoranda of understanding in effect that may affect the anticipated financing?  Has there been any issuance of debt since the date of the applicant’s latest financial statements?  Are there any incidents that have occurred since the date of your last financial statements that would significantly affect revenues pledged to the repayment of the loan or the applicant’s overall financial condition.

  1. Pro Forma Cash Flow. Provide pro forma cash flows, reflecting the flow of funds and showing revenues, all debt repayment, including any loans and grants under the VTIB, maintenance and operations expenses and any payments to equity/private investors. Provide a detailed description of assumptions and justification of the assumptions. Attach any existing independent feasibility studies.

  2. Risks and Mitigation. Identify the risks to the project completion and the sufficiency of revenues to repay the loan. Samples of these types of risk could include cost escalation, timing of approvals and permits, litigation, and availability of other funding. Identify the

mitigation strategies for any acknowledged risks, including any payment and performance guarantees.

  1. Provide year-end audited financial statements for the past five years for the borrower and the parent entity. The financial statements must have been audited by a certified public accountant in accordance with U. S. generally accepted accounting principles and be provided in U. S. dollars.

  2. For applications requesting a Project Based Interest Rate, justify the additional subsidy and detail any project constraints and affordability factors.

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SECTION 5 – Applicant Organization Information

This section requests narrative information and exhibits. The list below should be included in the application package with responses attached and numbered to correspond to the applicable item.

  1. Describe the applicant’s legal framework including past history and ownership structure.

Include a copy of the statutory authority under which the entity was created.

  1. Describe the legal authority of the applicant to carry out the proposed project activities. This description should include discussion of the applicant’s ability to levy taxes, issue debt, charge tolls or other fees and/or receive assistance from the VTIB. Provide documentation in the form of an exhibit as applicable.

  2. Identify whether governmental entities, other than the applicant, must approve the submission of the application package, the funding of activities or the carrying out of activities described in the application. Provide documentation in the form of an exhibit as applicable.

  3. Describe the applicant’s organizational structure and the applicant’s relationship to any subsidiaries or affiliates. Include the legal names of key principals and staff and any recent or proposed changes to the organization structure. If applicant is part of a joint venture, identify all partners and each partner’s relationship to any subsidiaries or affiliates.

  4. Provide an organization chart, in the form of an exhibit, to include the major parties involved in any aspect of the project. Include the major service contractors that have been, or will be, retained for the project.

  5. Describe the applicant’s prior experience as it relates to carrying out projects similar to that being proposed. Include prior experience in relation to the implementation of any new

technology and the success of the use of such technology.

  1. Describe any current, threatened, or pending litigation involving the applicant related to permitting, public involvement, environmental irregularities, construction defects, securities fraud, conflict of interest, failure to perform under a state or federal contract, or other charges which may reflect on the applicant’s financial position or ability to complete the project.

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SECTION 6 – Assurances and Certifications

The undersigned authorized representative of the applicant certifies that the information contained herein and the attached statements and exhibits are true, correct and complete to the best of his or her knowledge and belief. The undersigned also agrees to clarify or supplement information pertaining to this application upon request.

Name: ____________

Title: ____________

Signature: _________

Date: ______

Guidelines and Criteria Page 25 September 2016

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Appendix C

Guidelines and Criteria Page 26 September 2016

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VIRGINIA TRANSPORTATION INFRASTRUCTURE BANK (VTIB)

APPLICATION SCREENING AND SCORING CRITERIA Project Sponsor/Borrower Financial Risk Assessment Criteria

Project Name: ______ Application ID: ______ Date of Review: _______ Reviewer: ________

A Mandatory Screening Questions Yes/No A1 The Applicant Is An Eligible Borrower Or A Project Sponsor As Defined By The Act?

A2 The Project Costs Are Reasonable?

A3 The Project Has Local Support?

A4 The Project Has A Sound Financial Plan With A Reliable Repayment Source?

A5 Does Project Meet A Need Identified In VTRANS 2040 For A CoSS, RN Or UDA?* * CoSS Corridor of Statewide Significance, RN Regional Network, UDA Urban Development Area

B Readiness/Acceleration

B1 Maturity of the Project Point Allocation Criteria Score Study, Design 0 Right‐Of‐Way 1 Construction, Design/Build, Purchase 2

B2 VTIB Investment Impact On The Project Timeline Point Allocation Criteria Score Will Not Be Accelerated 0 Will Be Accelerated By 1 To 5 Years 1 Will Be Accelerated By 5 To 10 Years 2 Will Be Accelerated By More Than 10 Years 3 Can Only Be Completed With VTIB 4 Factors That May Impede Project Implementation Or Point Allocation Criteria Score B3 Completion Significant Factors Identified 0 Factors Identified With Reasonable Plan For Mitigation 1 Or Alternatives None Identified 3

Guidelines and Criteria Page 27 September 2016

[TABLE 28-1] | A | | | Mandatory Screening Questions | | | Yes/No | A1 | | | The Applicant Is An Eligible Borrower Or A Project Sponsor As Defined By The Act? | | | | | A2 | | | The Project Costs Are Reasonable? | | | | | A3 | | | The Project Has Local Support? | | | | | A4 | | | The Project Has A Sound Financial Plan With A Reliable Repayment Source? | | | | | A5 | | | Does Project Meet A Need Identified In VTRANS 2040 For A CoSS, RN Or UDA?* | | | | |

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[TABLE 28-2] | B | | | Readiness/Acceleration | | | | | | | | B1 | | Maturity of the Project | | | Point Allocation | | | Criteria Score | | | | | Study, Design | | | 0 | | | | | | | | Right‐Of‐Way | | | 1 | | | | | | | | Construction, Design/Build, Purchase | | | 2 | | | | |

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[TABLE 28-3] | B2 | | VTIB Investment Impact On The Project Timeline | Point Allocation | Criteria Score | | | Will Not Be Accelerated | 0 | | | | Will Be Accelerated By 1 To 5 Years | 1 | | | | Will Be Accelerated By 5 To 10 Years | 2 | | | | Will Be Accelerated By More Than 10 Years | 3 | | | | Can Only Be Completed With VTIB | 4 |

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[TABLE 28-4] B3 | | | Factors That May Impede Project Implementation Or Completion | Point Allocation | Criteria Score | | | Significant Factors Identified | 0 | | | | Factors Identified With Reasonable Plan For Mitigation Or Alternatives | 1 | | | | None Identified | 3 |

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C Impact On VTIB Lending Capacity Maximum Points Criteria Score

C1 Maturity of the Project Substantially Funded By VTIB 0 (80 ‐ 100% VTIB Funded) VTIB Major Funding Component (50 ‐ 79% VTIB Funded) 1 VTIB Less Than Half 2 (20 ‐ 49% VTIB Funded) VTIB Closes A Funding Gap Of Other Resources 3 (Less Than 20% VTIB Funded) C2 Interest Rate Sought Maximum Points Criteria Score Additional Subsidy 0 Standard Rate 3 C3 Loan Structure ‐ Average Life (years) Maximum Points Criteria Score Greater Than 18 0 12.5 ‐ 18 1 6 ‐ 12.5 2 Less Than 6 3 C4 Potential For Early Repayment Maximum Points Criteria Score Early Repayment Unlikely 0 Base Case Demonstrates Full Repayment Potential 1 Within Five Years Of Final Maturity Base Case Demonstrates Full Repayment Potential More 2 Than Five Years Prior To Final Maturity

Guidelines and Criteria Page 28 September 2016

[TABLE 29-1] | C | | | Impact On VTIB Lending Capacity | | | Maximum Points | | | Criteria Score | | C1 | | Maturity of the Project | | | | | | | | | | | Substantially Funded By VTIB (80 ‐ 100% VTIB Funded) | | | 0 | | | | | | | | VTIB Major Funding Component (50 ‐ 79% VTIB Funded) | | | 1 | | | | | | | | VTIB Less Than Half (20 ‐ 49% VTIB Funded) | | | 2 | | | | | | | | VTIB Closes A Funding Gap Of Other Resources (Less Than 20% VTIB Funded) | | | 3 | | | | |

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[TABLE 29-2] | C2 | | Interest Rate Sought | Maximum Points | Criteria Score | | | Additional Subsidy | 0 | | | | Standard Rate | 3 |

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[TABLE 29-3] | C3 | | Loan Structure ‐ Average Life (years) | Maximum Points | Criteria Score | | | Greater Than 18 | 0 | | | | 12.5 ‐ 18 | 1 | | | | 6 ‐ 12.5 | 2 | | | | Less Than 6 | 3 |

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[TABLE 29-4] | C4 | | Potential For Early Repayment | Maximum Points | Criteria Score | | | Early Repayment Unlikely | 0 | | | | Base Case Demonstrates Full Repayment Potential Within Five Years Of Final Maturity | 1 | | | | Base Case Demonstrates Full Repayment Potential More Than Five Years Prior To Final Maturity | 2 |

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D Benefits Of Project Maximum Points Criteria Score High Medium Low

Safety – Reduce The Number And Rate Of Fatalities And Severe D1 Injuries And Improve The Overall Safety Aspect Of The Project.

Does The Project Have A Direct 2 2 1 0 Transportation Safety Need Does The Project Address The Direct 2 2 1 0 Transportation Safety Need Average Score Congestion – Reduce Person Hours D2 Of Delay And Increase Person Maximum Points Criteria Score High Medium Low Throughput Does The Project Have A 2 2 1 0 Transportation Congestion Need Does The Project Address The 2 2 1 0 Transportation Congestion Need Average Score Economic Development – Support D3 Economic Development And Maximum Points Criteria Score High Medium Low Improve Goods Movement Is There A Need to Support Economic Growth And The 2 2 1 0 Movement Of Good Via This VDOT System Does The Project Provide Support For Economic Growth And The 2 2 1 0 Movement Of Good Via This VDOT System Average Score

Guidelines and Criteria Page 29 September 2016

[TABLE 30-1] | D | | | Benefits Of Project | | | Maximum Points | | | Criteria Score | | | High | | | Medium | | | Low | D1 | | | Safety – Reduce The Number And Rate Of Fatalities And Severe Injuries And Improve The Overall Safety Aspect Of The Project. | | | | | | | | | | | | | | | | | | | | Does The Project Have A Direct Transportation Safety Need | | | 2 | | | | | | 2 | | | 1 | | | 0 | | | | | Does The Project Address The Direct Transportation Safety Need | | | 2 | | | | | | 2 | | | 1 | | | 0 | | | | | Average Score | | | | | | | | | | | | | | | | |

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[TABLE 30-2] D2 | Congestion – Reduce Person Hours Of Delay And Increase Person Throughput | Maximum Points | Criteria Score | | | High | Medium | Low | Does The Project Have A Transportation Congestion Need | 2 | | | | 2 | 1 | 0 | Does The Project Address The Transportation Congestion Need | 2 | | | | 2 | 1 | 0 | Average Score | | | | | | |

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[TABLE 30-3] D3 | Economic Development – Support Economic Development And Improve Goods Movement | Maximum Points | Criteria Score | | | High | Medium | Low | Is There A Need to Support Economic Growth And The Movement Of Good Via This VDOT System | 2 | | | | 2 | 1 | 0 | Does The Project Provide Support For Economic Growth And The Movement Of Good Via This VDOT System | 2 | | | | 2 | 1 | 0 | Average Score | | | | | | |

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Environmental Quality – Improve D4 Air Quality And Avoid Impacts To Maximum Points Criteria Score High Medium Low The Natural Environment Is There A Need To Improve Air Quality And Minimize The Impact Of 2 2 1 0 Transportation On The Natural Environment?

Does This Project Address The Issues Of Air Quality And Improve Or Minimize The Impact Of 2 2 1 0 Transportation On The Natural Environment?

Average Score

Land Use – Support Transportation D5 Efficient Land Development Maximum Points Criteria Score High Medium Low Patterns Is There A Need Within The Project Scope To Improve The Use Of Land 2 2 1 0 For A More Efficient Transportation System?

Does This Project Provide A Better Solution And Improve The Use Of 2 2 1 0 Land For A More Efficient Transportation System?

Average Score

Guidelines and Criteria Page 30 September 2016

[TABLE 31-1] D4 | Environmental Quality – Improve Air Quality And Avoid Impacts To The Natural Environment | Maximum Points | Criteria Score | | | High | Medium | Low | Is There A Need To Improve Air Quality And Minimize The Impact Of Transportation On The Natural Environment? | 2 | | | | 2 | 1 | 0 | Does This Project Address The Issues Of Air Quality And Improve Or Minimize The Impact Of Transportation On The Natural Environment? | 2 | | | | 2 | 1 | 0 | Average Score | | | | | | |

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[TABLE 31-2] D5 | Land Use – Support Transportation Efficient Land Development Patterns | Maximum Points | Criteria Score | | | High | Medium | Low | Is There A Need Within The Project Scope To Improve The Use Of Land For A More Efficient Transportation System? | 2 | | | | 2 | 1 | 0 | Does This Project Provide A Better Solution And Improve The Use Of Land For A More Efficient Transportation System? | 2 | | | | 2 | 1 | 0 | Average Score | | | | | | |

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Total Scores

B Readiness/Acceleration Criteria Score

B1 Maturity Of The Project

B2 Vtib Investment Impact On The Project Timeline B3 Factors That May Impede Project Implementation Or Completion

Readiness/Acceleration Total

C Impact On VTIB Lending Capacity Criteria Score C1 Maturity Of The Project

C2 Interest Rate Sought

C3 Loan Structure ‐ Average Life (Years)

C4 Potential For Early Repayment

Impact On VTIB Lending Capacity Total

D Benefits Of Project Criteria Score

Safety – Reduce The Number And Rate Of Fatalities And Severe Injuries And D1 Improve The Overall Safety Aspect Of The Project.

D2 Congestion – Reduce Person Hours Of Delay And Increase Person Throughput Environmental Quality – Improve Air Quality And Avoid Impacts To The Natural D3 Environment Environmental Quality – Improve Air Quality And Avoid Impacts To The Natural D4 Environment D5 Land Use – Support Transportation Efficient Land Development Patterns Benefits of Project Total

B Readiness/Acceleration Total

C Impact on VTIB lending capacity Total

D Benefits of Project Total

Total Project Score *Maximum Points Allowed: 30

Guidelines and Criteria Page 31 September 2016

[TABLE 32-1] | B | Readiness/Acceleration | Criteria Score B1 | | Maturity Of The Project | B2 | | Vtib Investment Impact On The Project Timeline | B3 | | Factors That May Impede Project Implementation Or Completion | | | Readiness/Acceleration Total |

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[TABLE 32-2] | C | Impact On VTIB Lending Capacity | Criteria Score C1 | | Maturity Of The Project | C2 | | Interest Rate Sought | C3 | | Loan Structure ‐ Average Life (Years) | C4 | | Potential For Early Repayment | | | Impact On VTIB Lending Capacity Total |

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[TABLE 32-3] | D | Benefits Of Project | Criteria Score D1 | | Safety – Reduce The Number And Rate Of Fatalities And Severe Injuries And Improve The Overall Safety Aspect Of The Project. | D2 | | Congestion – Reduce Person Hours Of Delay And Increase Person Throughput | D3 | | Environmental Quality – Improve Air Quality And Avoid Impacts To The Natural Environment | D4 | | Environmental Quality – Improve Air Quality And Avoid Impacts To The Natural Environment | D5 | | Land Use – Support Transportation Efficient Land Development Patterns | | | Benefits of Project Total |

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[TABLE 32-4] B | Readiness/Acceleration Total | | C | Impact on VTIB lending capacity Total | | D | Benefits of Project Total | | | Total Project Score *Maximum Points Allowed: 30 | |

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Guidelines and Criteria Page 32 September 2016

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Guidelines and Criteria Page 33 September 2016

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Appendix D

VTIB Interest Rate Methodology

Standard Rates

Category A Category B Governmental AAA GO MMD of Comparable AAA GO MMD of Maturity Less 50 bps Comparable Maturity Private Entity AAA GO Taxable MMD of AAA GO Taxable MMD of Comparable Maturity Less 50 bps Comparable Maturity Less Current Standard Rates for Indication Purposes Category A Category B Governmental 10yr 1.76% 10yr 2.26% 20yr 2.99% 20yr 3.49%

30yr 3.38% 30yr 3.88% Private Entity 10yr 3.75% 10yr 4.25% 20yr 4.95% 20yr 5.45% 30yr 5.22% 30yr 5.72% As of August 15, 2011

Category: Governmental –  Category A o City, County or Town tax supported; or o Established enterprise system and debt service coverage >1.5x with proposed loan; or o Credit rating in the “BBB” category or above from either Standard & Poor’s, Moody’s, or Fitch  Category B o All others and any type of subordinate pledge Private –  Category A o Established revenue stream and debt service coverage >1.5x with proposed loan; or o Credit rating in the “BBB” category or above from either Standard & Poor’s, Moody’s, or Fitch  Category B o All others and any type of subordinate pledge

Guidelines and Criteria Page 34 September 2016

[TABLE 35-1] | | | | Category A | | Category B | Governmental | Governmental | | | AAA GO MMD of Comparable | | AAA GO MMD of Comparable Maturity | | | | | Maturity Less 50 bps | | | Private Entity | | | | AAA GO Taxable MMD of | | AAA GO Taxable MMD of Comparable Maturity Less | | | | | Comparable Maturity Less 50 bps | | |

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[TABLE 35-2] | | | | Category A | | | | Category B | | | Governmental | Governmental | | | | 10yr 1.76% | | | | 10yr 2.26% | | | | | | | 20yr 2.99% | | | | 20yr 3.49% | | | | | | | 30yr 3.38% | | | | 30yr 3.88% | | Private Entity | | | | | 10yr 3.75% | | | | 10yr 4.25% | | | | | | | 20yr 4.95% | | | | 20yr 5.45% | | | | | | | 30yr 5.22% | | | | 30yr 5.72% | |

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Land Development Inspection & Documentation ManualDoc ID: TMPD-LDIDBPM

Original: 19,288 words
Condensed: 16,966 words
Reduction: 12.0%

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Land Development

Inspection &

Documentation Manual

May 2018

For further information, contact: VDOT Residency and District Office Copyright 2018, Commonwealth of Virginia

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Land Development Inspection & Documentation Manual 2

Table of Contents

Section Page

I. Introduction 3

A. Definitions Section 6 B. Acronyms Section 7

II. Overview of Inspection Options and Requirements 8 C. Options for Inspection and Surety 8 B. Option for Individual Street Acceptance and Extended Surety 10 C. Inspection Oversight 11 D. Inspectors and Technicians Required Certifications 16 E. Retention of Documentation 17 F. Other Requirements 18

III. Required Testing and Inspection Reports and Supporting Documentation 19 G. Utilities and Storm Water Pipes 21 B. Fills and Embankments 24 C. Subgrade 26 D. Aggregate Base and Sub-base Courses 28 E. Asphalt Concrete Pavement 30

F. Asphalt Surface Treatment (Prime and Seal) 32 G. Concrete Structures – Pre-Cast Components 33 H. Concrete Structures – Cast in Place 35 I. Guardrail 37 J. Pavement Marking 38 K. Signalization 40

IV. Project Completion Process 41 L. Phase I – Records Verification 41 B. Phase II – Pre-Final Inspection 41 C. Phase III – Final Inspection 42 D. Phase IV – Data Entry, Fees and Surety Calculation 42 E. Surety Inspection Process 42

Appendix A. Developer Responsibilities and Required Submittals 43

Appendix B. VDOT Responsibilities 44

Appendix C. State Street Acceptance Checklist 45

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Land Development Inspection & Documentation Manual 3

I. Introduction

In 2012, the Virginia Department of Transportation (VDOT) developed its first comprehensive manual that established the inspection and testing documentation required for the construction of non-VDOT streets to be accepted by VDOT for state maintenance or for land use work within the state highway right of way.

This Land Development Inspection Manual should be utilized for development projects

that have not yet held a preconstruction meeting or been issued a VDOT Land Use Permit as of October 1, 2012.

The majority of required inspection and testing policies and procedures are contained within seven documents. These documents are:

  1. VDOT Road and Bridge Specifications
  2. VDOT Road and Bridge Standards
  3. VDOT Materials Division Manual of Instructions (MOI)
  4. VDOT Virginia Test Methods (VTMs)
  5. VDOT Construction Manual
  6. AASHTO: Standard Specifications for Transportation Materials and Methods of Sampling and Testing
  7. ASTM Standards

The level of testing completed and documentation to be submitted to VDOT will depend

upon the street inspection type and the surety option chosen by the developer. These requirements may be modified by VDOT based upon local conditions and the experience of the agency personnel involved. In the event that the developer, the developer’s PE, or the permittee requests that testing, inspection, or documentation be completed which differs from the requirements of this Manual, this request must be discussed and agreed to by VDOT. This request for an alternative to the Manual’s contents must be made and agreed to prior to the initiation of any work directly related to the proposed alternative.

Secondary Street Acceptance Requirements (SSAR)

In 2009, the Commonwealth Transportation Board approved the Secondary Street Acceptance Requirements (SSAR). This regulation was revised in 2011 and has an effective date of December 31, 2011. The SSAR includes the rules that govern the development of streets for acceptance into the state system. All roads accepted into the state secondary highway system are required to be constructed according to VDOT

standards, specifications, and the requirements of the SSAR.

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Land Development Inspection & Documentation Manual 4

Introduction (continued)

One feature included in the SSAR is the option for developers to use third party inspectors to ensure that new roads are constructed in accordance with all applicable VDOT requirements and standards. Experienced developers and third party inspectors should have full knowledge of the aforementioned seven construction and inspection documents. What developers and their engineers may not be aware of is the level of documentation that VDOT requires when new roads are reviewed by third party inspectors.

This Land Development Inspection & Documentation Manual lists the documentation with relation to street construction testing and inspection for streets to be accepted into

the secondary system and for work completed under a VDOT Land Use Permit.

The SSAR offers developers four inspection options, two of which rely on VDOT inspectors. This Manual will be useful to VDOT inspectors in that it lists the testing and documentation for these types of inspections. The four types of inspections included in the SSAR are:

  1. VDOT standard inspection
  2. Third party comprehensive construction inspection
  3. VDOT comprehensive construction inspection
  4. Local government administered inspection program

These inspection options and related documentation requirements presented in this Manual ensure that developer projects meet current VDOT Quality Assurance/Quality Control (QA/QC) program requirements that have been approved by the Federal Highway Administration. The Manual provides for the use of qualified testing laboratories (AASHTO Materials Reference Laboratory [AMRL] and Cement and

Concrete Reference Laboratory [CCRL]), inspectors, and technicians in all testing and inspection procedures. It also ensures the proper documentation of materials used on the project and provides a process through which all parties communicate roles and responsibilities for testing and inspection.

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Land Development Inspection & Documentation Manual 5

Introduction (continued)

This Manual is intended for use by the development community, localities, consultants, and VDOT staff to guide the documentation, inspection and testing associated with construction conducted under a land use permit and the construction of streets intended to be maintained by VDOT. This Manual is not intended to be used in conjunction with VDOT funded construction projects. Guidance with regards to the inspection and testing documentation for VDOT funded projects that are administered by localities can be found in Local Assistance Division’s Locally Administered Projects Manual.

The Land Development Inspection and Documentation Manual Team: Arthur Boyce

Shannon Burks Brian Casella Matthew Clark Mike Doczi Tony Estafanous Lloyd Ingram Lynne Wasz

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Land Development Inspection & Documentation Manual 6

Introduction (continued)

A. Definitions Section

“Certifying Engineer” or “Certifying PE” means the professional engineer that is in responsible charge for the testing and inspection work being conducted.

“Developer” means the party that has initiated the work or hired the various parties carrying out the work of constructing a street to be accepted into the state’s secondary system of highways or conducting some work on the right of way of a state highway under a land use permit. This is generally a private individual or company, but may be a

local government.

“Developer’s Technician” means the certified technician or inspector hired by the developer or contractor to ensure quality control during the construction of a project for the entire project or some specific part of a project.

“Proof roll” means the use of heavy pneumatic tired equipment (i.e. loaded 10-ton tandem dump truck) for testing the subgrade for stability and uniformity of compaction.

A proof roll is considered to have failed if lateral movement, vertical deformation, or pumping of the subgrade occurs.

“Third Party Inspector” or “3rd Party Inspector” means a professional engineer or a certified technician/inspector supervised by a professional engineer who has been hired by the developer to provide a level of testing and inspection on the project equivalent to that for a VDOT project and who has no relationship otherwise with the developer or contractor. Firms that designed a project may be used as providers of third party

inspection services, except in the case where that firm is also the provider of construction services for the project.

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Land Development Inspection & Documentation Manual 7

Introduction (continued)

B. Acronyms Section

AASHTO – American Association of State Highway and Transportation Officials

AMRL – AASHTO Materials Reference Laboratory

ASTM – American Society for Testing and Materials

CBR – California Bearing Ratio

CCRL – Cement and Concrete Reference Laboratory

FHWA – Federal Highway Administration

HDPE – High density polyethylene pipe

MOI – VDOT Materials Division Manual of Instructions

MUTCD – FHWA’s Manual on Uniform Traffic Control Devices

QA/QC – VDOT Quality Assurance/Quality Control

RIMS – VDOT’s Road Inventory Management System which is maintained by the agency’s Maintenance Division

RIMSDACHS – VDOT’s Database for Administering Changes to (VDOT-maintained) Highway Systems which is maintained by the agency’s Office of Land Use

SSAR – Virginia’s Secondary Street Acceptance Requirements

VTM – Virginia Test Methods

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Land Development Inspection & Documentation Manual 8

II. Overview of Inspection Options and Requirements

A. Options for Inspection and Surety

  1. VDOT Standard Inspection (One Year Surety) – Minimal Documentation of Inspection and Testing

VDOT Standard One Year Surety inspections require the use of both VDOT inspectors

and private engineering staff. The cost of VDOT standard inspection is included in the street inspection fee and in land use permit fees. This is also the inspection documentation expected for most in-road land use permit work.

  1. Third Party Comprehensive Construction Inspection (No Surety) – SSAR Developments Only

The developer can exercise the “No Surety” option for secondary street acceptance if all standard inspections and testing are performed and documented by the developer’s third party inspectors. This level of inspection and documentation shall be provided through a third party firm. Inspection and testing that is performed by a third party must be performed under the direction and supervision of a professional engineer (PE) licensed to practice in the Commonwealth, and not otherwise related to the developer or contractor.

Third party inspections can only be used in conjunction with SSAR developments.

With relation to third party inspections, a certification letter shall be submitted to VDOT by the PE of the third party firm, prior to acceptance of the roadway, stating that all inspection and testing performed by non-VDOT personnel demonstrates that the roadway was constructed in accordance with all related VDOT requirements. The documentation will demonstrate that testing and inspections were performed in accordance with the frequencies and guidelines provided in VDOT’s Materials Division Manual of Instructions (MOI), VDOT’s Road and Bridge Specifications (VDOT Road and Bridge Standards), this Land Development Inspection and Documentation Manual, and all other related requirements.

Inspections and testing performed by those other than VDOT personnel, the related documentation shall remain on file with the certifying PE after completion of the project or permit work. All third party inspectors utilized by the developer must have completed the appropriate VDOT training for the work they are to inspect (see Subsection D beginning on page 17 of this Manual for further details regarding training and certification). The majority of these courses can be found at the VDOT Materials

Certification Schools website which is located at: http://www.virginiadot.org/business/matschools.asp

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Land Development Inspection & Documentation Manual 9

Overview of Inspection Options and Requirements Options for Inspection and Surety (continued)

  1. VDOT Comprehensive Construction Inspection – No Surety

A developer may request the VDOT Comprehensive Construction Inspection option for secondary street acceptance, but its use is subject to the availability of VDOT personnel or consultants. This type of inspection is equivalent to that required for third party inspections. When this option is utilized, the developer will bear all inspection costs incurred by VDOT, the surety is waived, and no street inspection fee will be charged.

The standard Administrative Cost Recovery Fee will be charged when the VDOT Comprehensive Construction Inspection is used.

  1. Local Comprehensive Street Construction Inspection (No Surety – Only Fairfax and Prince William Counties as of January 2018)

In those cases where a locality has a VDOT approved, government administered secondary street inspection program, the requirements of that program shall be followed for the inspection and testing of secondary streets intended to be accepted as part of the secondary system of state highways. As of January 2018, Fairfax and Prince William were the only counties which administered local construction inspection programs.

All streets inspected through a local government administered inspection program must be constructed so that they meet all applicable VDOT requirements. All provisions and/or agreements related to this type of construction inspection program must result in

a quality road and the related processes must be equivalent to or greater than the documentation requirements contained within this Land Development Inspection and Documentation Manual.

Developments and related streets which are being constructed within counties that administer an official local street inspection program do NOT have the option of utilizing VDOT or third party inspections. Counties which implement a VDOT approved street construction inspection program enter into an agreement with VDOT regarding the operation of such program.

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Land Development Inspection & Documentation Manual 10

Overview of Inspection Options and Requirements Options for Inspection and Surety

Overview of Inspection Options and Requirements (continued)

B. Option for Individual Street Acceptance and Extended Surety

During the 2010 session, the General Assembly passed and the Governor approved

House Bill 197, which became effective on July 1, 2010. The main impact of this legislation is that VDOT has the ability to require a one year surety (for streets to be accepted under an inspection option that normally does not require a surety) or to require a two year surety (for streets to be accepted under an inspection option that normally requires a one year warranty) for street segments which:

  • Meet the public service minimum requirements, but
  • Are part of a network addition whose other streets do NOT provide minimum public service AND
  • A majority of lots on the subject street remain undeveloped. Under these circumstances, “undeveloped” means that a locally granted Certificate of Occupancy has not yet been approved for the lot and related land use.
  • Under these circumstances, only the subject street segment is accepted into the

system, while the remainder of the network addition is not accepted at this time.

When this additional surety is required, it will be in the amount of $3,000 for each tenth of a lane mile and any portion thereafter. The purpose of the legislation is to allow VDOT to accept roads into the system in spite of the remainder of the network addition not serving the required traffic generators while protecting VDOT from the extra costs such roads may impose as they experience significant land development construction traffic.

The District Administrator’s Designee will determine if such a surety will be required for streets that do not meet the public service requirement currently, but can be expected to in the future. At the time of street acceptance, the developer will provide the Designee with supporting documentation which verifies the number of lots on the street and how many of the lots are developed. The Designee will then determine if such a surety is warranted. This surety can be required for all inspection types.

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Land Development Inspection & Documentation Manual 11

Overview of Inspection Options and Requirements (continued)

C. Inspection Oversight A pre-construction conference should be scheduled by the developer to discuss the required testing, inspections, documentation, and other Department expectations.

Attendance should include the developer, designer, contractor, locality, appropriate VDOT representatives, and the third party inspection\testing firm (if applicable). The

developer’s Project Manager’s (PM) contact information will be provided to VDOT at this meeting and a VDOT contact person will be specified.

Satisfactory materials testing and inspection documentation, consistent with the documents referenced within this Manual and all pertinent VDOT specifications, are the

responsibility of the developer. They are to be coordinated through the developer’s PM.

The PM and his staff shall ensure that all required inspections and testing are properly completed and documented as described in Section III of this Manual. All inspections and tests shall comply with VDOT standards and specifications for testing and materials.

The developer/contractor must follow appropriate testing frequencies, use appropriate sampling procedures, and test methods, and complete a Materials Notebook (TL-142) or other document that provides similar information and that contains the necessary information to enable a reviewer to determine if the appropriate materials and methods were used. All testing and inspection shall be completed under the direction and supervision of a PE licensed in the Commonwealth of Virginia. The level of documentation required to be submitted to VDOT will depend upon the inspection type/surety option chosen by the developer and shall be as specified in this Manual or as may be agreed to by the VDOT contact person.

Links to Testing and Inspection Forms: VDOT Online Forms http://vdotforms.vdot.virginia.gov/

Materials Notebook (TL-142) - Materials Notebook (TL-142) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=TL-142.xls Construction Runoff Control Inspection (C-107) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=C107.pdf

Source of Materials (C-25) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=C-25.pdf

Pile Driving Record (C-1) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=C-1.pdf

Asphalt Concrete Test Results Input form (TL-100A) – See “Section 803.48” at: http://www.virginiadot.org/business/resources/bu-mat-moi-8.pdf http://vdotforms.vdot.virginia.gov/SearchResults.aspx?strFormNumber=TL-100A Report on Job Acceptance Depth Tests (TL-105) – See “Section 803.53” at” http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=TL-105.xls

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Land Development Inspection & Documentation Manual 12

Overview of Inspection Options and Requirements Links to Testing and Inspection Forms (continued)

Report of Nuclear Embankment Densities (TL-124) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=tl-124.doc

Report of Sand Cone Density (TL-125) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=TL125.doc

Statement of Hydraulic Cement Concrete Mix Design (TL-27) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=TL-27.xls

Asphalt Concrete Density Quality Control Test Report – Nuclear (TL-59A) http://vdotforms.vdot.virginia.gov/SearchResults.aspx?filename=415200949TL-59A.doc

References

Testing and Inspection References

  • VDOT Road and Bridge Specifications – http://www.virginiadot.org/business/const/spec-default.asp

  • VDOT Road and Bridge Standards -http://www.virginiadot.org/business/locdes/2008_road_and_bridge_standards.as p

  • VDOT Materials Division Manual of Instructions (MOI) – http://www.virginiadot.org/business/resources/bu-mat-MOI-3.pdf http://www.virginiadot.org/business/materials-download-docs.asp

  • VDOT Virginia Test Methods (VTMs) http://www.virginiadot.org/business/resources/Materials/bu-mat-VTMs.pdf

  • VDOT Construction Manual – http://www.virginiadot.org/business/manuals-default.asp

  • AASHTO: Standard Specifications for Transportation Materials and Methods of Sampling and Testing https://bookstore.transportation.org/item_details.aspx?source=GSA&ID=1597&Ti tle=Standard%20Specifications%20for%20Transportation%20Materials%20and %20Methods%20of%20Sampling%20and%20Testing,%2030th%20Edition%20a nd%20AASHTO%20Provisional%20Standards,%202010%20Edition

  • ASTM Standards http://www.astm.org/Standard/index.shtml

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Land Development Inspection & Documentation Manual 13

Overview of Inspection Options and Requirements – References (continued)

The VDOT references listed immediately below can be found at this website: http://www.virginiadot.org/business/matschools.asp

  • Soils and Aggregate Compaction Certification Study Guide,
  • Asphalt Field Certification Study Guide,
  • Asphalt Checklists,
  • Pavement Marking Certification Study Guide, and

  • Pavement Marking Checklists

  • Guardrail Installation Training Manual -

http://www.virginiadot.org/business/resources/LocDes/2010_GRIT_Manual.pdf

  • Virginia Work Area Protection Manual – http://www.virginiadot.org/business/resources/1-WEBwapmCOVER.pdf

  • Bridge Inspection Manual - http://www.virginiadot.org/business/bridge-manuals.asp

  • Pavement Design Guide for Subdivision and Secondary Streets -http://www.virginiadot.org/VDOT/Business/asset_upload_file427_3638.pdf

  • FHWA’s Manual on Uniform Traffic Control Devices - http://mutcd.fhwa.dot.gov/

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Land Development Inspection & Documentation Manual 14

Overview of Inspection Options and Requirements (continued)

Web Links and Other References

  1. VDOT Materials Certification Schools - The Materials Certification Program is offered by the Materials Division and offers individuals training and certification in the following areas (http://www.virginiadot.org/business/matschools.asp):
  • Aggregate Properties
  • Asphalt Field
  • Asphalt Plant

  • Asphalt Plant Mix Design

  • Central Mix Aggregate Plant
  • Concrete Field
  • Concrete Plant
  • Pavement Marking
  • Slurry Surfacing
  • Soils and Aggregate Compaction
  • Surface Treatment
  1. The Manual of Instructions- Materials Division I -http://www.virginiadot.org/business/resources/Materials/bu-mat-MOI-1.pdf

  2. The Manual of Instructions- Materials Division II -http://www.virginiadot.org/business/resources/Materials/bu-mat-MOI-II.pdf

  3. Chapter III Geotechnical Engineering -http://www.virginiadot.org/business/resources/bu-mat-MOI-3.pdf

  4. Chapter IV – Sampling and Control of Hydraulic Cement Concrete I -http://www.virginiadot.org/business/resources/Materials/bu-mat-MOI-IV.pdf

  5. Chapter V – Sampling and Control of Asphalt Concrete -

http://www.virginiadot.org/business/resources/Materials/bu-mat-MOI-V.pdf

  1. Section 601 – Fundamental Concepts of Pavement Evaluation and Design - http://www.virginiadot.org/business/resources/bu-mat-MOI-
  2. pdf

  3. Chapter VIII – Reports and Forms -http://www.virginiadot.org/business/resources/bu-mat-MOI-8.pdf

[TABLE 14-1]

  • Aggregate Properties
  • Asphalt Field
  • Asphalt Plant
  • Asphalt Plant Mix Design
  • Central Mix Aggregate Plant
  • Concrete Field
  • Concrete Plant
  • Pavement Marking
  • Slurry Surfacing
  • Soils and Aggregate Compaction
  • Surface Treatment

[/TABLE]

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Land Development Inspection & Documentation Manual 15

Overview of Inspection Options and Requirements Web Links and Other References (continued)

  1. Chapter IX – Technical Tables and Related Data -http://www.virginiadot.org/business/resources/bu-mat-MOI-9.pdf

  2. VDOT Materials Memorandum Number MD 299-07 -http://www.virginiadot.org/business/resources/bu-mat-MD299-07.pdf

  3. VDOT On-line Forms - http://www.extranet.vdot.state.va.us/forms/

  4. Materials Division Material Acceptance and Testing -http://www.virginiadot.org/business/resources/bu-mat-MAT.pdf

  5. Materials Division Material Acceptance List -http://www.virginiadot.org/business/resources/bu-mat-QuickReferenceMATERIAL_ACCEPTANCE.pdf

  6. Virginia’s Secondary Street Acceptance Requirements (current regulation) -http://www.virginiadot.org/projects/ssar/

  7. Virginia’s 2005 Subdivision Street Requirements -http://www.virginiadot.org/projects/ssr-rev.asp

  8. Land Use Permit Regulations Guidance Manual -http://www.virginiadot.org/business/resources/Land_Use_Permit_Regu lations_2010/abs/2010_LUPR_Guidance_Manual.pdf

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Land Development Inspection & Documentation Manual 16

Overview of Inspection Options and Requirements (continued)

D. Inspectors and Technicians - Required Certifications

All third party and private sector inspectors utilized by the developer must have completed the appropriate VDOT training or training officially recognized by VDOT for the work they are to test and/or inspect.

Inspectors and technicians performing work within existing and proposed right-of-ways are required to be currently VDOT certified or hold current reciprocal certifications from other recognized mid-Atlantic state Departments of Transportation. Persons interested in reciprocal certification should contact VDOT’s Learning Center and Education

Institute Division at 804-328-3151 for more information. The following lists the primary certification courses:

VDOT Certification Courses

  • Soil and Aggregate Field Compaction
  • Asphalt Field
  • Hydraulic Cement Concrete Field
  • Pavement Marking
  • Flagger Certification
  • Asphalt Plant and Mix Design
  • Concrete Plant

  • Central Mix Aggregate Plant

Additional Certification Courses

  • Certification for Erosion and Sediment Control Inspection
  • Work Zone Traffic Control Training - Intermediate Level (inspectors are expected to have completed a Department approved Work Zone Traffic Control training course at the Intermediate Level)
  • Nuclear Gauge Safety Training (VDOT does not offer Nuclear Safety Training, but accepts any training that meets NRC regulations)

For information regarding available VDOT certification training courses, see VDOT’s Materials Certification Schools website. This site can be found at: http://www.virginiadot.org/business/matschools.asp

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Land Development Inspection & Documentation Manual 17

Overview of Inspection Options and Requirements Inspectors and Technicians - Required Certifications (continued)

Inspectors shall have appropriate equipment on-site, depending upon the construction activities that are underway, such as:

  1. Shovel
  2. Pick
  3. High intensity flashlight
  4. Telescoping mirror
  5. Probe rods
  6. Straight edge (preferred broken 10 foot)
  7. Stick rule (6 foot)
  8. Tape measure (35 foot and 100 foot)
  9. Manhole puller 10. Measuring wheel 11. Distance Measuring Instrument (DMI) 12. Locke level 13. Smart level

  10. Camera/smart phone 15. String line 16. Lockable toolbox 17. Paint wand 18. Thermal gun 19. Asphalt thermometer 20. Other inspection equipment, as appropriate

E. Retention of Documentation

Within this Land Development Inspection and Documentation Manual there are two primary owners of documents related to the materials, testing, and inspection documentation associated with the construction of new streets and work completed under permit within VDOT right-of-way. These two owners are VDOT and the developer’s PE.

In many instances, VDOT either produces inspection related documentation or is provided documentation from the developer’s technician, the third party inspector, or the PE. There are also locations within this Manual in which the developer’s PE is specifically required to retain inspection related documentation within his or her files.

The official retention period for records related to this Manual depends if the documents are related directly to street acceptance or land use permits, because the two categories have different retention periods.

In compliance with VDOT Records Retention Schedules 501-003 and 501-011, street acceptance related documents shall remain on file at VDOT or within the PE’s files for a minimum of five (5) years after the acceptance of newly constructed subdivision streets.

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Land Development Inspection & Documentation Manual 18

Overview of Inspection Options and Requirements (continued)

Records associated with VDOT Land Use Permits must follow VDOT Retention Schedule 501-101 which states that these records must be retained for a minimum of three (3) years after completion or revocation of the related permit.

Regarding the documentation to be retained by the PE, copies of documentation in addition to that minimally required to be submitted in this Manual may be requested by VDOT and shall be provided by the PE.

F. Other Requirements

The developer is responsible for complying with all applicable VDOT standards and specifications as well as all other requirements administered by other state agencies and the federal government.

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Land Development Inspection & Documentation Manual 19

III. Required Testing and Inspection Reports and Supporting Documentation

This section governs the acceptance of secondary roads under all inspection options with the exception of the “Local Comprehensive Street Construction Inspection” which is only currently administered in the counties of Fairfax and Prince William. In addition to applying to new roadways, these requirements are also applicable to improvements of existing secondary roads within VDOT right-of-way performed under permit.

Inspection requirements and supporting documentation for permitted work that is associated with a project that does NOT involve new street acceptance should, at a minimum, meet the inspection and documentation requirements for the appropriate elements of work as outlined for the “one year surety” street inspection option.

If a subdivision or site plan project involves both permit work and street acceptance, the inspection process chosen for the street acceptance and its related documentation requirements shall apply to the associated permit work as well.

Inspection documentation prepared for each day shall include, at a minimum, the following information:

  1. Project identification
  2. Date of work
  3. Inspector name, firm, and contact information (unless provided on cover)
  4. Hours the inspector or technician is on the site
  5. Weather conditions and temperatures

  6. Individuals on-site with their roles or titles (e.g. technician, geotechnical engineer)

  7. Work being performed, where, and by whom
  8. Details of any issues/problems that were addressed with the contractor, who the inspector or technician spoke with and how the issue was corrected.
  9. Attach any and all applicable sketches, testing, and/or inspection forms covering the work accomplished (see related forms, links, and references on pages 12 through 16).

For all inspections and testing designated to be performed by VDOT within the sections below for “one year surety” projects, a 48 hour (at least two business days) advance written notification shall be provided to VDOT unless otherwise specified. This notice may be in the form of a letter, e-mail, or fax to the designated VDOT contact person.

Once written request for inspection has been submitted, should delays be incurred by the contractor related to that request, verbal contact will be acceptable. For inspections conducted by VDOT staff, a daily diary shall be completed and include the information listed above.

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Land Development Inspection & Documentation Manual 20

Required Testing and Inspection Reports and Supporting Documentation (continued)

Delays in construction may be caused by the lack of availability of VDOT inspectors. To avoid delays, the developer may elect to have his inspection or testing firm perform portions of the work described to be performed by VDOT as long as this has been pre-

approved by the agency and VDOT was provided 48-hour (at least two business days) notice. Upon receiving the 48-hour notice, the VDOT inspector will provide notification of availability. At that time, if the VDOT inspector is unavailable and the developer chooses to use his firm, the VDOT inspector shall be notified of this by the developer.

Certification by the third party inspector’s engineer or the developer’s testing firm engineer (as applicable) will be required prior to acceptance of the construction.

The documentation requirements outlined within this Manual are the minimum documentation levels that must be submitted to the appropriate VDOT personnel for verification purposes. It is the testing firm’s licensed professional engineer’s responsibility to ensure that the documentation on file in his office complies with the frequencies required in the Materials Division Manual of Instructions (MOI) and that the results have been deemed acceptable in regards to the tolerances set forth in the applicable specifications. The documentation shall remain on file in his office after the acceptance of newly constructed subdivision streets or completion of a VDOT Land Use Permit for work performed within state maintained right-of-way. This information is in

addition to the level of documentation to be submitted to VDOT. At any time, at the discretion of the appropriate VDOT staff, copies of documentation in addition to that minimally required to be submitted in this Manual may be requested by VDOT and shall be provided.

The required documentation for testing and inspection of the construction categories included within this Manual is in no way to be implied or expressed as a waiver of any requirement of the Materials Division Manual of Instructions, the VDOT Road and Bridge Specifications, the VDOT Road and Bridge Standards, or any other manual referenced in this Manual. This Manual is not intended to provide authority to any outside agency or engineer to waive, dispute, or justify any results that conflict with VDOT minimum specifications and requirements. Any waivers or variances that may be permissible by specification shall remain under the authority of VDOT.

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Land Development Inspection & Documentation Manual 21

Required Testing and Inspection Reports and Supporting Documentation (continued)

The level of documentation listed below is generally the minimum documentation that must be submitted to VDOT based on the inspection option chosen. Any additional testing and inspections required by the references listed on pages 12 through 16 of this Manual shall be performed and on file with the certifying professional engineer. The documentation shall be on standard VDOT forms.

In instances where a construction methodology or material is used which is not directly addressed in the tables below, please contact the specified VDOT contact person who was identified during the pre-construction conference for the documentation that will be required to be submitted to VDOT.

Related to the tables below, there is a column for “one-year surety” inspections and a second column related to both the VDOT comprehensive inspection as well as the third party inspection type.

VDOT Comprehensive Construction Construction Inspection and Third Party Category Activity One-Year Surety Inspection A. Utilities Trenches/ 1. A completed source of 1. A completed source of and Storm Backfill - materials (Form C-25 or materials (Form C-25 or Water Pipes For lines and similar document) shall be similar document) shall be pipes (see retained by the developer retained by the third party “Concrete after street acceptance or inspector after street Structure” permit closure, to be acceptance or permit sections available to VDOT for closure, to be available to beginning on review upon request VDOT for review upon page 33 for request manholes, 2. Submit all documentation 2. Before beginning of inlets, and all to VDOT for review to backfill, the third party other ensure proper testing has inspector shall document structures) been completed. inspection of installed pipe, including line and grade, termini, length, and joint treatment. Document any pipe damage during placement. Document bolt torque on applicable pipes.

  1. Developer’s technician shall 3. Third party inspector shall document inspection of pipe document inspection of joints, bedding, pipe joints, bedding, connections, and lift holes connections, and lift holes

[TABLE 21-1] | | | | | | | | | | VDOT Comprehensive | | Construction | | | Construction | | | | | | Inspection and Third Party | | Category | | | Activity | | | One-Year Surety | | | Inspection | A. Utilities and Storm Water Pipes | | | Trenches/Backfill -For lines and pipes (see “Concrete Structure” sections beginning on page 33 for manholes, inlets, and all other structures) | | | 1. A completed source of materials (Form C-25 or similar document) shall be retained by the developer after street acceptance or permit closure, to be available to VDOT for review upon request | | | 1. A completed source of materials (Form C-25 or similar document) shall be retained by the third party inspector after street acceptance or permit closure, to be available to VDOT for review upon request | | | | | | | | 2. Submit all documentation to VDOT for review to ensure proper testing has been completed. | | | 2. Before beginning of backfill, the third party inspector shall document inspection of installed pipe, including line and grade, termini, length, and joint treatment. Document any pipe damage during placement. Document bolt torque on applicable pipes. | | | | | | | | 3. Developer’s technician shall document inspection of pipe joints, bedding, connections, and lift holes | | | 3. Third party inspector shall document inspection of pipe joints, bedding, connections, and lift holes | |

[/TABLE]

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Land Development Inspection & Documentation Manual 22

VDOT Comprehensive Construction Construction Inspection and Third Party Category Activity One-Year Surety Inspection A. Utilities Trenches/ 4. Testing and 4. Testing and and Storm Backfill - documentation shall be documentation shall be Water Pipes For lines and performed by the performed by the third (continued) pipes (see developer’s technician party inspector and “Concrete and conform with the conform with the Structure” requirements outlined in requirements outlined in sections the MOI, Road and the MOI, Road and beginning on Bridge Standards, Road Bridge Standards, Road page 33 for and Bridge and Bridge manholes, Specifications, and other Specifications, and other inlets, and all relevant VDOT standards relevant VDOT other and specifications. All standards and structures) reports shall be specifications. All submitted to VDOT prior reports shall be to the proof roll. submitted to VDOT prior to the proof roll.

  1. Detailed information shall 5. Detailed information shall be provided to VDOT by be provided to VDOT by the the developer’s third party inspector technician including the including the structure structure numbers, numbers, stations, pipe run, stations, pipe run, length, size, class of pipe, length, size, class of methods of installation and pipe, methods of backfill backfilling such as installation such as equipment used for equipment used for compaction, lift thickness of compaction, lift backfill, condition of thickness of backfill, materials, bedding type and condition of materials, thickness, condition of pipe bedding type and joints, adequacy of thickness, condition of connections, lift holes, pipe joints, adequacy of proper placement of joint connections, lift holes, materials and total amount of proper placement of backfill placed. Ensure joint materials and total inverts are poured in all amount of backfill structures and drop inlets placed. (DI)

[TABLE 22-1] | | | | | | | | | | VDOT Comprehensive | | Construction | | | Construction | | | | | | Inspection and Third Party | | Category | | | Activity | | | One-Year Surety | | | Inspection | A. Utilities and Storm Water Pipes (continued) | | | Trenches/Backfill -For lines and pipes (see “Concrete Structure” sections beginning on page 33 for manholes, inlets, and all other structures) | | | 4. Testing and documentation shall be performed by the developer’s technician and conform with the requirements outlined in the MOI, Road and Bridge Standards, Road and Bridge Specifications, and other relevant VDOT standards and specifications. All reports shall be submitted to VDOT prior to the proof roll. | | | 4. Testing and documentation shall be performed by the third party inspector and conform with the requirements outlined in the MOI, Road and Bridge Standards, Road and Bridge Specifications, and other relevant VDOT standards and specifications. All reports shall be submitted to VDOT prior to the proof roll. | | | | | | | | 5. Detailed information shall be provided to VDOT by the developer’s technician including the structure numbers, stations, pipe run, length, size, class of pipe, methods of backfill installation such as equipment used for compaction, lift thickness of backfill, condition of materials, bedding type and thickness, condition of pipe joints, adequacy of connections, lift holes, proper placement of joint materials and total amount of backfill placed. | | | 5. Detailed information shall be provided to VDOT by the third party inspector including the structure numbers, stations, pipe run, length, size, class of pipe, methods of installation and backfilling such as equipment used for compaction, lift thickness of backfill, condition of materials, bedding type and thickness, condition of pipe joints, adequacy of connections, lift holes, proper placement of joint materials and total amount of backfill placed. Ensure inverts are poured in all structures and drop inlets

(DI) | |

[/TABLE]

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Land Development Inspection & Documentation Manual 23

VDOT Comprehensive Construction Construction Inspection and Third Party Category Activity One-Year Surety Inspection A. Utilities Trenches/ 6. Video recording prior to 6. Video recording prior to and Storm Backfill - asphalt placement shall asphalt placement shall be Water Pipes For lines and be completed by the completed by the third party (continued) pipes (see developer’s technician inspector for underdrains, “Concrete for underdrains, cross cross drains, and storm Structure” drains, and storm drains. The video shall be sections drains. The video shall of a clear and beginning on be of a clear and comprehensive quality for page 33 for comprehensive quality VDOT to observe and manholes, for VDOT to observe review (VTM-123). inlets, and all and review (VTM-123). other structures)

[TABLE 23-1] | | | | | | | | | | VDOT Comprehensive | | Construction | | | Construction | | | | | | Inspection and Third Party | | Category | | | Activity | | | One-Year Surety | | | Inspection | A. Utilities and Storm Water Pipes (continued) | | | Trenches/Backfill -For lines and pipes (see “Concrete Structure” sections beginning on page 33 for manholes, inlets, and all other structures) | | | 6. Video recording prior to asphalt placement shall be completed by the developer’s technician for underdrains, cross drains, and storm drains. The video shall be of a clear and comprehensive quality for VDOT to observe and review (VTM-123). | | | 6. Video recording prior to asphalt placement shall be completed by the third party inspector for underdrains, cross drains, and storm drains. The video shall be of a clear and comprehensive quality for VDOT to observe and review (VTM-123). | |

[/TABLE]

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Land Development Inspection & Documentation Manual 24

Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection B. Fills and 1. This portion of documentation is 1. CBRs for any fill materials shall Embankments not required to be submitted to be submitted to VDOT by the VDOT under this inspection developer’s certifying engineer option. While the inspection prior to use of materials and the tasks listed to the right are third party inspector shall ensure required, it is not necessary to material has been tested and submit supporting approved and shall retain documentation to VDOT unless documentation of such it is specifically requested.

  1. Existing grade shall be inspected 2. Existing grade shall be inspected by VDOT/ developer’s by VDOT/ third party inspector technician prior to prior to commencement of fill commencement of fill operations. Documentation for operations. Documentation for complete removal of root mat and complete removal of root mat deleterious materials prior to fill and deleterious materials prior to placement. Documentation to be fill placement. Documentation submitted to VDOT by the to be submitted to VDOT by the appropriate person. appropriate person.
  2. Documentation of compaction 3. Moisture and density testing and moisture tests per the MOI documentation to be provided by and Road and Bridge the third party inspector shall be Specifications. Minimum in accordance with the moisture and density testing requirements outlined in the MOI, documentation to be provided to Road and Bridge Standards, VDOT by the developer’s Road and Bridge Specifications, technician at the rates indicated and other relevant VDOT in the MOI and within standards and specifications. requirements set forth in the Road and Bridge Standards and Specifications. This documentation must be provided to VDOT prior to proof roll and subgrade test.
  • Developer’s technician/inspector may be used for these inspections with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative.

[TABLE 24-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | B. Fills and Embankments | | | 1. This portion of documentation is not required to be submitted to VDOT under this inspection option. While the inspection tasks listed to the right are required, it is not necessary to submit supporting documentation to VDOT unless it is specifically requested. | | | 1. CBRs for any fill materials shall be submitted to VDOT by the developer’s certifying engineer prior to use of materials and the third party inspector shall ensure material has been tested and approved and shall retain documentation of such | | | | | 2. Existing grade shall be inspected by VDOT/ developer’s technician prior to commencement of fill operations. Documentation for complete removal of root mat and deleterious materials prior to fill placement. Documentation to be submitted to VDOT by the appropriate person. | | | 2. Existing grade shall be inspected by VDOT/ third party inspector prior to commencement of fill operations. Documentation for complete removal of root mat and deleterious materials prior to fill placement. Documentation to be submitted to VDOT by the appropriate person. | | | | | 3. Documentation of compaction and moisture tests per the MOI and Road and Bridge Specifications. Minimum moisture and density testing documentation to be provided to VDOT by the developer’s technician at the rates indicated in the MOI and within requirements set forth in the Road and Bridge Standards and Specifications. This documentation must be provided to VDOT prior to proof roll and subgrade test. | | | 3. Moisture and density testing documentation to be provided by the third party inspector shall be in accordance with the requirements outlined in the MOI, Road and Bridge Standards, Road and Bridge Specifications, and other relevant VDOT standards and specifications. | |

[/TABLE]

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Land Development Inspection & Documentation Manual 25

Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection B. Fills and 4. Submit all documentation to 4. The third party inspector shall Embankments VDOT for review and approval to ensure that all testing of fill is (continued) ensure testing has been completed staggered to cover the full length, and quality assurance width and depth of the fill and embankment per MOI. The third party inspector shall document lift depths and provide total depth of fill placement.

  1. Submit all documentation to 5. Third party inspector shall perform VDOT for review and approval to and document checks of line and ensure testing has been completed grade, slope ratio, and slope and quality assurance texture.

  2. Submit all documentation to 6. Third party inspector, before VDOT for review and approval to beginning subbase or base operation ensure testing has been completed (also stabilization treatment or and quality assurance placement of select material), shall perform and document density tests and line and grade checks.

  3. Developer’s technician shall 7. Third party inspector shall record record information regarding test information regarding test and and inspection locations by inspection locations by street name street name AND station AND station number, total depth of number, total depth of compacted material placed on this compacted material placed on date, and methods of fill installation this date, and methods of fill such as equipment used for installation such as equipment compaction, lift thickness of fill, used for compaction, lift condition of materials and total thickness of fill, condition of amount of backfill placed, and materials and total amount of submit such information to VDOT backfill placed, and submit such prior to proof roll. information to VDOT prior to proof roll.

[TABLE 25-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | B. Fills and Embankments (continued) | | | 4. Submit all documentation to VDOT for review and approval to ensure testing has been completed and quality assurance | | | 4. The third party inspector shall ensure that all testing of fill is staggered to cover the full length, width and depth of the fill and embankment per MOI. The third party inspector shall document lift depths and provide total depth of fill placement. | | | | | 5.Submit all documentation to VDOT for review and approval to ensure testing has been completed and quality assurance | | | 5. Third party inspector shall perform and document checks of line and grade, slope ratio, and slope texture. | | | | | 6.Submit all documentation to VDOT for review and approval to ensure testing has been completed and quality assurance | | | 6. Third party inspector, before beginning subbase or base operation (also stabilization treatment or placement of select material), shall perform and document density tests and line and grade checks. | | | | | 7. Developer’s technician shall record information regarding test and inspection locations by street name AND station number, total depth of compacted material placed on this date, and methods of fill installation such as equipment used for compaction, lift thickness of fill, condition of materials and total amount of backfill placed, and submit such information to VDOT prior to proof roll. | | | 7. Third party inspector shall record information regarding test and inspection locations by street name AND station number, total depth of compacted material placed on this date, and methods of fill installation such as equipment used for compaction, lift thickness of fill, condition of materials and total amount of backfill placed, and submit such information to VDOT prior to proof roll. | |

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Land Development Inspection & Documentation Manual 26

Construction VDOT Comprehensive Inspection and Category One-Year Surety Third Party Inspection C. Subgrade 1. VDOT inspector shall verify that all 1. VDOT inspector shall verify that all utility and fill documentation has been utility and fill documentation has been submitted and meets the submitted and meets the requirements of this Manual prior to requirements of this Manual prior to the proof roll. Results of the VDOT the proof roll. Results of the VDOT verification shall be submitted, in verification shall be submitted, in writing, to the developer. writing, to the developer.

  1. Developer’s technician shall verify 2. Third party inspector shall verify that that all CBR, soil stabilization and all CBR, soil stabilization and pavement design data has been pavement design data has been submitted to VDOT prior to proof roll submitted to VDOT prior to proof roll and approved. and approved.

  2. Inspector, before beginning subbase 3. Third party inspector, before beginning or base operation (also stabilization subbase or base operation (also treatment or placement of select stabilization treatment or placement of material), shall perform and document select material), shall perform and density tests and line and grade document density tests and line and checks. grade checks.

  3. Moisture and density testing 4. Moisture and density testing documentation shall be per MOI documentation shall be per MOI requirements and shall be documented by requirements and shall be the third party inspector and submitted to documented by the third party VDOT prior to placement of any base inspector and submitted to VDOT stone courses. Subgrade density testing prior to placement of any base stone will also be completed the same day. courses. Subgrade density testing will also be completed the same day.

  4. Proof roll and density tests shall be 5. Proof roll and density tests shall be performed by the developer’s technician performed by the third party inspector with the VDOT inspector present and with the VDOT inspector present and results shall be recorded and submitted to results shall be recorded and VDOT by the developer’s technician prior submitted to VDOT by the third party to placement of any subbase or base inspector prior to placement of any course subbase or base course

[TABLE 26-1] | Construction | | | | | | VDOT Comprehensive Inspection and | | Category | | | One-Year Surety | | | Third Party Inspection | C. Subgrade | | | 1. VDOT inspector shall verify that all utility and fill documentation has been submitted and meets the requirements of this Manual prior to the proof roll. Results of the VDOT verification shall be submitted, in writing, to the developer. | | | 1. VDOT inspector shall verify that all utility and fill documentation has been submitted and meets the requirements of this Manual prior to the proof roll. Results of the VDOT verification shall be submitted, in writing, to the developer. | | | | | 2. Developer’s technician shall verify that all CBR, soil stabilization and pavement design data has been submitted to VDOT prior to proof roll and approved. | | | 2. Third party inspector shall verify that all CBR, soil stabilization and pavement design data has been submitted to VDOT prior to proof roll and approved. | | | | | 3. Inspector, before beginning subbase or base operation (also stabilization treatment or placement of select material), shall perform and document density tests and line and grade checks. | | | 3. Third party inspector, before beginning subbase or base operation (also stabilization treatment or placement of select material), shall perform and document density tests and line and grade checks. | | | | | 4. Moisture and density testing documentation shall be per MOI requirements and shall be documented by the third party inspector and submitted to VDOT prior to placement of any base stone courses. Subgrade density testing will also be completed the same day. | | | 4. Moisture and density testing documentation shall be per MOI requirements and shall be documented by the third party inspector and submitted to VDOT prior to placement of any base stone courses. Subgrade density testing will also be completed the same day. | | | | | 5. Proof roll and density tests shall be performed by the developer’s technician with the VDOT inspector present and results shall be recorded and submitted to VDOT by the developer’s technician prior to placement of any subbase or base course | | | 5. Proof roll and density tests shall be performed by the third party inspector with the VDOT inspector present and results shall be recorded and submitted to VDOT by the third party inspector prior to placement of any subbase or base course | |

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Land Development Inspection & Documentation Manual 27

  1. Developer’s technician shall provide 6. Third party inspector shall provide detailed information to VDOT prior to the detailed information to VDOT prior to placement of any asphalt course the placement of any asphalt course regarding street names and stations proof regarding street names and stations rolled, equipment used, the locations and proof rolled, equipment used, the descriptions of any deficiencies, names of locations and descriptions of any all parties present during proof roll, and deficiencies, names of all parties detailed accounts of deficiencies, present during proof roll, and recommendations, and corrective actions detailed accounts of deficiencies, taken. recommendations, and corrective actions taken.
  2. Stringline Verification – If all layers of 7. Stringline Verification – If all layers of the pavement structure are string lined the pavement structure are string with VDOT present, no asphalt depth lined with VDOT present, no asphalt cores will generally be required. Results depth cores will generally be shall be recorded by VDOT required. Results shall be recorded representatives. by VDOT representatives. * Developer’s technician/inspector may be used for these inspections with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative. ** Proof roll may be conducted without the VDOT inspector present with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative.

[TABLE 27-1] | 6.Developer’s technician shall provide detailed information to VDOT prior to the placement of any asphalt course regarding street names and stations proof rolled, equipment used, the locations and descriptions of any deficiencies, names of all parties present during proof roll, and detailed accounts of deficiencies, recommendations, and corrective actions taken. | 6. Third party inspector shall provide detailed information to VDOT prior to the placement of any asphalt course regarding street names and stations proof rolled, equipment used, the locations and descriptions of any deficiencies, names of all parties present during proof roll, and detailed accounts of deficiencies, recommendations, and corrective actions taken. | 7. Stringline Verification – If all layers of the pavement structure are string lined with VDOT present, no asphalt depth cores will generally be required. Results shall be recorded by VDOT representatives. | 7. Stringline Verification – If all layers of the pavement structure are string lined with VDOT present, no asphalt depth cores will generally be required. Results shall be recorded by VDOT representatives.

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Land Development Inspection & Documentation Manual 28

Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection D. Aggregate 1. Developer’s technician shall verify 1. Third party inspector shall verify Base and and document final depth checks, and document final stone depth Sub-base line and grade verification before checks, line and grade verification Course placing subsequent layers of before placing subsequent layers of material asphalt material courses

  1. Moisture and density testing 2. Moisture and density testing documentation shall be per MOI documentation shall be per MOI requirements and shall be requirements and shall be documented by the third party documented by the third party testing firm and submitted to VDOT testing firm and submitted to prior to placement of any asphalt VDOT prior to placement of any courses asphalt courses
  2. Stone density and roller patterns 3. Stone density and roller patterns shall be performed by the shall be performed by the third developer’s technician with the party inspector with the VDOT VDOT inspector present and inspector present and results shall results shall be recorded and be recorded and submitted to submitted to VDOT by the VDOT by the third party inspector developer’s technician prior to prior to placement of any asphalt placement of any asphalt course. course.

  3. The results from the roller pattern 4. The results from the roller pattern and control strip per appropriate and control strip per appropriate VTM testing shall be submitted to VTM testing shall be submitted to VDOT prior to placement of any VDOT prior to placement of any asphalt course. asphalt course.

  4. Third party inspector shall check 5. Third party inspector shall check and and document that proper curing document that proper curing procedures are being followed and procedures are being followed and are are adequate for anticipated adequate for anticipated conditions conditions and materials (such as and materials (such as cement treated cement treated aggregate). Mix aggregate). Mix design and rate to be design and rate to be reviewed and reviewed and approved alone with approved alone with method of method of getting mix to proper depth getting mix to proper depth and and proper equipment will be used for proper equipment will be used for CTA.

CTA.

  • Developer’s technician/inspector may be used for these inspections with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative. ** Proof roll may be conducted without the VDOT inspector present with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative.

[TABLE 28-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | D. Aggregate Base and Sub-base Course | | | 1. Developer’s technician shall verify and document final depth checks, line and grade verification before placing subsequent layers of material | | | 1. Third party inspector shall verify and document final stone depth checks, line and grade verification before placing subsequent layers of asphalt material courses | | | | | 2. Moisture and density testing documentation shall be per MOI requirements and shall be documented by the third party testing firm and submitted to VDOT prior to placement of any asphalt courses | | | 2. Moisture and density testing documentation shall be per MOI requirements and shall be documented by the third party testing firm and submitted to VDOT prior to placement of any asphalt courses | | | | | 3. Stone density and roller patterns shall be performed by the developer’s technician with the VDOT inspector present and results shall be recorded and submitted to VDOT by the developer’s technician prior to placement of any asphalt course. | | | 3. Stone density and roller patterns shall be performed by the third party inspector with the VDOT inspector present and results shall be recorded and submitted to VDOT by the third party inspector prior to placement of any asphalt course. | | | | | 4. The results from the roller pattern and control strip per appropriate VTM testing shall be submitted to VDOT prior to placement of any asphalt course. | | | 4. The results from the roller pattern and control strip per appropriate VTM testing shall be submitted to VDOT prior to placement of any asphalt course. | | | | | 5. Third party inspector shall check and document that proper curing procedures are being followed and are adequate for anticipated conditions and materials (such as cement treated aggregate). Mix design and rate to be reviewed and approved alone with method of getting mix to proper depth and proper equipment will be used for CTA. | | | 5. Third party inspector shall check and document that proper curing procedures are being followed and are adequate for anticipated conditions and materials (such as cement treated aggregate). Mix design and rate to be reviewed and approved alone with method of getting mix to proper depth and proper equipment will be used for

CTA. | |

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Land Development Inspection & Documentation Manual 29

Construction VDOT Comprehensive Inspection and Category One-Year Surety Third Party Inspection D. Aggregate 6. Developer’s technician shall provide 6. Third party inspector shall provide Base and detailed information to VDOT prior to detailed information to VDOT prior Sub-base the placement of any asphalt course to the placement of any asphalt Course regarding locations and stations tested , course regarding locations and (continued) equipment used, results of depth stations tested , equipment used, checks, the locations and descriptions results of depth checks, the of any deficiencies, names of all parties locations and descriptions of any present during roller pattern density deficiencies, names of all parties test, and detailed accounts of any present during roller pattern density deficiencies, recommendations, and test , and detailed accounts of any any corrective actions taken. deficiencies, recommendations, and any corrective actions taken.

  1. Stringline Verification – If all layers 7. Stringline Verification – If all layers of of the pavement structure are string the pavement structure are string lined lined with VDOT present, no asphalt with VDOT present, no asphalt depth depth cores will generally be cores will generally be required. Results required. Results shall be recorded shall be recorded by VDOT by VDOT representatives. representatives.
  • Developer’s technician/inspector may be used for these inspections with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative. ** Proof roll may be conducted without the VDOT inspector present with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative.

[TABLE 29-1] | Construction | | | | | | VDOT Comprehensive Inspection and | | Category | | | One-Year Surety | | | Third Party Inspection | D. Aggregate Base and Sub-base Course (continued) | | | 6. Developer’s technician shall provide detailed information to VDOT prior to the placement of any asphalt course regarding locations and stations tested , equipment used, results of depth checks, the locations and descriptions of any deficiencies, names of all parties present during roller pattern density test, and detailed accounts of any deficiencies, recommendations, and any corrective actions taken. | | | 6. Third party inspector shall provide detailed information to VDOT prior to the placement of any asphalt course regarding locations and stations tested , equipment used, results of depth checks, the locations and descriptions of any deficiencies, names of all parties present during roller pattern density test , and detailed accounts of any deficiencies, recommendations, and any corrective actions taken. | | | | | 7. Stringline Verification – If all layers of the pavement structure are string lined with VDOT present, no asphalt depth cores will generally be required. Results shall be recorded by VDOT representatives. | | | 7. Stringline Verification – If all layers of the pavement structure are string lined with VDOT present, no asphalt depth cores will generally be required. Results shall be recorded by VDOT representatives. | |

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Land Development Inspection & Documentation Manual 30

Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection E. Asphalt 1. A VDOT approved mix design for the 1. A VDOT approved mix design for Concrete current paving year signed by the the current paving year signed by Pavement VDOT Materials shall be retained by VDOT Materials shall be retained the Developer’s technician and by the third party inspectors and submitted by the Developer to VDOT submitted by the Developer to prior to asphalt placement or permit VDOT prior to asphalt placement closure or permit closure.

  1. Density testing shall be in 2. Density testing shall be performed accordance with applicable in accordance with applicable standards, specification and standards, specification and frequencies provided per MOI frequencies provided per MOI requirements and submitted to VDOT requirements and shall be biweekly or as agreed upon at the documented by the third party preconstruction meeting. Submit all inspector and submitted to VDOT documentation to VDOT for review prior to street acceptance. and approval to ensure proper testing has been completed, testing coverage and quality assurance.
  2. Before each day's operation, the 3. Before each day's operation, the developer’s technician shall check developer’s technician shall check and and document grade, density, and document grade, density, and existing existing surface and review all milled surface and review all milled areas for areas for cleanliness prior to cleanliness prior to placement of tack placement of tack material. Submit all material. Documentation shall be documentation to VDOT for review submitted prior to street acceptance. and approval to ensure proper testing has been completed, testing coverage and quality assurance.
  3. The developer’s technician shall 4. The third party inspector shall oversee and document establishment of oversee and document a roller pattern and density control strip establishment of a roller pattern to establish compaction criteria. Submit and density control strip to all documentation to VDOT for review establish compaction criteria and and approval to ensure proper testing retain findings after street has been completed, testing coverage acceptance to be available to and quality assurance. VDOT for review upon request.
  4. The developer’s technician shall check 5.The third party inspector shall check and document surface and edge vertical and document surface and edge and lateral deviation of each layer by vertical and lateral deviation of each straight edge and centerline overlap and layer by straight edge and centerline density testing for this area. Submit all overlap and density testing for this documentation to VDOT for review and area. approval to ensure proper testing has been completed, testing coverage and quality assurance.

[TABLE 30-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | E. Asphalt Concrete Pavement | | | 1. A VDOT approved mix design for the current paving year signed by the VDOT Materials shall be retained by the Developer’s technician and submitted by the Developer to VDOT prior to asphalt placement or permit closure | | | 1. A VDOT approved mix design for the current paving year signed by VDOT Materials shall be retained by the third party inspectors and submitted by the Developer to VDOT prior to asphalt placement or permit closure. | | | | | 2. Density testing shall be in accordance with applicable standards, specification and frequencies provided per MOI requirements and submitted to VDOT biweekly or as agreed upon at the preconstruction meeting. Submit all documentation to VDOT for review and approval to ensure proper testing has been completed, testing coverage and quality assurance. | | | 2. Density testing shall be performed in accordance with applicable standards, specification and frequencies provided per MOI requirements and shall be documented by the third party inspector and submitted to VDOT prior to street acceptance. | | | | | 3. Before each day's operation, the developer’s technician shall check and document grade, density, and existing surface and review all milled areas for cleanliness prior to placement of tack material. Submit all documentation to VDOT for review and approval to ensure proper testing has been completed, testing coverage and quality assurance. | | | 3. Before each day's operation, the developer’s technician shall check and document grade, density, and existing surface and review all milled areas for cleanliness prior to placement of tack material. Documentation shall be submitted prior to street acceptance. | | | | | 4. The developer’s technician shall oversee and document establishment of a roller pattern and density control strip to establish compaction criteria. Submit all documentation to VDOT for review and approval to ensure proper testing has been completed, testing coverage and quality assurance. | | | 4. The third party inspector shall oversee and document establishment of a roller pattern and density control strip to establish compaction criteria and retain findings after street acceptance to be available to VDOT for review upon request. | | | | | 5.The developer’s technician shall check and document surface and edge vertical and lateral deviation of each layer by straight edge and centerline overlap and density testing for this area. Submit all documentation to VDOT for review and approval to ensure proper testing has been completed, testing coverage and quality assurance. | | | 5.The third party inspector shall check and document surface and edge vertical and lateral deviation of each layer by straight edge and centerline overlap and density testing for this area. | |

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Land Development Inspection & Documentation Manual 31

Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection E. Asphalt 6.The developer’s technician shall 6.The third party inspector shall Concrete confirm rolling procedures determined by confirm rolling procedures determined Pavement the density control strip are being by the density control strip are being (continued) maintained. Third party inspector shall maintained. Third party inspector shall also check temperature of mat to confirm also check temperature of mat to that density is being obtained before mat confirm that density is being obtained cools and document same to VDOT. before mat cools and document same to VDOT.

  1. Developer’s technician shall obtain all 7. The third party inspector shall testing forms and printouts from the obtain all testing forms and asphalt technician at the end of every printouts from the asphalt workday and submit to VDOT. technician at the end of every workday and submit to VDOT.
  2. The developer’s technician shall 8. The third party inspector shall provide VDOT with detailed information provide VDOT with detailed regarding the street names and stations information regarding the street of asphalt placement, equipment used, names and stations of asphalt acceptability of the placement of the tack placement, equipment used, coat, recorded base temperatures, and acceptability of the placement of recorded asphalt lay down temperatures. the tack coat, recorded base temperatures, and recorded asphalt lay down temperatures.
  3. Asphalt coring for depth verification 9. Asphalt coring for depth verification shall be performed by the shall be performed by the third developer’s technician* with the party inspector and results shall be VDOT inspector present and results recorded and submitted to VDOT. shall be recorded and submitted to Any recommendations for VDOT. Any recommendations for necessary corrective measures necessary corrective measures shall be submitted by the certifying shall be submitted by the certifying professional engineer. professional engineer. (also see item D, 7 “aggregate base and sub-base course”) * Developer’s technician/inspector may be used for these inspections with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative.

[TABLE 31-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | E. Asphalt Concrete Pavement (continued) | | | 6.The developer’s technician shall confirm rolling procedures determined by the density control strip are being maintained. Third party inspector shall also check temperature of mat to confirm that density is being obtained before mat cools and document same to VDOT. | | | 6.The third party inspector shall confirm rolling procedures determined by the density control strip are being maintained. Third party inspector shall also check temperature of mat to confirm that density is being obtained before mat cools and document same to VDOT. | | | | | 7.Developer’s technician shall obtain all testing forms and printouts from the asphalt technician at the end of every workday and submit to VDOT. | | | 7. The third party inspector shall obtain all testing forms and printouts from the asphalt technician at the end of every workday and submit to VDOT. | | | | | 8.The developer’s technician shall provide VDOT with detailed information regarding the street names and stations of asphalt placement, equipment used, acceptability of the placement of the tack coat, recorded base temperatures, and recorded asphalt lay down temperatures. | | | 8. The third party inspector shall provide VDOT with detailed information regarding the street names and stations of asphalt placement, equipment used, acceptability of the placement of the tack coat, recorded base temperatures, and recorded asphalt lay down temperatures. | | | | | 9. Asphalt coring for depth verification shall be performed by the developer’s technician* with the VDOT inspector present and results shall be recorded and submitted to VDOT. Any recommendations for necessary corrective measures shall be submitted by the certifying professional engineer. (also see item D, 7 “aggregate base and sub-base course”) | | | 9. Asphalt coring for depth verification shall be performed by the third party inspector and results shall be recorded and submitted to VDOT.

Any recommendations for necessary corrective measures shall be submitted by the certifying professional engineer. | |

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Land Development Inspection & Documentation Manual 32

Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection F. Asphalt 1. The developer’s technician shall 1. The third party inspector shall Surface perform a test per VTM and MOI perform a test per VTM and MOI Treatment for application rate of the asphalt for application rate of the asphalt (Prime and emulation application and emulation application and Seal) aggregate placement and record aggregate placement and record results results

  1. The developer’s technician shall 2. The third party inspector shall record and submit to VDOT the record and submit to VDOT the daily weather and surface daily weather and surface conditions on days when paving conditions on days when paving takes place takes place

[TABLE 32-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | F. Asphalt Surface Treatment (Prime and Seal) | | | 1. The developer’s technician shall perform a test per VTM and MOI for application rate of the asphalt emulation application and aggregate placement and record results | | | 1. The third party inspector shall perform a test per VTM and MOI for application rate of the asphalt emulation application and aggregate placement and record results | | | | | 2. The developer’s technician shall record and submit to VDOT the daily weather and surface conditions on days when paving takes place | | | 2. The third party inspector shall record and submit to VDOT the daily weather and surface conditions on days when paving takes place | |

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Land Development Inspection & Documentation Manual 33

Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection G. Concrete 1. A completed source of materials 1. A completed source of materials Structures – (Form C-25 or similar form) shall (Form C-25 or similar) shall be Pre-Cast be submitted by the contractor to submitted by the contractor to Components VDOT for approval prior to VDOT for approval prior to (For receiving any materials on the receiving any materials on the example: project site. project site. bridges, box culverts, 2. The developer’s technician shall 2. The third party inspector shall pedestrian verify and document that the verify and document that the tunnels, structure installed is consistent structure installed is consistent catch basins, with the structure shown on the with the structure shown on the inlets, approved plan and shop drawings approved plan and shop drawings manholes, or that it is built per VDOT road or that is built per VDOT road and retaining and bridge standards insert bridge standards insert drawing. walls, cribs, drawing. end walls and junction 3. The developer’s technician shall 3. The third party inspector shall boxes) document to VDOT the results document to VDOT the results from a bearing surface inspection from a bearing surface inspection and condition of structure prior to and condition of structure prior to and after installation. and after installation.

  1. The developer’s technician shall 4. The third party inspector shall inspect and document to VDOT all inspect and document to VDOT pile driving operations, sketches all pile driving operations, and calculations for center of sketches and calculations for gravity, and verification that proper center of gravity, and verification splicing methods are being used. that proper splicing methods are being used.
  2. Before placement of component, 5. Before placement of component, the developer’s technician shall the third party inspector shall check and document alignment check and document alignment and grade. Results shall be and grade. Results shall be submitted to VDOT. submitted to VDOT.

  3. The developer’s technician shall 6. The third party inspector shall verify and document that the verify and document that the contractor performs field rotational contractor performs field torque test, that proper grade nut, rotational torque test, that proper washer, and bolt combinations are grade nut, washer, and bolt used, and that bolts have required combinations are used, and that torque. Results shall be submitted bolts have required torque. to VDOT. Results shall be submitted to

VDOT.

[TABLE 33-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | G. Concrete Structures – Pre-Cast Components (For example: bridges, box culverts, pedestrian tunnels, catch basins, inlets, manholes, retaining walls, cribs, end walls and junction boxes) | | | 1. A completed source of materials (Form C-25 or similar form) shall be submitted by the contractor to VDOT for approval prior to receiving any materials on the project site. | | | 1. A completed source of materials (Form C-25 or similar) shall be submitted by the contractor to VDOT for approval prior to receiving any materials on the project site. | | | | | 2. The developer’s technician shall verify and document that the structure installed is consistent with the structure shown on the approved plan and shop drawings or that it is built per VDOT road and bridge standards insert drawing. | | | 2. The third party inspector shall verify and document that the structure installed is consistent with the structure shown on the approved plan and shop drawings or that is built per VDOT road and bridge standards insert drawing. | | | | | 3. The developer’s technician shall document to VDOT the results from a bearing surface inspection and condition of structure prior to and after installation. | | | 3. The third party inspector shall document to VDOT the results from a bearing surface inspection and condition of structure prior to and after installation. | | | | | 4. The developer’s technician shall inspect and document to VDOT all pile driving operations, sketches and calculations for center of gravity, and verification that proper splicing methods are being used. | | | 4. The third party inspector shall inspect and document to VDOT all pile driving operations, sketches and calculations for center of gravity, and verification that proper splicing methods are being used. | | | | | 5. Before placement of component, the developer’s technician shall check and document alignment and grade. Results shall be submitted to VDOT. | | | 5. Before placement of component, the third party inspector shall check and document alignment and grade. Results shall be submitted to VDOT. | | | | | 6. The developer’s technician shall verify and document that the contractor performs field rotational torque test, that proper grade nut, washer, and bolt combinations are used, and that bolts have required torque. Results shall be submitted to VDOT. | | | 6. The third party inspector shall verify and document that the contractor performs field rotational torque test, that proper grade nut, washer, and bolt combinations are used, and that bolts have required torque.

Results shall be submitted to

VDOT. | |

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Land Development Inspection & Documentation Manual 34

Construction VDOT Comprehensive Inspection and Category One-Year Surety Third Party Inspection G. Concrete 7. The developer’s technician shall 7. The third party inspector shall check Structures – check and document condition of and document condition of beam Pre-Cast beam seat areas, bearing pad and seat areas, bearing pad and Components assemblies for line and grade, proper assemblies for line and grade, proper (continued) fit of bearing assemblies, clearances, fit of bearing assemblies, clearances, and vertical installation of structural and vertical installation of structural steel and concrete beams. Results steel and concrete beams. Results shall be submitted to VDOT. shall be submitted to VDOT.

  1. The developer’s technician shall review 8. The third party inspector shall review and document to VDOT the methods of and document to VDOT the placement with regards to bedding, methods of placement with regards joint sealers, joint conditions, backfill, to bedding, joint sealers, joint as well as the structure’s certification. conditions, backfill, as well as the structure’s certification
  2. The developer’s technician shall 9. The third party inspector shall provide documentation to VDOT of provide documentation to VDOT of structure identification, all testing for structure identification, all testing for backfill, beginning 5 feet below road backfill, beginning 5 feet below road subgrade elevation in accordance with subgrade elevation in accordance MOI, and condition of precast item at with MOI, and condition of precast the time of placement. Backfill for item at the time of placement. precast drop inlets, manholes, and Backfill for precast drop inlets, other appurtenances shall be tested at manholes, and other appurtenances the same rate as the utility pipe or shall be tested at the same rate as conduit. the utility pipe or conduit.

  3. The developer’s technician shall 10. The third party inspector shall provide detailed information to VDOT provide detailed information to VDOT regarding structure numbers, item regarding structure numbers, item descriptions, work completed each descriptions, work completed each work day, equipment used, and the work day, equipment used, and the condition of precast items at the time condition of precast items at the time of placement. of placement.

  4. For all structures to be included in the 11. For all structures to be included in federal inventory, inspection and the federal inventory, inspection and acceptance by the VDOT District acceptance by the VDOT District Structure and Bridge Inspection Team Structure and Bridge Inspection is required. Team is required.

[TABLE 34-1] | Construction | | | | | | VDOT Comprehensive Inspection and | | Category | | | One-Year Surety | | | Third Party Inspection | G. Concrete Structures – Pre-Cast Components (continued) | | | 7. The developer’s technician shall check and document condition of beam seat areas, bearing pad and assemblies for line and grade, proper fit of bearing assemblies, clearances, and vertical installation of structural steel and concrete beams. Results shall be submitted to VDOT. | | | 7. The third party inspector shall check and document condition of beam seat areas, bearing pad and assemblies for line and grade, proper fit of bearing assemblies, clearances, and vertical installation of structural steel and concrete beams. Results shall be submitted to VDOT. | | | | | 8. The developer’s technician shall review and document to VDOT the methods of placement with regards to bedding, joint sealers, joint conditions, backfill, as well as the structure’s certification. | | | 8. The third party inspector shall review and document to VDOT the methods of placement with regards to bedding, joint sealers, joint conditions, backfill, as well as the structure’s certification | | | | | 9. The developer’s technician shall provide documentation to VDOT of structure identification, all testing for backfill, beginning 5 feet below road subgrade elevation in accordance with MOI, and condition of precast item at the time of placement. Backfill for precast drop inlets, manholes, and other appurtenances shall be tested at the same rate as the utility pipe or conduit. | | | 9. The third party inspector shall provide documentation to VDOT of structure identification, all testing for backfill, beginning 5 feet below road subgrade elevation in accordance with MOI, and condition of precast item at the time of placement.

Backfill for precast drop inlets, manholes, and other appurtenances shall be tested at the same rate as the utility pipe or conduit. | | | | | 10. The developer’s technician shall provide detailed information to VDOT regarding structure numbers, item descriptions, work completed each work day, equipment used, and the condition of precast items at the time of placement. | | | 10. The third party inspector shall provide detailed information to VDOT regarding structure numbers, item descriptions, work completed each work day, equipment used, and the condition of precast items at the time of placement. | | | | | 11. For all structures to be included in the federal inventory, inspection and acceptance by the VDOT District Structure and Bridge Inspection Team is required. | | | 11. For all structures to be included in the federal inventory, inspection and acceptance by the VDOT District Structure and Bridge Inspection Team is required. | |

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Construction VDOT Comprehensive Inspection and Category One-Year Surety Third Party Inspection H. Concrete 1. A completed source of materials shall 1. A completed source of materials shall Structures – be submitted to VDOT prior to be submitted to VDOT prior to Cast in Place receiving any materials on the project receiving any materials on the project Components site. site. (For example: 2. The developer’s technician shall 2. The third party inspector shall inspect bridges, box inspect and document to VDOT all and document to VDOT all pile driving culverts, pile driving operations and verification operations and verification that proper pedestrian that proper splicing methods were splicing methods were used. Dynamic tunnels, used. Dynamic pile driving test may pile driving test may be required. catch basins, be required. inlets, 3. Before placement of concrete, the 3. Before placement of concrete, the manholes, developer’s technician with the VDOT third party inspector with the VDOT retaining inspector* present shall check and inspector present shall check and walls, cribs, document line, grade, elevation, document line, grade, elevation, end walls dimensions, and placement of dimensions, and placement of and junction reinforcing steel in accordance with reinforcing steel in accordance with boxes) the approved plan or standards. the approved plan or standards.

These findings shall be submitted to These findings shall be submitted to

VDOT. VDOT.

  1. The developer’s technician shall 4. The third party inspector shall verify verify and provide cylinder break and provide cylinder break reports to reports to VDOT that indicate the VDOT that indicate the specified or specified or greater concrete strength greater concrete strength has been has been obtained from field cured obtained from field cured cylinders cylinders prior to stripping forms, and prior to stripping forms, and forming forming and pouring superimposed and pouring superimposed elements. elements.
  2. The developer’s technician shall 5. The third party inspector shall verify verify and document to VDOT the and document to VDOT the type and type and results of any field rotational results of any field rotational tests tests performed, that proper nut, performed, that proper nut, washer, washer, and bolt combinations were and bolt combinations were used, used, and that bolts have required and that bolts have required torque. torque.
  3. The developer’s technician shall 6. The third party inspector shall check check and document to VDOT the and document to VDOT the condition condition of beam seat areas, of beam seat areas, bearing pad and bearing pad and assemblies for line assemblies for line and grade, proper and grade, proper fit of bearing fit of bearing assemblies, clearances, assemblies, clearances, and vertical and vertical installation of structural installation of structural steel and steel and concrete beams. concrete beams. * Developer’s technician/inspector may be used for these inspections with adequate prior (48 hours) notice to VDOT and concurrence from the VDOT representative.

[TABLE 35-1] | Construction | | | | | | VDOT Comprehensive Inspection and | | Category | | | One-Year Surety | | | Third Party Inspection | H. Concrete Structures – Cast in Place Components (For example: bridges, box culverts, pedestrian tunnels, catch basins, inlets, manholes, retaining walls, cribs, end walls and junction boxes) | | | 1. A completed source of materials shall be submitted to VDOT prior to receiving any materials on the project site. | | | 1. A completed source of materials shall be submitted to VDOT prior to receiving any materials on the project site. | | | | | 2. The developer’s technician shall inspect and document to VDOT all pile driving operations and verification that proper splicing methods were used. Dynamic pile driving test may be required. | | | 2. The third party inspector shall inspect and document to VDOT all pile driving operations and verification that proper splicing methods were used. Dynamic pile driving test may be required. | | | | | 3. Before placement of concrete, the developer’s technician with the VDOT inspector* present shall check and document line, grade, elevation, dimensions, and placement of reinforcing steel in accordance with the approved plan or standards.

These findings shall be submitted to VDOT. | | | 3. Before placement of concrete, the third party inspector with the VDOT inspector present shall check and document line, grade, elevation, dimensions, and placement of reinforcing steel in accordance with the approved plan or standards.

These findings shall be submitted to VDOT. | | | | | 4. The developer’s technician shall verify and provide cylinder break reports to VDOT that indicate the specified or greater concrete strength has been obtained from field cured cylinders prior to stripping forms, and forming and pouring superimposed elements. | | | 4. The third party inspector shall verify and provide cylinder break reports to VDOT that indicate the specified or greater concrete strength has been obtained from field cured cylinders prior to stripping forms, and forming and pouring superimposed elements. | | | | | 5. The developer’s technician shall verify and document to VDOT the type and results of any field rotational tests performed, that proper nut, washer, and bolt combinations were used, and that bolts have required torque. | | | 5. The third party inspector shall verify and document to VDOT the type and results of any field rotational tests performed, that proper nut, washer, and bolt combinations were used, and that bolts have required torque. | | | | | 6. The developer’s technician shall check and document to VDOT the condition of beam seat areas, bearing pad and assemblies for line and grade, proper fit of bearing assemblies, clearances, and vertical installation of structural steel and concrete beams. | | | 6. The third party inspector shall check and document to VDOT the condition of beam seat areas, bearing pad and assemblies for line and grade, proper fit of bearing assemblies, clearances, and vertical installation of structural steel and concrete beams. | |

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Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection H. Concrete 7. All backfill testing shall be 7. All backfill testing shall be Structures – performed and submitted to VDOT performed and submitted to VDOT Cast in Place by the developer’s technician in by the third party inspector in Components accordance with all applicable accordance with all applicable (continued) specifications and frequencies as specifications and frequencies as indicated in the MOI. indicated in the MOI.

  1. Documentation of concrete air, 8. Documentation of concrete air, slump and temperature testing slump and temperature testing shall shall be submitted to VDOT by the be submitted to VDOT by the third developer’s technician. party inspector. Laboratory Laboratory cylinders shall be cylinders shall be made at required made at required frequencies in frequencies in accordance with accordance with MOI. MOI.
  2. The developer’s technician shall 9. The third party inspector shall review methods of placement with review methods of placement with regard to bedding, joint sealers, regard to bedding, joint sealers, backfill and other items and submit backfill and other items and submit findings to VDOT per MOI and findings to VDOT per MOI and VDOT approved list. VDOT approved list. 10. The developer’s technician shall 10. The third party inspector shall provide VDOT detailed information provide VDOT detailed information regarding structure numbers, item regarding structure numbers, item descriptions, work completed each descriptions, work completed each work day and equipment used. work day and equipment used. 11. For all structures to be included in 11. For all structures to be included in the federal inventory, inspection the federal inventory, inspection and acceptance by the VDOT and acceptance by the VDOT District Structure and Bridge District Structure and Bridge Inspection Team is required. Inspection Team is required.

Note: Cast in place items shall be built in Note: Cast in place items shall be built accordance with all applicable in accordance with all applicable specifications, standards, VTM and all specifications, standards, VTM and all SSAR referenced documents. SSAR referenced documents.

[TABLE 36-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | H. Concrete Structures – Cast in Place Components (continued) | | | 7. All backfill testing shall be performed and submitted to VDOT by the developer’s technician in accordance with all applicable specifications and frequencies as indicated in the MOI. | | | 7. All backfill testing shall be performed and submitted to VDOT by the third party inspector in accordance with all applicable specifications and frequencies as indicated in the MOI. | | | | | 8. Documentation of concrete air, slump and temperature testing shall be submitted to VDOT by the developer’s technician.

Laboratory cylinders shall be made at required frequencies in accordance with MOI. | | | 8. Documentation of concrete air, slump and temperature testing shall be submitted to VDOT by the third party inspector. Laboratory cylinders shall be made at required frequencies in accordance with MOI. | | | | | 9. The developer’s technician shall review methods of placement with regard to bedding, joint sealers, backfill and other items and submit findings to VDOT per MOI and VDOT approved list. | | | 9. The third party inspector shall review methods of placement with regard to bedding, joint sealers, backfill and other items and submit findings to VDOT per MOI and VDOT approved list. | | | | | 10. The developer’s technician shall provide VDOT detailed information regarding structure numbers, item descriptions, work completed each work day and equipment used. | | | 10. The third party inspector shall provide VDOT detailed information regarding structure numbers, item descriptions, work completed each work day and equipment used. | | | | | 11. For all structures to be included in the federal inventory, inspection and acceptance by the VDOT District Structure and Bridge Inspection Team is required. | | | 11. For all structures to be included in the federal inventory, inspection and acceptance by the VDOT District Structure and Bridge Inspection Team is required. | | | | | Note: Cast in place items shall be built in accordance with all applicable specifications, standards, VTM and all SSAR referenced documents. | | | Note: Cast in place items shall be built in accordance with all applicable specifications, standards, VTM and all SSAR referenced documents. | |

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Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection I. Guardrail 1.Guardrail location to be reviewed by 1. Guardrail location to be reviewed VDOT prior to installation. by VDOT prior to installation.

The results of the guardrail meeting, The results of the guardrail meeting, determining guardrail locations, shall be determining guardrail locations, shall submitted to VDOT and documentation be submitted to VDOT and verifying that the guardrail has been documentation verifying that the installed accordingly. guardrail has been installed accordingly.

  1. All testing shall be recorded by the 2.All testing shall be recorded by the certified guardrail installer in the C-85 certified guardrail installer in the C-85 and/or the daily installation log and and/or the daily installation log and submitted to VDOT upon completion. submitted to VDOT upon completion.

  2. Documentation shall also include the 3.Documentation shall also include the contractor’s daily log (C-85), or contractor’s daily log (C-85), or equivalent and any applicable sketches, equivalent and any applicable sketches, testing or inspection forms to the daily testing or inspection forms to the daily summary report. summary report.

[TABLE 37-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | I. Guardrail | | | 1.Guardrail location to be reviewed by VDOT prior to installation.

The results of the guardrail meeting, determining guardrail locations, shall be submitted to VDOT and documentation verifying that the guardrail has been installed accordingly. | | | 1. Guardrail location to be reviewed by VDOT prior to installation.

The results of the guardrail meeting, determining guardrail locations, shall be submitted to VDOT and documentation verifying that the guardrail has been installed accordingly. | | | | | 2. All testing shall be recorded by the certified guardrail installer in the C-85 and/or the daily installation log and submitted to VDOT upon completion. | | | 2.All testing shall be recorded by the certified guardrail installer in the C-85 and/or the daily installation log and submitted to VDOT upon completion. | | | | | 3.Documentation shall also include the contractor’s daily log (C-85), or equivalent and any applicable sketches, testing or inspection forms to the daily summary report. | | | 3.Documentation shall also include the contractor’s daily log (C-85), or equivalent and any applicable sketches, testing or inspection forms to the daily summary report. | |

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Construction VDOT Comprehensive Inspection and Category One-Year Surety Third Party Inspection J. Pavement 1. All material certifications and 1. All material certifications and testing Marking testing documentation shall be documentation shall be provided to provided to VDOT by the Certified VDOT by the third party inspector or Pavement Marking Contractor. the Certified Pavement Marking Contractor.

  1. Provide all documentation to 2. Provide all documentation to VDOT VDOT in accordance with VDOT in accordance with VDOT standards standards and specifications, and specifications, VTM, and VTM, and Pavement Marking Pavement Marking Manual to include Manual to include humidity and humidity and moisture tests, wet/dry moisture tests, wet/dry thickness, thickness, surface temperature surface temperature verification, verification, air temperature air temperature verification, glass verification, glass beads rate and the beads rate and the results. results. Documentation shall identify Documentation shall identify all all parties on site for layout. parties on site for layout.
  2. This portion of documentation is 3. The third party inspector shall verify not required to be submitted to that pavement surface has been VDOT under this inspection prepared to receive markings and option. While the inspection tasks markers. listed to the right are required, it is not necessary to submit supporting documentation to VDOT unless it is specifically requested.

  3. This portion of documentation is 4. The third party inspector shall not required to be submitted to observe and document the contractor VDOT under this inspection performing application thickness and option. While the inspection tasks bead rate testing. listed to the right are required, it is not necessary to submit supporting documentation to VDOT unless it is specifically requested.

[TABLE 38-1] | Construction | | | | | | VDOT Comprehensive Inspection and | | Category | | | One-Year Surety | | | Third Party Inspection | J. Pavement Marking | | | 1. All material certifications and testing documentation shall be provided to VDOT by the Certified Pavement Marking Contractor. | | | 1. All material certifications and testing documentation shall be provided to VDOT by the third party inspector or the Certified Pavement Marking Contractor. | | | | | 2. Provide all documentation to VDOT in accordance with VDOT standards and specifications, VTM, and Pavement Marking Manual to include humidity and moisture tests, wet/dry thickness, surface temperature verification, air temperature verification, glass beads rate and the results.

Documentation shall identify all parties on site for layout. | | | 2. Provide all documentation to VDOT in accordance with VDOT standards and specifications, VTM, and Pavement Marking Manual to include humidity and moisture tests, wet/dry thickness, surface temperature verification, air temperature verification, glass beads rate and the results. Documentation shall identify all parties on site for layout. | | | | | 3. This portion of documentation is not required to be submitted to VDOT under this inspection option. While the inspection tasks listed to the right are required, it is not necessary to submit supporting documentation to VDOT unless it is specifically requested. | | | 3. The third party inspector shall verify that pavement surface has been prepared to receive markings and markers. | | | | | 4. This portion of documentation is not required to be submitted to VDOT under this inspection option. While the inspection tasks listed to the right are required, it is not necessary to submit supporting documentation to VDOT unless it is specifically requested. | | | 4. The third party inspector shall observe and document the contractor performing application thickness and bead rate testing. | |

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Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection J. Pavement 5. The developer’s technician shall 5. The third party inspector shall Marking provide detailed information to provide detailed information to (continued) VDOT regarding the parties on site VDOT regarding the parties on site for layout approval, the type and for layout approval, the type and location of markings, and any other location of markings, and any other related information, including a copy related information, including a copy of the contractor’s daily log (C-85). of the contractor’s daily log (C-85).

  1. Attachments will include the 6. Attachments will include the Contractor’s daily log (C-85) and Contractor’s daily log (C-85) and any applicable sketches, testing or any applicable sketches, testing or inspection forms to the daily inspection forms to the daily summary report. summary report.

[TABLE 39-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection | J. Pavement Marking (continued) | | | 5. The developer’s technician shall provide detailed information to VDOT regarding the parties on site for layout approval, the type and location of markings, and any other related information, including a copy of the contractor’s daily log (C-85). | | | 5. The third party inspector shall provide detailed information to VDOT regarding the parties on site for layout approval, the type and location of markings, and any other related information, including a copy of the contractor’s daily log (C-85). | | | | | 6. Attachments will include the Contractor’s daily log (C-85) and any applicable sketches, testing or inspection forms to the daily summary report. | | | 6. Attachments will include the Contractor’s daily log (C-85) and any applicable sketches, testing or inspection forms to the daily summary report. | |

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Construction VDOT Comprehensive Inspection Category One-Year Surety and Third Party Inspection K. 1. All signal work shall be 1. All signal work shall be Signalization coordinated through VDOT and coordinated through VDOT and the Developer will work with the the Developer will work with the Regional Operations Office to Regional Operations Office to determine the appropriate testing, determine the appropriate testing, inspection, and documentation inspection, and documentation requirements for each project requirements for each project based upon complexity and based upon complexity and available staff available staff

  1. Regional Operations Office will 2. Regional Operations Office will participate during the participate during the Preconstruction Conference to Preconstruction Conference to convey their expectations when convey their expectations when signalization is utilized signalization is utilized

[TABLE 40-1] | Construction | | | | | | VDOT Comprehensive Inspection | | Category | | | One-Year Surety | | | and Third Party Inspection |

K.

Signalization | | | 1. All signal work shall be coordinated through VDOT and the Developer will work with the Regional Operations Office to determine the appropriate testing, inspection, and documentation requirements for each project based upon complexity and available staff | | | 1. All signal work shall be coordinated through VDOT and the Developer will work with the Regional Operations Office to determine the appropriate testing, inspection, and documentation requirements for each project based upon complexity and available staff | | | | | 2. Regional Operations Office will participate during the Preconstruction Conference to convey their expectations when signalization is utilized | | | 2. Regional Operations Office will participate during the Preconstruction Conference to convey their expectations when signalization is utilized | |

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IV. Project Completion Process

A. Phase I Records Verification – VDOT will confirm that all testing and inspection documentation, as required by the inspection option chosen, has been submitted and is on file. The VDOT inspector shall confirm that all materials and construction have been verified for conformance.

Any information determined to be missing shall be provided by the appropriate party at this time.

VDOT inspection documentation must be retained in the project file for five years from the acceptance of the street or three years after closure of the permit. Documents related directly to VDOT’s acceptance process, such as Board of Supervisor’s resolutions, must be maintained by VDOT for the period the road remains within the state system.

B. Phase II

Pre-final Inspection – The VDOT representative physically inspects the construction project with VDOT Maintenance staff, the developer, and the contractor to confirm general conformance with the plans and specifications. If requested, the pre-final inspection will be performed prior to the placement of the surface course of asphalt. This pre-final inspection will be a review for general conformance with VDOT requirements. In this case, the surface course will be part of the Phase III documentation and inspection. VDOT District and Residency staff will determine which staff members will be present based upon the complexity of the project.

Any deficient items must be corrected prior to the final inspection. Items to be examined in this inspection may include, but are not limited to:

  • Pavement (cracking, rutting, slippage, profile, and typical section)
  • Concrete work (curb and gutter, sidewalk, paved ditch, wing walls and end walls, and any other related work) – check for cracking, spalling, settlement, heaving, or physical damage
  • Drainage systems (both underground and above-ground) – check for proper structure types, ST-1 and IS-1 in all manhole and drop inlet structures, slot length on curb inlets, video inspection of pipes, where appropriate
  • Stabilization of all areas within the right-of-way
  • Shoulders stabilized and graded properly
  • Entrances (proper grade and dimensions, culverts of proper length and type, and in acceptable condition)
  • Adequate sight distance at intersections (check for vegetation, fencing, signs, and other impediments within the line of sight)
  • All appropriate traffic controls (signs and pavement markings) in place
  • All installed guardrail
  • Installed sprinkler systems heads are a minimum of one foot away from future R.O.W.
  • Required Agreements are reviewed and approved
  • Required easements are acquired and recorded in deeds and plats
  • Required Speed Studies are reviewed and approved
  • Required Safety Inspections to structures such as bridges, oversized culvert pipes and con-spans are inspected and approved by District Structure and Bridge prior to allow public traffic on them

During this period, other work sections within VDOT may need to be contacted to review specialty structures, such as bridges (or large/multiple pipe culverts), dams, traffic signals, guardrail installation and other features. Results of the pre-final inspection shall be

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communicated to the county, the developer, the permit holder (if applicable), and the requestor if different from those mentioned.

Project Completion Process (continued)

C. Phase III

Final Inspection – The VDOT representative must meet on-site with the developer, contractor, local government representative, and VDOT Maintenance personnel. Any additional deficient items identified at that time must be corrected by the developer within 30 calendar days, or a full re-inspection will be required.

For projects that a one-year surety is posted, minor problems may be addressed during the surety period. The VDOT representative will confirm that streets meet the public benefit and service requirements. If the last inspection was more than 90 days prior to

the previous inspection, a reinspection may need to be conducted.

D. Phase IV

Data Entry, Fees and Surety Calculation - Once the construction is found to be acceptable, VDOT will confirm that all RIMSDACHS [Database for Administering Changes to (VDOT-maintained) Highway Systems] data has been entered or shall enter that data for the secondary streets that are to be accepted. DACHS (or RIMSDACHS?) determines the amount of surety and fees required and the Land Use staff will provide this information to the developer. The developer must then submit the requested fees and surety to VDOT along with deeds of quitclaim, remain-in-place permit applications, and recorded right-of-way and easement conveyances. Once these are received, VDOT would then produce the resolution attachment or merge file and send it to the locality for action by the governing body. VDOT staff can use the “State Acceptance Checklist” which can be found in Appendix C of this Manual.

E. Surety Inspection Process

Sixty days prior to surety release, a VDOT inspector, accompanied by Maintenance personnel, shall inspect streets and structures for defects of materials and workmanship (not for damages incurred by snow plowing, errant vehicles, etc.). If there are any problems identified, the developer shall be notified immediately in writing of the deficiencies. If the developer has not corrected the problems within 30 calendar days of notification and by 15 calendar days prior to surety expiration, VDOT will begin proceedings to collect the surety. At least one communication to the developer pertaining to the status of the surety and the deficiencies shall be by certified mail. The developer may be allowed to extend the surety if mitigating circumstances warrant, such as inclement weather or low temperatures, until the repairs can be scheduled.

If no deficiencies are found, the surety can be released. The developer will then be notified that the surety is being released.

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Appendix A.

Developer Responsibilities and Required Submittals

All testing, inspection, and documentation for the project are the ultimate responsibility of the developer. Noncompliance with any VDOT requirement may jeopardize the acceptance of project by VDOT. The items below list the primary responsibilities of the developer:

Preconstruction - Ensure that all parties present matches the Pre-construction Meeting requirements.

  • Shall schedule a pre-construction conference with the developer, contractor, county, VDOT and the third party inspection\testing firm, when applicable, to discuss the required testing, inspections and other VDOT expectations
  • Provide VDOT with the developer’s project manager’s contact information during the pre-construction
  • Must provide a progress schedule to VDOT during the preconstruction meeting

Implementation -

  • Responsible for the submittal to VDOT and retention of all required documentation as dictated by this Manual and all incorporated references from the approval of the development’s construction plan through street acceptance
  • Verify that inspectors, technicians and testing laboratories used on the project are qualified and/or accredited as defined in the MOI when independent firms or labs are used.
  • Provide at least a 48-hour (at least two business days) written notification to VDOT when specified in Appendix A of this Manual
  • Responsible for all communications and scheduling of their inspection\testing firm’s technicians, when applicable, and to provide written notification to VDOT within the timeframes required in this Manual
  • Complete corrective measures if necessary and complete additional proof rolls until the course is deemed satisfactory (subsequent layers shall not be placed until each layer has been deemed acceptable)
  • Secure advance approval of material type, supplier, producer, and method of acceptance and shall submit the material sources to VDOT prior to the use of the material on-site
  • Assure the acceptable quality of construction, materials, and techniques incorporated into the project
  • Shall coordinate with the locality and VDOT to ensure that materials testing is performed in accordance with locality and VDOT specifications and requirements

Post-construction -

  • Ensure that a copy of the TL - 142 Materials Notebook is submitted at the completion of construction to VDOT and if applicable, to the locality Acceptance -
  • Shall request the locality and VDOT conduct a final inspection of the roadway and the developer will correct any defects identified
  • Must supply a copy of any associated recorded deeds or plats, stay-in-place permits, and required fees and surety.

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Appendix B.

VDOT Responsibilities

Preconstruction –

  • Review and approve plan for construction
  • Attend preconstruction meeting

Construction -

  • Shall perform inspections required in this Manual in a timely manner in order to

minimize delay to the contractor/developer.

  • Allow a qualified private sector inspector to assess construction when the VDOT Inspector is not available; these activities can proceed under the oversight of the developer’s inspector at VDOT’s discretion as specified in Section III of this Manual
  • Shall document all inspections performed by the agency and shall collect and review documentation submitted by other parties
  • Coordinate with the relevant VDOT sections for inspection of signals, pavements markings, guardrails, and structures
  • Can review all documentation for inspections and testing at each phase as specified
  • Advise the developer/contractor and third party inspector of any issue that may exist

within this documentation so that corrective action can be taken as soon as possible

Post-construction -

  • Shall verify that all required documentation has been submitted and meets the specifications as listed in Section III of this Manual
  • Reserves the right to audit the TL - 142 Materials Notebook (the frequency of an audit is dependent upon the risk or complexity associated with a project)
  • Conduct an on-site final inspection after construction is complete and the streets are ready for acceptance (or permit is ready to be closed)
  • Complete inspections if requested by the developer or the locality
  • Provide a written list of required corrective actions to the developer and locality in the event that deficiencies are identified

Acceptance -

  • Shall work with the locality and the developer to accept the roads into the secondary system of state highways once the roads are deemed acceptable and meet all VDOT requirements
  • Perform an inspection between one and two months before the expiration of the surety period in order to allow for the correction of any defects before the release of the surety
  • Release the developer’s surety if the street(s) is adequate at the end of one year after acceptance (for streets accepted under a surety option)

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Appendix C.

SUBDIVISION FINAL INSPECTION CHECKLIST

Date: Developer

Contractor: Development

County: Location

GENERAL NOTES

  1. VDOT has received two professionally sealed copies and an YES NO electronic version of the as-built plan for this section.
  2. All roads have been swept of silt, rocks & debris
  3. All reconstructed, repaired, and bare/denuded areas within right-of-way have been seeded & stabilized.
  4. Mow all areas within the right-of-way including all easements.
  5. All portable toilets & dumpsters shall be located outside the roadway prism.
  6. All construction materials and equipment must be located outside YES NO roadway the prism.
  7. All drop inlets and gutters shall be free and clear of silt and debris. YES NO
  8. All drop inlets shall have proper invert shaping. YES NO
  9. All drop inlets over four feet in depth must have steps installed. YES NO 10. All stop signs shall be 30” VDOT approved retro-reflective sheeting YES NO

and shall be installed seven feet from the bottom of the sign to the projected pavement. 11. All street/stop sign and mailbox post larger than 4”x4” shall be drilled to meet breakaway requirements equivalent to VDOT Standard 602.3. 12. All unnecessary E & S controls shall be removed. YES NO 13. Any necessary E & S controls shall be in place and functioning YES NO properly. 14. Any non-standard items shall be placed under perpetual permit prior YES NO to state acceptance. 15. Verification of string line at subgrade & stone as well as depth checks on asphalt lift thickness during placement operations. If not, asphalt cores shall be scheduled with the VDOT INSPECTOR and approved prior to state acceptance. 16. Verification of video camera inspection of all storm sewer and underdrain systems has been completed and any deficiencies corrected. A video camera inspection is required for all storm sewers

& culverts that are deemed inaccessible to VDOT inspections and are to be accepted into VDOT’s maintenance program and ownership.

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Land Development Inspection & Documentation Manual 46

The video inspection shall be conducted in accordance with VDOT’s VTM-123. 17. If UD is required, ensure installed into drop inlets and/or outlet at appropriate locations. A video camera inspection shall be performed prior to surface mix asphalt in accordance with VDOT’s VTM-108.

YES NO

Notes / Misc.

SUBDIVISION FINAL INSPECTION CHECKLIST (continued)

INSPECTIONS

  1. Ensure documentation for passing subgrade and stone is in file. YES NO
  2. All reconstructed, repaired, and bare/denuded areas within right-of-way have been seeded & stabilized.
  3. Mow all areas within the right-of-way, including all easements.
  4. Check all asphalt joints for acceptance including any previous YES NO patches.
  5. Check all drop inlet locations and interior condition. YES NO Check all culverts for blockage or debris. YES NO
  6. Check all outfall areas for scour protection and debris. YES NO
  7. Check all inflows and outfalls for positive drainage. YES NO
  8. Check all VDOT slope, drainage easements locations, and site YES NO distance to ensure no encumbrances.
  9. Check all entrances per standards. YES NO

  10. Check all permit work within existing state right of way to include turn YES NO lanes and drainage facilities. 11. Inspect all sidewalks and handicap ramps. YES NO 12. Inspect any driveway embellishments for compliance. YES NO 13. Ensure all private drains are located outside of proposed right of way. YES NO 14. Ensure curb have proper transition at areas that terminate. YES NO 15. Ensure all curbing is installed properly and provide positive drainage.

  11. Inspect curb for any damages. YES NO 17. Ensure all ditches drain and any paved ditches are installed in YES NO accordance with plans. 18. Ensure all CD’s are installed in proper location and has EW-12’s YES NO installed. 19. Ensure all entrance culverts are proper size, have proper cover, and YES NO promote positive drainage. All bent or damaged culverts to be repaired or replaced. 20. Review project documentation for appropriate density and moisture YES NO

testing on trenches and fills.

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  1. Review project documentation for all roller patterns and density tests on stone & asphalt. 22. Ensure all shoulders and slopes are built in accordance with approved YES NO plans. 23. Check all roadway alignment YES NO 24. Two copies of the as-built plan for this section. YES NO Notes / Misc.:

SPECIAL (USE THIS AREA TO DOCUMENT CONVERSATIONS,

ISSUES/SITUATIONS UNUSUAL EVENTS, ETC.)

VDOT Representative Date

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Revenue Sharing Program Guidelines

2023

For further information, contact

Local VDOT Manager or

Local Assistance Division Virginia Department of Transportation 1401 East Broad Street Richmond, Virginia 23219 (804)786-2746

Copyright 2023 Commonwealth of Virginia

VDOT GOVERNANCE DOCUMENT

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VIRGINIA DEPARTMENT OF TRANSPORTATION

LOCAL ASSISTANCE DIVISION

REVENUE SHARING PROGRAM GUIDELINES

This document provides a comprehensive summary of the Revenue Sharing Program as

established by the Code of Virginia and as governed by the policies of the Commonwealth Transportation Board (CTB). It is intended to serve as a reference for local jurisdictions and VDOT staff in preparation and disposition of applications for program funding guidance.

This document defines eligible projects, summarizes funding limitations, and describes the roles of the parties involved in the application and approval process. The appendices in this publication include the enabling legislation, the Commonwealth Transportation Board’s policy, associated forms, and procedural information for the convenience of the user.

The Locally Administered Projects Manual (LAP) provides guidance on project administration for all locally administered projects, is the primary source for guidance regarding project development, and should be the primary reference for any locality administering revenue sharing funded projects, The provisions applicable to state funded projects are noted throughout the LAP Manual. Projects funded solely with Revenue Sharing funds do have specific streamlining opportunities as highlighted in Chapter 5 of the LAP Manual.

These guidelines reflect policy approved by the Commonwealth Transportation Board (CTB) and are modified only by an affirmative vote from the CTB. Occasionally modifications to these Guidelines may be necessary to adjust for changes in Departmental procedures. Where those modifications fully comport with Virginia Code and CTB Policy, they may be made administratively without further approval of the CTB. The CTB will be advised of any administrative updates.

All previous instructions regarding administrative procedures for revenue sharing projects are hereby superseded.

Copyright 2023, Commonwealth of Virginia

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REVENUE SHARING PROGRAM GUIDELINES

CONTENTS Page

I. Definitions....................................................................................................................................... 1 II. Purpose ............................................................................................................................................ 3

III. Eligible Work .................................................................................................................................. 3

IV. Funding Limitations ........................................................................................................................ 4

V. Application for Funds ..................................................................................................................... 6

VI. Approval ......................................................................................................................................... 7 VII. Implementation ............................................................................................................................... 7

VIII. Redistribution of Surplus Allocations ............................................................................................. 9

IX. Supplemental Allocations ............................................................................................................... 9

LIST OF APPENDICES

§ 33.2-357 OF THE CODE OF VIRGINIA ............................................................................................................................ A Commonwealth Transportation Board REVENUE SHARING PROGRAM POLICY .................................................... B

CRITERIA FOR MAINTENANCE PRIORITY PROJECTS ............................................................................................. C

REVENUE SHARING APPLICATION PROCESS ............................................................................................................. D

SAMPLE RESOLUTION ........................................................................................................................................................ E

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I. Definitions

The following words and terms, when used in this document, shall have the following meanings, unless the context clearly indicates otherwise.

Deficit refers to an existing negative balance on a project in VDOT’s Six-Year Improvement Program where the current estimate exceeds allocations to the project. It does not refer to replacement of local funds committed by the locality after a project has been awarded allocations.

Eligible Project means work including construction, reconstruction, improvement, or maintenance and eligible street additions for which Revenue Sharing Program funds are available. Work must be on roadways that are currently maintained by VDOT or on roadways that are currently maintained by a locality and for which the locality is receiving maintenance payments from VDOT or roads meeting new road or rural addition qualification. For funding purposes, a single construction project is defined as a project with termini that are both logical and independent. Projects cannot be segmented in order to qualify for additional Revenue Sharing allocations. Multiple, similar scope project activities performed across a locality, commonly referred to as City/Town/County-wide projects, are eligible projects, subject to the limitations outlined in Section V., Application for Funds.

  • Construction Projects are those projects that change or add to the characteristics of a road, facility or structure to provide a new or significantly modified transportation facility.

  • Reconstruction Projects are those projects that completely replace an existing facility or significantly improve the functionality of an existing facility. (Examples: replacement through the sub-base of a pavement structure, complete replacement of bridge, or widening a road or bridge).

  • Improvement Projects are those projects that facilitate or control traffic or pedestrian flow, such as intersection improvements, turn lanes, channelization of traffic, traffic signalization and installation of new sidewalks, upgrading sidewalks to meet ADA standards, trails, curb & gutter, any new installation that will enhance traffic flow or safety, or projects that alleviate roadway drainage issues (replacement or repair of existing drainage assets is considered maintenance).

  • Maintenance Projects are those projects that involve work in preserving or restoring the roadway facility, sidewalk, or structure to its original condition as nearly as

possible. This includes the removal and replacement of a pavement course or a sidewalk.

Local VDOT Manager is typically the VDOT District employee responsible for the administration of the Revenue Sharing Program for that locality. Unless otherwise indicated, the local VDOT Manager for counties is usually the Residency Administrator and for urban localities it is the urban liaison in the VDOT District office. The District Administrator will designate the employee responsible if different from above.

Locality Capital Plan means any plan utilized by the locality that identifies, prioritizes or allocates funding for specific eligible projects in that locality. For locality-wide projects, specific locations must be identified in the Capital Plan to be eligible Revenue Sharing Projects.

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Matching Allocations means funds provided by the Commonwealth which are allocated to eligible items of work in participating localities to supplement, on a dollar-for-dollar basis to match the locality’s contribution for eligible projects, within the limits established by the CTB.

Maintenance Needs Analysis means a systematic approach of identifying maintenance needs based on an asset management approach. Condition assessment reviews are conducted on pavements and bridges maintained by VDOT on a regular basis based on established guidelines to determine when those assets are deficient and potentially in need of some corrective action.

Maintenance Performance Target means a desired level of performance for a set of assets (such as pavements and bridges) within the infrastructure network, as established and defined by VDOT. The target is usually expressed as a portion or percentage of the infrastructure network which meets or exceeds a threshold or benchmark rating. Only assets falling below the benchmark rating (target) for bridges and pavements will be considered eligible for priority maintenance projects.

Project Completion, for the purpose of these guidelines, is defined as the date of

VDOT acceptance of the project and is generally designated by the C-5 signed by the locality and VDOT. The C-5 is the official document VDOT uses to certify the project is complete.

Revenue Sharing Program Fund means the designation given to the fund used to finance the specially funded program. Projects are proposed by the local government in coordination with the Department of Transportation and must be approved by the Commonwealth Transportation Board.

Rural Addition means any subdivision street used as such by the date established under §33.2-335 of the Code of Virginia and eligible for addition into the secondary system by resolution of the County Board of Supervisors.

Six-Year Improvement Plan means either the Six-Year Improvement Program for

Interstate, Primary, and Urban Systems, developed by VDOT and the Commonwealth Transportation Board; or the Secondary Six-Year Plan, the official listing of improvements to be constructed on the secondary system, which is developed jointly by the Virginia Department of Transportation (VDOT) and the county governments (§33.2-332 of the Code of Virginia).

State Transportation Plan means the comprehensive review of statewide transportation needs as adopted and updated by the Commonwealth Transportation Board in accordance with §33.2-353 of the Code of Virginia, commonly known as VTRANS.

.

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II. Purpose

The “Revenue Sharing Program” provides additional funding for use by a county, city, or town to construct, reconstruct, improve or maintain the highway systems within such county, city, or town and for eligible rural additions in certain counties of the Commonwealth. Locality funds are matched, dollar for dollar, with state funds, with statutory and Commonwealth Transportation Board Policy limitations on the amount of state funds authorized per locality.

The program is administered by the Department of Transportation, in cooperation with the participating localities, under the authority of §33.2-357 of the Code of Virginia (Appendix A) and the Commonwealth Transportation Board’s Revenue Sharing Program Policy (Appendix B).

An annual allocation of funds for this program is designated by the Commonwealth Transportation Board. Funds are approved by the CTB in even numbered years for a two-year cycle and are typically programmed in fiscal years three and four of the Six-Year Improvement Program. However, where the project schedule demonstrates a need for earlier programming of allocations, the Department will attempt to adjust the programmed years to accommodate the schedule.

III. Eligible Work

The Revenue Sharing Program may be used to finance eligible work on highway systems within a locality, and may include sidewalks, trails, and other facilities that accommodate pedestrian and/or bicycle access along the highway network. The Revenue Sharing Program is intended to provide funding for improvements or to supplement funding for existing projects..

Additional information about time limits for spending funds is addressed under Timely Implementation of Projects (Section VII.C.).

Below is a list of types of work that are considered eligible for Revenue Sharing Program financing. All eligible work is reviewed based on priority criteria identified under Funding Limitations (Section IV.).

A. Supplemental Funding for Projects Listed in the Adopted Six-Year Program When additional allocations are determined to be necessary to completely finance a project listed in the adopted Six-Year Improvement Program (SYIP), the locality may request that the anticipated deficit be financed by the Revenue Sharing Program through the normal application process.

B. Construction, Reconstruction or Improvement Projects not included in the Adopted Six-Year Program

When the designated local VDOT Manager concurs that the proposed work may be eligible for program funding, the locality may request one half of the funds, subject to CTB Policy limitations, to construct a project not currently in the Six-Year Plan. However, in such cases the locality funds, together with the state matching funds, must finance the entire estimated cost of the project. If funds are approved, the project will subsequently be adopted by the CTB in the Six Year Program.

Revenue Sharing Program Guidelines (2023) Page 3

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C. Improvements necessary for the Acceptance of Specific Streets Otherwise Eligible for Acceptance into the Secondary System for Maintenance (Rural Additions)

Revenue Sharing Program funds may be used to fund the improvements (widening, surface treating, etc.) necessary for the acceptance of specific streets otherwise eligible under §33.2-335, Code of Virginia. This section does not authorize the use of Revenue Sharing funds to improve roads in cities and towns so as to render them eligible as additions to the urban system.

D. Maintenance Projects Consistent with the Department’s Operating Policies

Eligible types of maintenance work include, but are not limited to, plant mix overlays, bridge or culvert rehabilitation, guardrail replacement, sidewalk repairs, and curb & gutter repair.

In order to appropriately evaluate a request for a priority maintenance project with pavement or structure ratings below the Department’s maintenance performance targets, the locality is responsible for providing appropriate documentation to confirm the pavement or structure deficiency with its application submission.

E. New Hard surfacing (Paving)

The first-time paving of a previously unpaved roadway, usually composed of a multiple course asphalt surface treatment, may be funded by the Revenue Sharing Program. Only roads in the state secondary system are eligible to use Revenue Sharing Program funds for new hard surfacing. If a project is funded solely with revenue sharing funding, there is no minimum vehicle per day requirement.

F. New Roadway

Revenue Sharing Program funds may be used to establish a new facility to be part of the system of state highways or part of the road system in the locality that is eligible to receive maintenance payments from VDOT pursuant to §33.2-319 of the Code of Virginia. In order for a new roadway to be eligible for Revenue Sharing Program funding, it must be a part of a locally adopted plan, such as the locality’s Comprehensive Plan, and must be expected to divert sufficient traffic from existing public roads so that those roads will not need to be improved in the foreseeable future. Projects may also need to be included in the regional Constrained Long Range Plan in air quality non-attainment areas. Qualifying projects should benefit the overall transportation network with a connection between two existing major public roads, based on current transportation needs. Projects that exclusively serve private developments or commercial establishments are not eligible.

IV. Funding Limitations

The total amount allocated each fiscal year by the Commonwealth Transportation Board for the Revenue Sharing Program cannot exceed the greater of $100 million or seven percent of funds available for distribution pursuant to subsection D of §33.2-358 of the Code of Virginia.

A locality may apply for a maximum of $5 million in matching allocations per fiscal year ($10 million per biennial cycle) and the maximum lifetime matching allocation per project is limited to $10 million in matching allocations. This limitation includes any allocations

Revenue Sharing Program Guidelines (2023) Page 4

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transferred to the project. Up to $2.5 million per fiscal year of these requested funds may be specified for maintenance projects. In accordance with Virginia Code requirements, priority will be given first to construction projects that have previously received Revenue Sharing funding.

After funding those requests, priority will be given to projects that meet a transportation need

identified in the Statewide Transportation Plan (VTRANS) or to projects that can accelerate advertisement of a project in a locality’s capital improvement plan. After these projects have been funded, projects that address pavement resurfacing and bridge rehabilitation where the maintenance analysis determines the infrastructure does not meet the Department’s maintenance performance target will be funded. The condition ratings that define the Department’s maintenance performance targets are described in detail in Appendix C of these Guidelines. In order to appropriately evaluate a request for a maintenance project with pavement or a structure below the Department’s maintenance performance targets, the locality is responsible for providing the appropriate documentation to confirm the deficiency. This documentation is to be provided by the application submittal deadline.

Construction and maintenance projects will be evaluated and prioritized for funding as follows:

Priority 1 – Construction Projects that have previously received Revenue Sharing funding as part of the Program application process

  • Locality cumulative requests up to a total of $1 million will be evaluated first and funded first.
  • Locality cumulative requests over $1 million and up to $5 million per fiscal year ($10 million per biennial cycle) will be evaluated next and funded next

Priority 2 – Construction Projects that meet a transportation need identified in the Statewide Transportation Plan (VTRANS) or when funding will accelerate advertisement of a project in a locality’s capital improvement plan

  • Locality cumulative requests up to a total of $1 million will be evaluated first and funded first
  • Locality cumulative requests over $1 million and up to $5 million per fiscal year ($10 million per biennial cycle) will be evaluated next and funded next

Priority 3 – Projects that address deficient pavement resurfacing and bridge rehabilitation (as described in Appendix D).

  • Locality cumulative requests up to $1 million will be evaluated first and funded first.
  • Locality cumulative requests over $1 million up to $2.5 million per fiscal year ($5 million per biennial cycle) will be evaluated next and funded next.

Priority 4 – All other eligible projects (projects not meeting priority criteria described above)

  • Locality cumulative requests up to $1 million will be evaluated first and funded first
  • Locality cumulative requests over $1 million will be evaluated and funded next

Notes: If funds are depleted prior to completely funding all projects within a priority, any remaining funds may be pro-rated within that priority or allocated as otherwise directed by the Commonwealth Transportation Board.

Revenue Sharing Program Guidelines (2023) Page 5

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V. Application for Funds

Applications for Revenue Sharing funding are accepted on a biennial basis in odd numbered years through VDOT’s SMART Portal as described in Appendix D. Preliminary project information must be provided with a pre-application also submitted through VDOT’s SMART Portal. A pre-application for each anticipated project request is required to ensure coordination between the locality and local VDOT office staff regarding the project concept, eligibility, and preliminary funding priority determination.

A resolution from the governing body which provides the locality’s commitment to fully fund the project(s), and provides signatory authority to an authorized local officer, is also necessary to apply for program funding and must be submitted with the full application by the application deadline. An example of an acceptable resolution can be found in Appendix E.

A locality may request funds for a project located within its own jurisdiction or in an adjacent jurisdiction, with concurrence from the governing body of the other locality. Regardless of where the project may be located, the funding limitations for each locality outlined in the

previous section apply. Towns not maintaining their own streets may not directly apply for Revenue Sharing Program funds but may include their requests as part of the package submitted by the county in which they are located and are considered part of that county’s overall request.

After an affirmative vote, the Commonwealth Transportation Board allocates project funding through an approved resolution.

Each application must clearly identify the proposed project scope, the project termini and the specific improvements to be made. To assist those evaluating the project, the application must include a detailed location map / sketch, a detailed cost estimate, and a narrative that clearly explains the proposed improvements and how they will enhance the existing transportation network.

Requested funds must cover the entire cost of the project or the application must indicate the source of any additional funds necessary to fully fund the project. Indicating “future revenue sharing funds” is not acceptable, even if the intent is to reapply in future application cycles for additional Revenue Sharing allocations. After a project has been awarded for construction, any local funds committed as part of the award are not eligible to be replaced through the application process. The Revenue Sharing Program is approved on a biennial basis and funding for specific projects in future years application cycles are not guaranteed.

Applications for multiple, similar-scope projects (such as traffic calming, ADA ramps,

sidewalks, drainage improvements), generally referred to City/Town/County-wide projects, may be submitted. However, these applications must identify the location (route name/number), limits, and specific scope for each project. The location pearl in the application will allow for multiple entries and all locations must be provided there in order to be eligible for reimbursement through the project. Additional projects or funding cannot be added to the original request in future application cycles They are limited to the original funding received.

Note: The Locality must commit to their matching allocations at the time their application for funding is submitted. A resolution from the Locality which includes their commitment to fully fund the project is also required to be submitted with the final application.

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If the locality requests VDOT to administer the project, they must coordinate this prior to submitting their application for funding. Project scopes, schedules, and estimates must be coordinated with the local VDOT Manager during the application process.

VI. Approval

During the on-line application submittal process, the designated local VDOT Manager will review the on-line application from each locality. Once the localities’ requests are found to be eligible, project scopes are finalized and estimates are validated, the Local Assistance Division will develop the recommended statewide Program allocation for submission to the Commonwealth Transportation Board for approval. The Local Assistance Division will review and coordinate with other divisions as necessary and appropriate.

The Commonwealth Transportation Board approves the statewide Revenue Sharing Program, including allocations to specific projects in consideration of each locality’s request.

The Commissioner of Highways, or his designee, may approve transactions, such as

locality/state agreements, for Revenue Sharing Program projects prior to Commonwealth Transportation Board approval; however, no project work can be conducted for which reimbursement from the requested Revenue Sharing Program funds is expected prior to approval of Revenue Sharing Program allocations by the CTB.

VII. Implementation

Upon Commonwealth Transportation Board approval of the statewide program, development of the individual projects begins. The state matching funds for the approved projects are reserved and allocated, accordingly, to each of the approved projects. Projects may be developed and constructed by VDOT or by the locality under an agreement with the Department.

A. VDOT Administered Work

After approval of the annual statewide Program allocation, the Local Assistance Division, working with the designated local VDOT Manager, will prepare the appropriate agreement for execution by both the locality and VDOT prior to incurring any costs to be financed from Revenue Sharing Program funds. Upon execution of the agreement, VDOT will provide an invoice to the locality for its share of the estimated cost of work to be performed. The local matching funds must be collected prior to the beginning of work. For projects exceeding $500,000 in total estimated cost, VDOT and the locality may enter into an agreement so that the local match may be provided by project phase (i.e., preliminary engineering, right of way, or construction). VDOT may agree to a payment schedule for the Construction phase when the construction estimate exceeds $5 million. The locality must request such a payment schedule prior to advertisement and any agreement must be modified to address the revised payment schedule After the project is completed, the local VDOT Manager will review the actual costs . incurred to determine if there is a surplus or deficit. If a deficit exists, VDOT will provide a final project invoice for the locality’s share of the costs. Failure to reimburse the Department for the locality’s share of the project cost can result in denial of future allocation requests. If the

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locality’s share of the actual cost is less than the amount received from the locality, the difference will be refunded to the locality.

If a local government cancels a project begun under the Revenue Sharing Program during

the Preliminary Engineering (PE) or Right of Way (RW) phases but prior to the Construction (CN) phase, it may do so by resolution of the local governing body. The Department retains the sole option to require reimbursement by the locality of all state matching funds spent from the time the project was begun until it is canceled. Reimbursement will be required for any project cancelled after the construction plans have been approved unless an exception is granted by the Commissioner.

B. Locally Administered Work

VDOT has published the Locally Administered Projects (LAP) Manual that provides guidance for locally administered projects, which includes provisions for Revenue Sharing and other state funded projects and is the primary reference for project development and delivery requirement of locality administered revenue sharing funded projects.

In accordance with the requirements of the Virginia Code and the LAP Manual, a project administration agreement will be necessary. That agreement establishes general roles and

responsibilities of both the Department and the locality. The locality must execute the project administration agreement within six months of receipt of the agreement by the Department.

Failure to execute the agreement within this time frame can result in deallocation of project funding.

In addition to CTB approval, an agreement must be executed by both the locality and VDOT prior to incurring any cost to be financed from Revenue Sharing Program funds. If the project is funded entirely with Revenue Sharing funds and local funds, a streamlined project development process is available using the State-Aid certification as outlined in the LAP Manual. Should the locality opt to utilize this streamlined process for state-aid (only) projects, the locality will submit the completed state certification form in accordance with LAP Manual requirements.

If a local government wishes to cancel a locally administered project begun under the Revenue Sharing Program before it is completed, it may do so by resolution of the local governing body. The Department retains the sole option to require reimbursement by the locality

of all state matching funds spent from the time the project was begun until it is canceled.

Reimbursement for any state funds expended will be required for any project cancelled after construction plans are complete and advertisement has been authorized, unless an exception is provided. Failure to reimburse the Department for costs incurred of a cancelled project may result in denial of future Revenue Sharing program allocations.

C. Timely Implementation of Projects

All requests for Revenue Sharing funding are expected to be for viable projects with work anticipated in the fiscal year funding is programmed. Any project having funds allocated under this program shall be initiated within one year of programmed allocation. For any project that has not been initiated or has not made substantive progress within two years, the Revenue

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Sharing funds may be reallocated in accordance with the most recent CTB Allocation Transfer Process.

Local Assistance Division has developed a deallocation process to ensure surplus project

allocations can be efficiently reallocated to projects in deficit or to support the biennial application process. The following outlines the conditions which may warrant deallocation:

o Completed or cancelled projects. o Project which has not been initiated within two (2) fiscal years of its allocation, after appropriate notification to the locality. o Project which is on-going, where, for 24 months, the project has not made substantive progress or is significantly behind its approved project schedule, no portion of allocated revenue sharing funds has been expended, or project has been inactive, after appropriate notification to the locality. o Projects where allocations significantly exceed the project estimate (typically more than 15%), after adequate notice to the locality.

In cases where the project is complete but has a pending condemnation or claim which may be eligible for reimbursement, VDOT may retain adequate funds on the project to address such future expenditures and of excess will be moved removed from the project’s balance.

VIII. Redistribution of Surplus Allocations

Surplus allocations from projects will be transferred to a Revenue Sharing balance entry

account for future redistribution through a statewide prioritization process, which provides first priority to those projects in deficit at award, second priority to those projects anticipated to be in deficit at advertisement, third to those projects in deficit during construction and fourth to those projects in deficit after project completion, and then to all other eligible requests. Generally, additional allocations are not made to projects until a need in identified at advertisement. If a deficit is identified early in the project development process, localities must submit a new project allocation application through the biennial application process.

To be eligible for surplus allocations to address deficit projects, the City/Town Manager or County Administrator must submit a formal request for the funding on locality letterhead to the Local Assistance Division Director. The Department may require additional documentation to ensure all reasonable attempts at minimizing project costs have been taken prior to allocating additional Revenue Sharing funding. If the original locality Resolution does not provide a locality commitment to address the additional local funds necessary, a new resolution will be required.

IX. Supplemental Allocations

For any application cycle in which less than the full program allocation has been allocated, those localities requesting the maximum allocation may request an additional allocation subject to the discretion of the Commonwealth Transportation Board.

The CTB may also elect to provide supplemental allocations, within the policy’s guidelines, during non-application years should additional or deallocated funding become available.

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APPENDIX A

§33.2-357 OF THE CODE OF VIRGINIA

Revenue Sharing Program Guidelines (2023)

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Revenue Sharing Program Guidelines (2023) Appendix A

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APPENDIX B

Commonwealth Transportation Board REVENUE SHARING PROGRAM POLICY (July 18, 2023)

Revenue Sharing Program Guidelines (2023)

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Revenue Sharing Program Guidelines (2023) Appendix B

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Revenue Sharing Program Guidelines (2023) Appendix B

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Revenue Sharing Program Guidelines (2023) Appendix B

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APPENDIX C

CRITERIA FOR MAINTENANCE PRIORITY PROJECTS

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Criteria for Maintenance Priority Projects

A locality may apply for a maximum of $5 million in matching allocations per fiscal year ($10 million per biennial cycle) and up to $2.5 million ($5 million per biennial cycle) of these requested funds may be specified for maintenance projects. The criteria for determining if a pavement resurfacing or bridge rehabilitation project meets the priority is described below and is based on the Department’s performance targets.

Pavement Resurfacing Projects

Any proposed pavement maintenance project to address a pavement section that was rated as “deficient” (Critical Condition Index (CCI) below 60 or comparable criteria) is eligible for consideration as a maintenance priority project. Any proposed bridge maintenance project to address a poor rating (General Condition Ration (CGR) of 4 or below) on a VDOT or locality maintained bridge or structure is eligible for consideration as a maintenance priority project.

It will be the responsibility of the requesting locality to indicate on the detailed application if a project for which funds are requested meets the priority criteria. VDOT will provide the condition data to verify that determination for all VDOT maintained facilities.

For locally maintained facilities, the locality will submit their condition rating data to the local VDOT Manager for review. Any questions about the condition assessment data and whether a project qualifies for priority funds will be determined by the District Maintenance Engineer.

Pavement condition assessments are based on the surface distresses, such as roughness, cracking, patching, rutting, potholes, etc. The detailed findings are summarized into a CCI rating which is based on a scale of 0 to 100, with 100 being assigned to a pavement section with no visible distresses. Any pavement section receiving a CCI rating below 60 is termed “deficient” and can potentially be considered for maintenance activities. The type of maintenance activity is usually selected based on the extent and the severity of distresses present. Any pavement with a CCI rating below 60 can qualify for the established priority criteria.

Bridge Rehabilitation Projects

Bridge Condition Assessments are based on the condition of structures as defined by GCRs that are assigned to each structure during regularly scheduled inspections. These inspections are required by VDOT policy and by the federally mandated National Bridge Inspection Program. For each bridge or culvert, GCR are used to describe the existing, in-place structure as compared to its as-built condition. Evaluations are provided for the physical condition of the deck, superstructure, and substructure, or culvert components of a structure (therefore bridges will usually have three GCR and culverts have one). General

Revenue Sharing Program Guidelines (2023) Appendix C

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Condition Ratings are based on a scale of 0 to 9, with 0 being the worst condition and 9 being the best condition. Virginia categorizes the structure inventory into three categories of Good, Fair, and Poor. They are defined as:

  • Good – lowest GCR is greater than or equal to 6. Structures in this category are typically in need of preventive maintenance work such as bridge cleaning, deck sealing, sealing joints, thin deck overlays, and spot/zone painting.

  • Fair – lowest GCR is equal to 5. Structures in this category are typically in need of restorative maintenance actions such as deck patching, rigid deck overlays, reconstructing/closing joints, substructure repairs, fatigue retrofitting, over-coating or re-coating, scour repairs, cathodic protection and electrochemical chloride extraction.

  • Poor – lowest GCR is less than or equal to 4. Structures in this category are typically in need of rehabilitation work actions such as deck replacements, superstructure replacements, and culvert rehabilitation, or complete structure replacement.

Virginia performs an annual needs assessment of the structure inventory in order to determine the resources required to address the structures in each condition category.

Bridges and culverts that are in the poor condition category can qualify for the established priority criteria, providing the items deemed as poor are being addressed. While bridges and culverts that are in the fair and good condition categories do not meet the primary criteria for priority consideration, maintenance projects are encouraged for these

structures as system preservation activities, and these projects would qualify for Revenue Sharing funding.

The requesting locality is responsible for indicating on the application if the project meets the priority criteria. VDOT will provide the condition data to verify that determination for all VDOT maintained facilities. For locally maintained facilities, the locality submits its condition rating data to the local VDOT Manager for review. Any questions regarding the condition assessment data and whether a project qualifies for

priority funding will be determined by the District Maintenance Engineer (DME). If a secondary pavement condition assessment is several years old (with latest assessment above deficient determination) the DME will determine if a new assessment can be added to the current review schedule. Interim bridge ratings will not usually be considered and the latest regularly scheduled rating should be the basis for evaluation of the priority criteria. Failure to provide the rating documentation will result in the roadway or bridge project request being determined to not meet Priority 3 selection criteria.

Revenue Sharing Program Guidelines (2023) Appendix C

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APPENDIX D

REVENUE SHARING APPLICATION PROCESS

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APPLICATION PROCESS

The application process generally begins with an announcement or invitation letter, from the

Director of Local Assistance, via email and other announcements, to County Administrators and City/Town Managers to participate in the upcoming biennial application cycle (odd-numbered years). The announcement will include a timeframe in which applications will be accepted through VDOT’s SMART Portal.

A pre-application submittal for each project is required through the SMART Portal in order to be considered for funding during the open application period. Paper or hard-copies will not be accepted. This will provide an opportunity for the local VDOT Manager to review the eligibility, scope and estimate prior to the final application submittal.

After determining that it they will participate in the program, the locality should coordinate closely with their local VDOT Manager to review potential projects. The local VDOT Manager will provide support regarding eligibility, estimates, and scheduling. If the locality is requesting VDOT administration of the project, the locality must coordinate with the local VDOT Manager to obtain the Department’s concurrence with the project’s scope, schedule, and estimate.

When submitting multiple project applications, localities will be required to prioritize the applications.

A resolution from the governing body, indicating their desire to participate in the Revenue Sharing Program, their commitment to fully funding the projects, and providing appropriate signatory authority, is also required as part of the application process and must be included with the application. A sample resolution is provided in Appendix G.

Applications lacking required documents, submitted after the deadline, or left in pending status will not be accepted.

There is no limit on the amount of funds the locality may contribute; however, the locality may receive no more than the maximum amount of state Revenue Sharing Program funding allocation stipulated by statute or by Commonwealth Transportation Board Policy. Funding provided though other VDOT funding programs cannot be used to match Revenue Sharing Program funds. If the locality uses other non-VDOT grant funds as match, the locality must determine if the work being

performed is eligible under those non-VDOT programs and the locality is required to meet the requirements of those programs.

For questions regarding eligibility on maintenance performance targets or general condition ratings the designated VDOT Manager should contact the District Maintenance Engineer (DME). If a pavement condition assessment is several years old (with latest assessment above deficient determination) the District needs to work with their DME to see if a new assessment can be added to the review schedule. Bridges have regularly scheduled inspections, but if the condition of the bridge has degraded since the last regularly scheduled assessment the District should contact the DME to see if a new assessment can be requested ahead of schedule. All documentation related to deficient roadways and bridges must be received by the prescribed deadline in order for the roadway or bridge project request to be determined to meet Priority 3 selection criteria.

Revenue Sharing Program Guidelines (2023) Appendix D

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The local VDOT Project Manager is responsible for reviewing the application to confirm project scope, estimate, schedule and funding is accurate and any required supporting documents are submitted with the application.

VDOT’s Local Assistance Division will review the final applications and will notify the designated local VDOT Manager of the amount of state matching funds available for use on specified projects in their localities, subject to the approval of the Commonwealth Transportation Board.

Revenue Sharing Program Guidelines (2023) Appendix D

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APPENDIX E

SAMPLE RESOLUTION

Revenue Sharing Program Guidelines (2023)

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RESOLUTION

AFFIRMING COMMITMENT TO FUND THE LOCALITY SHARE OF PROJECTS

UNDER AGREEMENT WITH THE VIRGNIA DEPARTMENT OF TRANSPORATION

AND PROVIDE SIGNATURE AUTHORITY

WHEREAS, the (City/Town or County) of ______ is a recipient of Virginia Department of Transportation funds under various grant programs for transportation-related projects; and

WHEREAS, the Virginia Department of Transportation requires each locality, by resolution, to provide assurance of its commitment to funding its local share; and

THEREFORE, IT IS HEREBY RESOLVED, by the (City/Town Council or Board of Supervisors) of

__ hereby commits to fund its local share of preliminary engineering, right-of-way, and construction (as applicable) of the project(s) under agreement with the Virginia Department of Transportation in accordance with the project financial document(s); and

BE IT FURTHER RESOLVED, that the (City/Town Manager or County Administrator) and/or his designees is authorized to execute all agreements and/or addendums for any approved projects with the

Virginia Department of Transportation.

In witness whereof, the forgoing was adopted by (City/Town Council or Board of Supervisors) of

__, Virginia on (date).

(locality seal) __________ Clerk of Court

Revenue Sharing Program Guidelines (2023) Appendix E

Virginia Economic Development Access ProgramDoc ID: Economic

Original: 11,963 words
Condensed: 8,438 words
Reduction: 29.5%

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Economic Development Access Program Guide

Administered by the

Virginia Department of Transportation Local Assistance Division

© 2022, Commonwealth of Virginia

[TABLE 1-1] Economic Developm | ent Access Program Guide | nistered by the ment of Transportation sistance Division mmonwealth of Virginia

[/TABLE]

[TABLE 1-2]

[/TABLE]

[TABLE 1-3] © 2022, Co | mmonwealth of Virginia

[/TABLE]

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For further information, contact

VDOT Manager (Residency Administrator, Urban Program Manager or other local VDOT designee) Virginia Department of Transportation

or

Local Assistance Division Virginia Department of Transportation 1401 East Broad Street Richmond, Virginia 23219 (804) 371-8764 http://www.virginiadot.org/business/local-assistance.asp

Economic Development Access Program Guide, 2022

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ECONOMIC DEVELOPMENT ACCESS PROGRAM GUIDE Table of Contents

Page

I. PURPOSE .............................................................................................................................. 1

II. DEFINITIONS ...................................................................................................................... 1

A. ADEQUATE ACCESS ......................................................................................................................... 1

B. BASIC EMPLOYER ............................................................................................................................ 1

C. BONDED PROJECTS........................................................................................................................... 2

D. MAJOR EMPLOYMENT AND INVESTMENT (MEI) ............................................................................. 2

E. PROJECT COST .................................................................................................................................. 2

F. QUALIFYING ESTABLISHMENTS ....................................................................................................... 2

G. QUALIFYING INVESTMENT ............................................................................................................... 3

H. STANDARD PROJECTS ........................................................................................................................ 4

I. SURETY / BOND ................................................................................................................................ 4

J. LOCALITY’S LEVEL OF DISTRESS ..................................................................................................... 4

K. PROJECT SCORECARDS ..................................................................................................................... 5

III. TIME FRAME FOR APPLICATION PROCESS ........................................................ 4

IV. ROLES AND RESPONSIBILITIES ............................................................................... 5

L. THE LOCAL GOVERNMENT .................................................................................................. 5

  1. Standard Projects ......................................................................................................................... 6

  2. Bonded Projects ........................................................................................................................... 7

  3. Regional Industrial Facility Authority Projects ........................................................................... 8
  4. Major Employment and Investment (MEI) ..................................................................................................... 8
  5. Towns .......................................................................................................................................... 9

B. THE VDOT MANAGER ..................................................................................................................... 9

C. THE DISTRICT ADMINISTRATOR .................................................................................................... 10

D. THE DIRECTOR OF LOCAL ASSISTANCE ......................................................................................... 10

E. VIRGINIA ECONOMIC DEVELOPMENT PARTNERSHIP ..................................................................... 10

F. THE COMMONWEALTH TRANSPORTATION BOARD ....................................................................... 10

V. PROJECT IMPLEMENTATION ..................................................................................... 10

A. THE STATE ENVIRONMENTAL REVIEW PROCESS (SERP) ............................................................. 10

B. LOCALLY ADMINISTERED PROJECTS ............................................................................................. 11

C. VDOT ADMINISTERED PROJECTS .................................................................................................. 13

VI. PROJECT ALLOCATIONS ......................................................................................... 17

D. ALLOCATIONS FOR DESIGN-ONLY PROJECTS .................................................................................. 17

B. ALLOCATIONS FOR STANDARD AND BONDED CONSTRUCTION PROJECTS ...................................... 17

C. ALLOCATIONS FOR MEI SITES ....................................................................................................... 17

D. TIME LIMITS FOR STANDARD PROJECTS ........................................................................................ 18

E. TIME LIMITS FOR BONDED PROJECTS ............................................................................................ 19

F. IMPROVEMENTS TO EXISTING ROADS ............................................................................................ 20

VII. ACCEPTANCE INTO SYSTEM .................................................................................. 20

Economic Development Access Program Guide, 2022

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ECONOMIC DEVELOPMENT ACCESS PROGRAM GUIDE

List of Appendices

Appendix Economic Development Access Program Checklist.........................................................................A Standard Project Scorecard (Known Industry) ..................................................................................B Bonded Project Scorecard (Speculative Industry).............................................................................C

ECONOMIC DEVELOPMENT ACCESS PROGRAM GUIDE List of Abbreviations

AASHTO American Association of State Highway and Transportation Officials

CTB Commonwealth Transportation Board EDA Economic Development Access

LAD Local Assistance Division LAP Locally Administered Project

MEI Major Employment and Investment PEI Preliminary Environmental Inventory

SERP State Environmental Review Process VDOT Virginia Department of Transportation

VEDP Virginia Economic Development Partnership

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I. PURPOSE

The Economic Development Access Program is a state-funded program designed to assist Virginia localities in attracting sustainable businesses that create jobs and generate tax revenues within the locality. The program makes funds available to localities for road improvements needed to provide adequate access for new or substantially expanding qualifying establishments. Economic Development Access funds are allocated by the Commonwealth Transportation Board (CTB) in accordance with its Policy. The current CTB Policy can be found here (http://www.ctb.virginia.gov/resources/policies/ctb-policy-index.pdf). These funds may be used for financing the construction or improvement of secondary or local system roads within all counties and cities, and certain towns that are part of the Urban System, hereinafter referred to as eligible localities. Ancillary improvements, such as turn lanes or intersection modifications may also be warranted as part of the access project, but are not to be considered as the primary objective of the project. The program is administered by the Virginia Department of Transportation (VDOT), Local Assistance Division. This guide describes the requirements, limitations and procedures of obtaining and utilizing Economic Development Access funds.

II. DEFINITIONS

A. Adequate Access

“Adequate Access” means a publicly maintained road from the primary entrance of the economic development site to the nearest adequate publicly maintained road. Economic Development Access funds cannot be used to construct or improve roads on a privately owned site.

Adequate access may require the construction of a new roadway, or the improvement of an existing road (see section VI. F of this guide), or a combination of the two. When a new roadway is requested, funding is based on the most economical access to serve the site.

Standards for a new or improved roadway will vary according to the type and amount of traffic it is projected to accommodate. (Please refer to VDOT’s current Road Design Manual for guidance on these standards.)

Any parcel with direct access to an adequate publicly maintained road is deemed to have access by virtue of its location and is ineligible for funding to construct a new roadway.

Under certain conditions, however, a qualifying establishment on an abutting parcel may justify improvement of the existing road.

B. Basic Employer

“Basic Employer” as defined in § 2.2-5100 of the Code of Virginia means employment that brings new or additional income into Virginia and adds to the gross state product. The Virginia Economic Development Partnership (VEDP) will determine if a facility meets these requirements.

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C. Bonded Projects

“Bonded Projects” refer to Economic Development projects that localities have requested to be funded but, at the time of request, lack the establishment of sufficient private investment to justify the anticipated allocation necessary for the estimated road construction cost. During a bonded project’s application review, VEDP will determine if the site has a Low, Medium, or High potential of attracting capital investment. If VEDP determines that the site has a potential below low of attracting capital investment, the bonded project would not be eligible for an Access program construction grant.

Localities requesting a bonded project guarantee that eligible private investment will be established according to program guidelines, and the requesting locality provides surety acceptable to VDOT for this purpose. See section IV.A.2 of this guide for further guidance on bonded projects.

D. Major Employment and Investment (MEI) Sites

The Code of Virginia § 2.2-2260 defines a Major Employment and Investment (MEI) project as one being a high-impact regional economic development project in which a private entity

is expected to make a capital investment in real and tangible personal property exceeding $250 million and create more than 400 new full-time jobs, and is expected to have a substantial direct and indirect economic impact on surrounding communities. The Virginia Economic Development Partnership (VEDP) provides support in the establishment of these sites.

E. Project Cost

“Project Cost” means the allowable costs for which Economic Development Access Program funds may be utilized. This includes the reasonable costs of preliminary engineering and surveying associated specifically with the project design and actual construction cost of a roadway built to VDOT standards (or developed in accordance with American Association of State Highway and Transportation Officials (AASHTO) standards for locality maintained roads) for accommodating the projected traffic. Any pedestrian or bicycle facility deemed necessary for the project is eligible for funding. Excluded are items such as environmental studies and permits, obtaining right-of-way and relocation of utilities, and traffic impact studies. Optional roadway features other than those determined to be required to meet appropriate design standards, such as roadway lighting or landscaping, may be included in a project, provided that the costs of these features are borne by others. Costs incurred (e.g., paid items or those for which a contract or purchase order has been executed)

prior to allocation by the CTB are not reimbursable.

F. Qualifying Establishments

“Qualifying Establishments” include manufacturing, processing, research and development facilities, distribution centers, regional service centers, corporate headquarters, or similar facilities, or other qualifying establishments that also meet basic employer criteria as determined by the VEDP.

Excluded from consideration are the following establishments: schools, hospitals, libraries, airports, armories, shopping centers, speculative office buildings, apartment buildings, professional Economic Development Access Program Guide, 2022 2

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offices, residential developments, churches, hotels, and motels.

G. Qualifying Investment

“Qualifying Investment” or “Eligible Capital Outlay” represents the cost to the qualifying establishment of the land, the building, and newly purchased manufacturing or processing equipment. Also eligible towards the “Qualifying Investment” or “Eligible Capital Outlay” are the number of jobs created. For each new job created, a capital investment credit of $5,000 will be applied to the project. Job creation numbers will be verified by the VEDP prior to approval towards the project’s required Capital Investment.

For standard projects, if a locality intends to use the number of jobs created as capital investment documentation, the number of jobs created will be verified by the VEDP prior to approval towards the total amount of capital investment documentation required. If the number of jobs created are not approved by the VEDP prior to CTB project approval and the locality cannot provide enough capital investment documentation to satisfy the project requirements, the remaining project cost not satisfied by capital investment documentation must be covered by a surety, provided by the locality. The locality will be released of their surety obligations upon the approval of the new job

creation numbers by the VEDP or adequate capital investment documentation.

Costs for items such as office equipment, desktop office computer systems, manufacturing equipment transferred from another plant, and rolling stock are ineligible. Also ineligible are legal fees, taxes, recording fees, interest and similar type expenses. Capital costs incurred by the qualifying establishment more than six months prior to the date of resolution of the governing body will normally be disallowed.

The establishment of qualifying investment requires documentation such as deeds, purchase orders, cancelled checks, executed “firm contracts,” and other documentation deemed necessary to validate capital investment expenditures. A “firm contract” means that there is a binding construction contract between the property-owning qualifying establishment and a general contractor to construct a building or buildings for new or expanding eligible facilities. Construction of a building or other facilities by a qualifying establishment acting on its own behalf does not constitute the necessary arm’s length contractual obligation. In such instances it is necessary for the qualifying establishment to complete the building and have an independent appraiser (acceptable to VDOT) establish the eligible capital

investment upon completion before investment credit can be determined and program funds are authorized for expenditure. Under this circumstance, it may be better to request a bonded project to allow for the time necessary to determine the amount of eligible capital investment.

Lease arrangements for land and buildings, as opposed to direct property ownership by a qualifying establishment, may require additional documentation to establish the amount of eligible capital investment. Further, the inclusion of a tenant’s option to purchase does not constitute the tenant’s capital investment. A qualifying lease must be for a term of no less than five years, must require payments equivalent to those for comparable properties, and must include a substantial financial penalty for default or early termination by the leasing qualifying establishment.

If a lease or lease-purchase agreement is considered acceptable, the qualifying investment

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will be the owner’s documented cost to develop the leased premises, along with any eligible items installed by the leasing qualifying establishment. If the lease does not meet the criteria for acceptance, no capital outlay credit can be established by the leasing qualifying

establishment.

In addition, certain capital investment by the local government indirectly attributed to a qualifying establishment’s investment may be allowable in justifying the cost to the EDA Program. Eligible capital investment is land and/or buildings funded solely by the locality.

Ineligible capital investment is improvements funded to any degree by federal or state program funds. Documentation of investment includes deeds, contractor payments, and other documentation necessary to validate capital investment expenditures.

H. Standard Projects

“Standard Projects” are proposed Economic Development projects that localities request to be funded based on the commitment of named eligible business establishments. Localities must provide appropriate documentation of eligible private investment prior to VDOT authorizing the use of these program funds. See section IV.A.1 of this guide for further guidance on standard projects.

I. Surety / Bond

“Bond or Other Acceptable Surety” means a legally binding financial instrument guaranteeing the return of state Economic Development Access Program funds as a result of a locality’s inability to meet the terms of the allocation as outlined in the CTB’s resolution approving the project and funding.

These include:  a surety bond issued by a commercial bonding or insurance company  an irrevocable letter of credit established with a bank or other financial institution

The purpose of such instrument is to provide a means for VDOT to recover the funds expended on a bonded project in the event sufficient capital outlay is not documented within

the period for establishing qualifying investment. The length of this period is five years, beginning on the date of the CTB’s resolution approving the project and allocation, and is referred to as the “bonded period.” The conditions of any such device must authorize VDOT to collect the appropriate amount within one (1) month of the end of the bonded period or in 20% annual installments beginning immediately after the original five-year bonded period according to the CTB’s policy. Further guidance is provided in, section IV.A.2 of this manual. The bond or other surety device acceptable to VDOT must be provided by the locality.

J. Locality’s Level of Distress

Each locality in the State of Virginia is characterized as either Double Distressed, Single Distressed, or Non Distressed by the VEDP’s Commonwealth Opportunity Fund. A locality’s level of distress is used by the EDA Program to determine the amount of capital investment

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documentation required for an Economic Development Access project. Locality distress levels are updated yearly by the VEDP.

A Double Distressed locality has an unemployment AND poverty rate below the statewide average rate. A Single Distressed locality has an unemployment OR poverty rate below the statewide average rate. A Non Distressed locality has both an unemployment AND poverty rate above the statewide average rate. A locality’s distress level at the time of CTB project approval will determine the amount of capital investment documentation required.

K. Project Scorecards

Standard and bonded construction projects will have a Project Scorecard completed by VDOT prior to the project being presented to the CTB. The Project Scorecard takes into account several project factors and determines if the proposed site is ready for an access project. Projects receive an overall score out of 100 and must receive at least 50 points to be presented to the CTB.

For standard projects, the Scorecard will document the amount of capital investment provided, the expected number of new jobs, the need for a new access road, and the locality’s

level of distress. For a copy of the standard Project Scorecard, refer to Appendix B.

For bonded projects, the Scorecard will document the amount of capital investment anticipated, the readiness of the site (determination provided by VEDP), the expected number of new jobs, the need for a new access road, and the locality’s level of distress. If the VEDP determines that a site is not ready for an access project, the locality will not be eligible for a bonded project to that site until improvements have been completed to increase the site’s readiness. For a copy of the bonded Project Scorecard, refer to Appendix C.

III. TIME FRAME FOR APPLICATION PROCESS

Planning ahead for an Access road project is critical to its success. While VDOT may not necessarily need to be involved in the initial planning discussions for an economic development site, early involvement as soon as the road plans are identified can help avoid delays. An initial request from a local governing body for Economic Development Access Program funding typically takes four to six months to attain approval by the CTB. Meeting the contingencies of the CTB allocation approval often requires another two or more months.

Steps in preparing and approving the local-state agreement, conducting environmental and cultural resources reviews, advertising for bids, awarding a contract, and constructing the

road, can each add time to the project. Initiating the State Environmental Review Process (SERP), if applicable, and coordinating with regulatory agencies may take at least 60 days; however, the time necessary to complete environmental studies that may be required by federal and state laws and obtaining necessary permits varies and can be extensive depending on the outcome of initial review.

Also note that a number of different local and state governmental officials and bodies will review each request, some of which, including the CTB, meet once each month.

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IV. ROLES and RESPONSIBILITIES

This section outlines the necessary roles and responsibilities of each party to develop a proposed access road project from concept to completion. The process is outlined in the chart for the development of standard projects (page 15) and the chart for the

development of bonded projects (page 16). Appendix A is a checklist of the necessary steps in developing, executing, and completing an Economic Development Access Program project.

A. The Local Government

The local government is responsible for coordinating the planning of the access road project with VDOT. A local government representative interacts with the VDOT Manager, as defined in section IV. B, through the life of the project.

If Economic Development Access funds are requested to construct a new road (as opposed to improving an existing public road), Section II. A. provides a discussion of whether the parcel in question is likely to qualify. For improvements to existing roads, please refer to section VI. E.

The approved CTB allocation of economic development access funds typically contains contingencies, which are the responsibility of the locality. These requirements generally include the execution of an agreement with VDOT, right of way acquisition and utility relocation at no cost to the program, satisfaction of applicable environmental commitments

and providing matching funds, if applicable, and funding ineligible costs associated with the project.

If a project has an estimated construction cost more than $500,000, the State Environmental Review Process (SERP) must be completed prior to advertisement or land disturbance activities in order to satisfy the requirements of § 10.1-1188 of the Code of Virginia.

However, regardless of the estimated project cost and regardless of whether the project is to be administered by VDOT or the locality, the locality is responsible for obtaining water quality permits (and any other applicable permits) and the locality is solely responsible for compliance required by any state and/or federal regulations, laws, etc. For additional information, please refer to the VDOT’s LAP Manual, Chapter 15.

For locality-administered projects, the locality must complete the Certification Form for State Funded Projects and provide a copy to the VDOT Project Manager. Use of this certification form will minimize VDOT’s oversight role on the project. VDOT reserves the right to periodically perform Quality Assurance audits of the locality’s project

documentation files.

The locality must officially request an Economic Development Access Program allocation through a resolution of its governing body. In towns that do not maintain their own road system, the request by the County Board of Supervisors should be concurred by a separate resolution of the Town Council. For new roads, the locality resolutions must state that right of way and utility relocation, if necessary, will be provided at no cost to VDOT, and that the road will be accepted into the appropriate road system for maintenance. The identity of

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the qualifying establishment is also to be specified.

In addition, the entity (the locality or VDOT) responsible for project administration should

be determined as early as possible in the process in order for the responsible party to coordinate project development.

Before applying for these funds, the locality must determine whether the request will be for a standard project, bonded project, regional industrial facility authority project, or a VEDP strategic property site as further described below.

  1. Standard Projects (where an existing qualifying establishment is expanding or a new named qualifying establishment is under firm contract to build):

After the qualifying establishment has made a decision to locate on a particular site, the qualifying establishment’s representatives should then provide the following to the locality with a copy to the VDOT Manager.

a. A preliminary plan showing the entire parcel of land, and the locations of: the building, other major site features, the proposed entrance, the proposed access road, and existing public roads and highways in the immediate vicinity of the site. If the site is part of an economic development subdivision, all parcels must be delineated and numbered.

b. A letter of request to the appropriate local governing body on its corporate letterhead incorporating the following information:

i. Intent to build or expand on a designated site II. Description and location of the site

III. Target date for building construction IV. Target date for beginning operation v. Capital investment planned on the site, itemized VI. Narrative of establishment’s operation VII. The number of new jobs to be created VIII. Access road improvements requested IX. Estimates of the numbers of additional employee vehicles and truck traffic which will use the access road on an average business day

For Standard projects, VEDP will provide support with verifying the amount of new full time jobs that will be created. VEDP will not provide a recommendation of the site’s potential to attract capital investment for Standard projects. Following VEDP concurrence with the project, the Locality, in conjunction with the VDOT District, must address the project with its District CTB member prior to the project becoming an agenda item. Proof of CTB concurrence must be provided to the VDOT LAD

Director prior to the request being established on the CTB’s action meeting agenda.

  1. Bonded Projects (where no establishment is under firm contract to build or when the identity of the qualifying establishment is held confidential):

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When an eligible locality desires to have an Economic Development Access road constructed in anticipation of a commitment by a qualifying establishment to locate, such a request may be made as above. Allocations for bonded projects are based on

the estimated cost of such projects, up to the maximum funding limitations. The governing body must guarantee to the CTB that a bond or other acceptable surety will be provided to cover the anticipated cost of the project which is not yet justified by qualifying investment. Project costs in excess of the allocation will be the responsibility of the locality.

The resolution from the governing body requesting Economic Development Access funding must also clearly indicate that, if a qualifying establishment is not constructed or under firm contract within the five-year bonded period, program fund expenditures unwarranted by qualified capital investment will be remitted to VDOT or the required surety will be forfeited. During the term of the surety, the locality may request a partial reduction in the value of the surety. This reduction would be based on the amount of qualified capital investment properly documented. If only partial qualifying investment occurs on appropriate site(s) within the time limit of the bond, proportional credit against the bond will be granted for that partial investment.

The time limit for bonded projects will be five years from the date the CTB approves, by resolution, the project and funding allocation. Localities are encouraged to address any required CTB contingencies and initiate construction as soon as possible to maximize the available time to attract qualifying investment.

While the bonded project process allows an excellent opportunity for localities to receive an allocation and to build an access road that may attract qualifying establishments, it also represents a risk. Localities should consider the financial impacts if they are unable to attract qualifying establishments with sufficient capital investment within the bonded period.

Effective December 7, 2016 the CTB established payback provisions for bonded projects. The provisions specify that at the end of the five-year bonded period for establishing qualifying investment, rather than reimbursing the Department in full for those funds expended on the project but not justified by eligible capital outlay, the locality may elect to extend the bond or other acceptable surety for another four-year

period and, reimburse the Department, annually, 20% of those funds expended on the project but not justified by eligible capital outlay until such time that 100% of the required reimbursement is provided or until the locality can document sufficient capital investment by an eligible establishment. The first annual payment must be made on or before the first day of the new bonded period. The locality’s bond or other acceptable surety may be reduced annually by the amount repaid to the Department.

In the event that during the extended bonded period, the locality can document sufficient capital investment by an eligible establishment, the locality may request a refund of any reimbursements made to the Department. Reimbursements are not guaranteed and may be granted if funds are available on a first come, first served basis. Requests for reimbursements are prioritized along with applications for economic development access funds.

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VDOT will recommend to the CTB that consideration of new access fund allocations be prohibited for any locality with an outstanding debt for a bonded construction project until that debt is satisfied. “Outstanding debt” is represented by the locality’s

obligation to return Economic Development Access funds expended on a project unwarranted by sufficient qualifying investment established within the five-year bonded period or within the four-year payback extension period.

  1. Design-Only Projects

A locality is only eligible to receive up to the maximum unmatched allocation and matched allocation within any one fiscal year. If a locality has received a Design-Only project grant for an access road project, the locality cannot receive a Construction project grant for the same access road project until the requirements of the Design-Only grant have been met.

The local governing body shall guarantee by bond or other acceptable surety that plans for the access road project will be developed to standards acceptable to VDOT.

Upon approval of the road plans by VDOT, the surety may be released.

  1. Regional Industrial Facility Authority Projects

A locality may request Economic Development Access funds on behalf of a regional industrial authority. If an eligible site is owned by such a regional industrial facility authority, as defined in § 15.2-6400 of the Code of Virginia, funds may be allocated for construction of a standard or bonded access road project to that site without impacting the maximum annual allocation amount the locality is allowed to the

jurisdiction in which the site is located. This provision may be applied to one regional project per fiscal year in any jurisdiction, with the same funding limitations as prescribed for other individual projects. The host locality will be required to provide the required surety if a bonded project allocation is requested and must execute the local-state agreement.

  1. Major Employment and Investment (MEI) Sites

A Major Employment and Investment (MEI) project is defined in § 2.2-2260 of the Code of Virginia, as one being a high-impact regional economic development project in which a private entity is expected to make a capital investment in real and tangible personal property exceeding $250 million and create more than 400 new full-time jobs, and is expected to have a substantial direct and indirect economic impact on surrounding communities. The Virginia Economic Development Partnership (VEDP) provides support in the development of these sites. Certain special provisions apply for Economic Development Access Program projects on sites

meeting the MEI definition.

a. Design-Only Projects

The locality may receive up to the maximum unmatched allocation and matched allocation for a design-only project. The local governing body shall guarantee by bond or other acceptable surety that plans for a MEI project Economic Development Access Program Guide, 2022 9

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will be developed to standards acceptable to VDOT. Upon approval of the road plans by VDOT, the surety may be released.

b. Additional Allocation

The locality may receive up to the maximum unmatched allocation and an additional $500,000 matched allocation for a road construction project.

Project allocations for a given MEI project may be cumulative for not more than two years. The MEI project may be standard or bonded.

Further details and examples are provided in section VI. C., under Funding Limitations.

  1. Towns

Towns maintaining their own streets and receiving maintenance payments under § 33.2-319 of the Code of Virginia shall be treated for purposes of this program as independent entities.

Towns whose streets are maintained as a part of the secondary system of state highways will be considered as part of their respective county. An allocation to such a town will be calculated as a portion of its county’s $700,000 annual unmatched limitation and will be subject to concurrence by resolution of the respective Board of Supervisors.

B. The VDOT Manager

The VDOT Manager as referenced in this guide is the department employee responsible for administration of the Economic Development Access Program for

that locality. This person is usually the Residency Administrator, but may be another designee of the District Administrator. The VDOT Manager supports the locality in reviewing the local governing body’s resolution requesting funding, sketches and cost estimates for requested road improvements, in initiating the SERP (if required), and in compiling the information necessary for review by other VDOT offices and other state agencies. The VDOT Manager will review the complete assembly of information, as referenced in section IV. B., and provide a recommendation to the District Administrator.

C. The District Administrator

Upon review of the locality’s project request and the VDOT Manager’s recommendation, the District Administrator forwards the information package with a recommendation to the Director of the Local Assistance Division. In addition, the District Administrator is responsible for coordinating a briefing for the District CTB

Member of any requested project and obtaining the CTB Member’s concurrence for the project. The District Administrator will also provide that concurrence to the Director of the Local Assistance Division.

Economic Development Access Program Guide, 2022 10

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D. The Director of Local Assistance

The Local Assistance Division Director coordinates review of the application between VDOT and VEDP, as appropriate. After all prerequisites have been met for a viable project the Director of Local Assistance may recommend approval to the

CTB.

E. Virginia Economic Development Partnership (VEDP)

The Virginia Economic Development Partnership assists VDOT with reviewing site and business information, and assists with verifying actual and expected job creation numbers. Before projects are approved by the CTB, VDOT will reach out to VEDP for their assistance on reviewing access project applications.

For standard projects, the VEDP determines if the business locating on the site meets the basic employer requirements, verifies the amount of new jobs created and offers a recommendation on the viability of the site.

For bonded projects, VEDP will first determine if the site is ready for an access road construction project. If a site is determined as not ready, the locality can work with the VEDP to determine what improvements need to take place in order to improve the site’s readiness. If a site is determined as ready for an access road construction project, the VEDP will then offer a recommendation on how successful they believe the site will be at attracting a qualifying business. The VEDP will also provide a recommendation on the potential number of new jobs created by the access project, and verify the amount of new jobs created once a qualifying business has located on the site.

F. The Commonwealth Transportation Board

The CTB, upon consideration of the project information, may allocate funds for the access project with certain contingencies, which must be satisfied by the locality.

This allocation is for the exclusive purpose of financing eligible costs incurred in

constructing the access project. The date of the CTB allocation is the date on which the CTB approves the project and funding amount by adopted resolution. All project information must be received by the VDOT Manager with sufficient time for review.

The complete assembly of information and documentation for the project request, with the recommendation of the District Administrator should be submitted to the Local Assistance Division no less than thirty (30) days prior to the CTB meeting.

V. PROJECT IMPLEMENTATION

A. The State Environmental Review Process (SERP)

Created pursuant to § 10.1-1188 of the Code of Virginia, a Memorandum of Agreement has been executed by the Secretary of Natural Resources and the

Secretary of Transportation. It requires that the state natural and historic resource agencies be provided an opportunity to comment on state funded road projects, Economic Development Access Program Guide, 2022 11

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estimated to cost more than $500,000, at the earliest stage of development. SERP ensures that state resource agency views and interests are considered in the project development process from concept through construction.

SERP, conducted by VDOT’s Environmental staff, may take at least 60 days to complete. The time necessary for implementing SERP and addressing any environmental commitments or regulatory clearances required by law must be anticipated in the project’s development schedule, possibly prior to the CTB’s approval of, and allocation to, an Economic Development Access Program project.

Projects developed under the Economic Development Access Program often must address a much more compressed development schedule than standard construction projects, in order to accommodate a locality’s or qualifying establishment’s desire for a facility or site to be accessed and eventually operational.

For this reason, the locality and VDOT Manager must work together in determining the viability of the Economic Development Access project with respect to the

development schedule proposed for the project. The VDOT Manager may initiate the SERP process once the locality provides the location information and requests SERP initiation. Other funding arrangements must be made for this review if it is conducted prior to CTB approval of the project and authorization of the Economic Development Access funds. The locality is notified of comments or commitments resulting from SERP and if regulatory clearances are necessary.

Details regarding SERP are in Chapter 15, Environmental Requirements, Section 3, of the Locally Administered Projects (LAP) Manual.

In all cases, the locality is responsible for obtaining water quality and any other applicable permits, as well as compliance with all federal and state regulations and laws. Compliance is documented on the Certification Form for State Funded Projects, found in Chapter 5, Appendix 5A, of the LAP Manual.

B. Locally Administered Projects

Locally administered Economic Development Access projects are subject to requirements described in the LAP Manual. The locality should become familiar with the Manual, particularly Chapter 5, State Funded and Special Program Projects.

  1. When funding for a project is approved by the CTB, the project is deemed viable. No additional action is required by the CTB prior to advertisement, award or construction.

  2. The Local Assistance Division prepares a local-state agreement between VDOT and the locality. The agreement identifies the terms for a locality to administer the project to include responsibilities of the locality and VDOT, funding sources, VDOT oversight charges, reimbursement amounts, and general project estimates by phase. The agreement must be fully executed prior to project advertisement.

Furthermore, it authorizes the locality to perform any work that can be reimbursed Economic Development Access Program Guide, 2022 12

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from VDOT funds and it requires that the locality adhere to the Virginia Public Procurement Act in the administration of the project’s advertisement and award.

The standard agreement can be found in Chapter 10 of the Locally Administered

Projects Manual.

If a custom agreement is requested by the locality, the custom agreement is subject to review and concurrence by the Office of the Attorney General prior to its execution.

The locality signatory for the agreement must provide evidence of their authority to execute the agreement. Any cost incurred or contract executed by a local governing body or its agent, before an agreement is fully executed, is the responsibility of the local governing body, unless otherwise agreed to by the Director of Local Assistance.

  1. The locality provides the project scope information to the VDOT Manager for a determination of SERP applicability based on the $500,000 threshold. Other funding arrangements must be made for this review if it is conducted prior to CTB approval of the project and authorization of the Economic Development Access funds.

  2. The locality representative completes the VDOT Certification Form for State Funded Projects and provides this form to the VDOT Manager prior to project award. The certification form provides a streamlined process with significantly less VDOT oversight and is used to certify adherence to all applicable laws and regulations pertaining to locally administered state funded projects. VDOT may perform project audits to verify compliance with this certification.

  3. The locality provides documentation of dedicated right of way for the project to the VDOT Manager who, in turn, forwards the documentation to the District Right of Way Manager. The District forwards this information and its recommendation to VDOT’s State Right of Way Director, who certifies that right of way and utility adjustments for the project have been obtained at no cost to the Economic Development Access Program fund. The provision of unencumbered right of way by the locality includes completion of any extensive environmental studies and required mitigation of existing environmental conditions.

  4. The local government provides documentation to the VDOT Manager that a qualifying establishment has made firm commitment to locate on an eligible site (e.g., an executed construction contract) and a letter from the qualifying establishment’s chief financial officer outlining capital expenditures as specified in this document under “Qualifying Investment” (see Section IV.A.1 of this manual). or If bonded, the local government must provide the required surety to the VDOT Manager, who forwards it to the Local Assistance Division.

  5. The expenditure of Economic Development Access funds for the project will be approved by VDOT only after all contingencies of the Commonwealth

Transportation Board’s resolution have been met.

A locally administered project must be authorized, with funding approved for expenditure, before VDOT reimburses a locality for eligible costs attributed to the Economic Development Access Program Guide, 2022 13

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construction of the project. Appropriate documentation of costs and billing information, such as contractor’s payment application and verification of payment, must be provided by the locality.

  1. The VDOT Manager or designee monitors the construction of locally administered projects, notifies the Local Assistance Division when the construction is started and completed, and provides recommendations to the Local Assistance Division regarding requests for reimbursement. Please note that each locally administered project will have a Project Coordinator assigned for project development once the project is approved and that person may be different from the VDOT Manager.

C. VDOT Administered Projects

  1. When funding for a project is approved by the CTB, the project is deemed viable.

No additional action is required by the CTB prior to advertisement, award or construction. The Local Assistance Division prepares a local-state agreement between VDOT and the locality. It identifies specific responsibilities of the locality and VDOT, funding sources, and general project estimates by phase. The locality signatory for the agreement must provide evidence of their authority to execute the agreement.

  1. The locality provides the project scope information to the VDOT Manager for a

determination of SERP applicability based on the $500,000 threshold. Other funding arrangements must be made for this review if it is conducted prior to CTB approval of the project and authorization of the Economic Development Access funds.

  1. The locality provides documentation of the dedicated right of way for the project to the VDOT Manager, who, in turn, forwards the documentation to the District Right of Way Manager. The District forwards this information and its recommendation to VDOT’s Right of Way and Utilities Division Director, who certifies that right of way and utility adjustments for the project have been obtained at no cost to the Economic Development Access Program fund. The provision of unencumbered right of way by the locality includes completion of any extensive environmental studies and required mitigation of existing environmental conditions.

  2. The local government provides documentation to the VDOT Manager that a qualifying establishment has made firm commitment to locate on an eligible site (e.g., an executed construction contract) and a letter from the qualifying establishment’s chief financial officer outlining capital expenditures as specified in this document under “Qualifying Investment” (Section II.G).

or

If bonded, the local government must provide the required surety to the VDOT Manager, who forwards it to the Local Assistance Division.

  1. The locality provides payment to the VDOT Manager for any required matching funds, ineligible project costs, or eligible project expenses in excess of the Economic Development Access Program allocation, prior to the project being authorized for Economic Development Access Program Guide, 2022 14

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construction. A VDOT-administered project must have all required funding in place before the project may be advertised or constructed.

  1. The expenditure of funds for the project may be approved by VDOT only after all contingencies of the CTB’s resolution have been met.

  2. After a project is authorized, the VDOT Manager coordinates all aspects of the construction of VDOT-administered projects. Please note that each VDOT-

administered project will have a Project Manager assigned for project development once the project is approved and that person may be different from the VDOT Manager.

Standard Projects (non-bonded) Stakeholder Roles/Responsibilities Locality  Submit Request for Economic Development Access Funding to VDOT Manager. Request will include (see Section IV.A.1.a & b): o Preliminary plan including a description of business, capital investment anticipated, and new employment anticipated; o A letter of request from the establishment, to the locality on corporate letterhead o Road Design Plans (or preliminary plans); o Locality resolution requesting EDA Program Funding  Coordinates with VDOT District Administrator to brief CTB District Member regarding project, following notification of VEDP concurrence from LAD Director VDOT  Assembles and reviews information on project request and business establishment and forwards Manager recommendation to District Administrator (copy to Local Assistance Division)  Forwards information necessary for SERP, if appropriate  Confirms project design meets standards and verifies project cost estimate and coordinates with District Traffic Engineer regarding approval of access, when applicable VDOT District  Provides recommendation to Local Assistance Division Administrator  Coordinates with Locality to brief CTB District Member regarding project after notification of VEDP concurrence from LAD Director VEDP  Provides determination regarding eligibility as a Basic Employer and provides recommendation in use of the Economic Development Access Program VDOT LAD  Ensures all project information necessary to evaluate eligibility of project is submitted Director  Coordinates with VEDP to obtain eligibility determination and recommendation  Coordinates with District to ensure project adherence with road design and access requirements  Provides project allocation request to CTB, as appropriate CTB  Reviews and approves of project allocation, if appropriate  Formalizes conditions of allocation expenditure Locality  Ensures compliance with contingencies of CTB allocation and provides appropriate documents, as necessary, to VDOT Manager (Contingencies must be met prior to fund expenditure) VDOT LAD  Prepares project administration agreement, as appropriate Director  Determines investment credit established by qualifying establishment  Authorizes allocation of funds for project VDOT  Provides oversight for locally administered project development and completion Manager  Coordinates VDOT-administered project work  Reviews documentation of project costs as appropriate and makes recommendation in reimbursement

Economic Development Access Program Guide, 2022 15

[TABLE 19-1] Stakeholder | Roles/Responsibilities | Locality |  Submit Request for Economic Development Access Funding to VDOT Manager. Request will include (see Section IV.A.1.a & b): o Preliminary plan including a description of business, capital investment anticipated, and new employment anticipated; o A letter of request from the establishment, to the locality on corporate letterhead o Road Design Plans (or preliminary plans); o Locality resolution requesting EDA Program Funding  Coordinates with VDOT District Administrator to brief CTB District Member regarding project, following notification of VEDP concurrence from LAD Director | VDOT Manager |  Assembles and reviews information on project request and business establishment and forwards recommendation to District Administrator (copy to Local Assistance Division)  Forwards information necessary for SERP, if appropriate  Confirms project design meets standards and verifies project cost estimate and coordinates with District Traffic Engineer regarding approval of access, when applicable | VDOT District Administrator |  Provides recommendation to Local Assistance Division  Coordinates with Locality to brief CTB District Member regarding project after notification of VEDP concurrence from LAD Director | VEDP |  Provides determination regarding eligibility as a Basic Employer and provides recommendation in use of the Economic Development Access Program | VDOT LAD Director |  Ensures all project information necessary to evaluate eligibility of project is submitted  Coordinates with VEDP to obtain eligibility determination and recommendation  Coordinates with District to ensure project adherence with road design and access requirements  Provides project allocation request to CTB, as appropriate | CTB |  Reviews and approves of project allocation, if appropriate  Formalizes conditions of allocation expenditure | Locality |  Ensures compliance with contingencies of CTB allocation and provides appropriate documents, as necessary, to VDOT Manager (Contingencies must be met prior to fund expenditure) | VDOT LAD Director |  Prepares project administration agreement, as appropriate  Determines investment credit established by qualifying establishment  Authorizes allocation of funds for project | VDOT Manager |  Provides oversight for locally administered project development and completion  Coordinates VDOT-administered project work  Reviews documentation of project costs as appropriate and makes recommendation in reimbursement |

[/TABLE]

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Bonded Projects Stakeholder Roles/Responsibilities

Locality  Contacts VDOT Manager regarding proposed development plans  Officially requests an Economic Development Access Program allocation through a resolution of its governing body  Provides a copy of the approved resolution to the VDOT Manager  Provides information regarding the development plans and appropriate project VEDP  VDOT’s Access Program Manager and the Locality will work with VEDP to determine the site’s potential for attracting capital investment  VEDP will provide a Low, Medium or High designation for the site.  If VEDP provides a designation below Low, the project would not be eligible VDOT Manager  Assembles and reviews information on project request and business establishment and forwards recommendation to District Administrator (copy to Local Assistance Division).  Forwards information necessary for SERP, if appropriate  Confirms project design meets standards and verifies project cost estimate and coordinates with District Traffic Engineer regarding approval of access, when applicable VDOT District  Provides recommendation to Local Assistance Division Administrator  Coordinates with Locality to brief CTB District Member regarding project after notification of VEDP concurrence from LAD Director VDOT LAD  Ensures all project information necessary to evaluate eligibility of project is submitted Director  Coordinates with VEDP to obtain eligibility determination and recommendation  Coordinates with District to ensure project adherence with road design and access requirements  Provides project allocation request to CTB, as appropriate CTB  Reviews and approves of project allocation, if appropriate  Formalizes conditions of allocation expenditure Locality Ensures compliance with contingencies of CTB allocation and provides appropriate documents, as necessary, to VDOT Manager. (Contingencies must be met prior to fund expenditure.) VDOT Manager  Forwards to locality determination of SERP and Preliminary Environmental Inventory (PEI), if SERP applies.  Confirms compliance with contingencies of CTB allocation.  Provides oversight for project plan review.

VDOT LAD  Prepares project administration agreement, as appropriate.

Director  Determines investment credit established by qualifying establishment.  Authorizes allocation of funds for project The tasks below may occur at any point following CTB’s allocation approval and prior to termination of bonded period.

Locality  Submit Qualified Establishment Request to VDOT Manager. Request will include: o Description of business, capital investment anticipated, and new employment anticipated;

Road Design Plans (or preliminary plans);

VDOT Manager  Reviews business establishment information and investment documentation and forwards it to Local Assistance Division.

VEDP and  Provides determination regarding eligibility as a Basic Employer and provides recommendation in VDSBSD use of the Economic Development Access Program VDOT LAD  Coordinates with VEDP to obtain eligibility determination and recommendation Director  Coordinates with District to ensure project adherence with road design and access requirements  Determines investment credit established by qualifying establishment and authorizes reduction or release of surety VDOT Manager  Provides oversight for locally administered project development and completion.  Coordinates VDOT-administered project work.  Reviews documentation of project costs as appropriate and makes recommendation in reimbursement. Economic Development Access Program Guide, 2022 16

[TABLE 20-1] Stakeholder | Roles/Responsibilities Locality |  Contacts VDOT Manager regarding proposed development plans  Officially requests an Economic Development Access Program allocation through a resolution of its governing body  Provides a copy of the approved resolution to the VDOT Manager  Provides information regarding the development plans and appropriate project VEDP |  VDOT’s Access Program Manager and the Locality will work with VEDP to determine the site’s potential for attracting capital investment  VEDP will provide a Low, Medium or High designation for the site.  If VEDP provides a designation below Low, the project would not be eligible VDOT Manager |  Assembles and reviews information on project request and business establishment and forwards recommendation to District Administrator (copy to Local Assistance Division).  Forwards information necessary for SERP, if appropriate  Confirms project design meets standards and verifies project cost estimate and coordinates with District Traffic Engineer regarding approval of access, when applicable VDOT District Administrator |  Provides recommendation to Local Assistance Division  Coordinates with Locality to brief CTB District Member regarding project after notification of VEDP concurrence from LAD Director VDOT LAD Director |  Ensures all project information necessary to evaluate eligibility of project is submitted  Coordinates with VEDP to obtain eligibility determination and recommendation  Coordinates with District to ensure project adherence with road design and access requirements  Provides project allocation request to CTB, as appropriate CTB |  Reviews and approves of project allocation, if appropriate  Formalizes conditions of allocation expenditure Locality | Ensures compliance with contingencies of CTB allocation and provides appropriate documents, as necessary, to VDOT Manager. (Contingencies must be met prior to fund expenditure.) VDOT Manager |  Forwards to locality determination of SERP and Preliminary Environmental Inventory (PEI), if SERP applies.  Confirms compliance with contingencies of CTB allocation.  Provides oversight for project plan review.

VDOT LAD Director |  Prepares project administration agreement, as appropriate.  Determines investment credit established by qualifying establishment.  Authorizes allocation of funds for project | The tasks below may occur at any point following CTB’s allocation approval and prior to termination of bonded period.

Locality |  Submit Qualified Establishment Request to VDOT Manager. Request will include: o Description of business, capital investment anticipated, and new employment anticipated;

Road Design Plans (or preliminary plans);

VDOT Manager |  Reviews business establishment information and investment documentation and forwards it to Local Assistance Division.

VEDP and VDSBSD |  Provides determination regarding eligibility as a Basic Employer and provides recommendation in use of the Economic Development Access Program VDOT LAD Director |  Coordinates with VEDP to obtain eligibility determination and recommendation  Coordinates with District to ensure project adherence with road design and access requirements  Determines investment credit established by qualifying establishment and authorizes reduction or release of surety VDOT Manager |  Provides oversight for locally administered project development and completion.  Coordinates VDOT-administered project work.  Reviews documentation of project costs as appropriate and makes recommendation in reimbursement.

[/TABLE]

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VI. PROJECT ALLOCATIONS

A. Allocations for Design-Only projects

Subject to available funding, the maximum unmatched allocation to a locality for a

Design-Only project, within any one fiscal year, is $150,000; allocations may be used for one or more projects. Further, the total amount available statewide under this program is limited by statute.

When the cost of a Design-Only access project exceeds $150,000, the locality may request up to $50,000 in supplemental funds which must be matched on a dollar-for-dollar basis by a contribution from the general fund of the county, city, or town. Project costs in excess of the allocation will be the responsibility of the locality.

Design Only Example: (Maximum Allocation) $150,000 Unmatched $50,000 Matched $50,000 Local Match $250,000 Total

B. Allocations for Standard and Bonded Construction projects

Subject to available funding, the maximum unmatched allocation to a locality for a

standard or bonded construction project, within any one fiscal year, is $700,000; allocations may be used for one or more projects. Further, the total amount available statewide under this program is limited by statute.

When the cost of a construction access project exceeds $700,000, the locality may request up to $150,000 in supplemental funds which must be matched on a dollar-for-dollar basis by a contribution from the general fund of the county, city, or town.

Project costs in excess of the allocation will be the responsibility of the locality.

The amount of capital investment documentation required will be based on the CTB’s allocation and the locality’s level of distress at the time of CTB project approval.

Example 1: Non-Distressed Locality Cost of constructing road = $700,000 Allocation from the CTB = $700,000

Qualifying investment provided (5X the allocation) = $3,500,000

Example 2: Single Distressed Locality Cost of constructing road = $700,000 Allocation from the CTB = $700,000 Qualifying investment provided (4X the allocation) = $2,800,000

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Example 3: Double Distressed Locality Cost of constructing road = $700,000 Allocation from the CTB = $700,000

Qualifying investment provided (3X the allocation) = $2,100,000

A locality may receive an allocation on behalf of a regional industrial authority without impacting its annual allocation eligibility. An allocation for a regional industrial facility authority project is subject to the same limitations as other Economic Development Access projects.

When the cost of an individual access project exceeds $700,000, the locality may request up to $150,000 in supplemental funds which must be matched on a dollar-for-dollar basis by a contribution from the general fund of the county, city, or town.

Such supplemental state funding shall be determined by the qualifying investment and the locality’s level of distress. Project costs in excess of the allocation will be the responsibility of the locality.

It is intended that Economic Development Access Program funds be requested as reasonably needed by the locality, but that these funds not be anticipated from year

to year. Unused eligibility from a preceding year cannot be carried forward to an ensuing fiscal year.

C. Allocations for MEI Sites

For projects meeting the MEI criteria, some additional consideration is made.

Design-Only Projects

For projects serving sites meeting the definition of MEI, the locality may receive up to the maximum unmatched allocation and matched allocation for a design-only project. The local governing body shall guarantee by bond or other acceptable surety that plans for a MEI project will be developed to standards acceptable to VDOT.

Upon approval of the road plans by VDOT, the surety may be released. The one-time allocation for a design-only project cannot be approved in the same year as an allocation for a construction project.

MEI Example – Design-Only: (Maximum Allocation) $500,000 Unmatched

$150,000 Matched $150,000 Local Match $800,000 Total

Additional Allocation

For projects serving sites meeting the definition of MEI, the locality may receive up to the maximum unmatched allocation and an additional $500,000 matched allocation for a road construction project. Project allocations for a given MEI Economic Development Access Program Guide, 2022 18

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construction project may be cumulative for not more than two years. An additional allocation can also be provided for design.

MEI Example – Construction Project: (Maximum Allocation) Year One $ 500,000 Unmatched $ 500,000 Matched $ 500,000 Local Match $1,500,000 Total

Year Two $ 500,000 Unmatched $ 500,000 Matched $ 500,000 Local Match $1,500,000 Total

Construction Project Cumulative

$ 1,000,000 Unmatched $ 1,000,000 Matched $ 1,000,000 Local Match $3,000,000 Total

D. Time Limits for Standard Projects

To ensure the most effective use of the limited funds available for the Economic Development Access Program, allocations made for new access roads or improvements to serve a specific qualifying establishment are expected to be committed by contract or otherwise under construction within two years from the date of CTB approval.

Allocations for projects that are not actively under way within two years of project approval by the CTB may be deallocated to fund new projects unless the Director of Local Assistance grants an exception due to unusual circumstances. At the end of 22 months following the allocation, if the proposed road access improvements to serve the new or expanding qualifying establishment have not been initiated, the locality shall submit a written explanation of the status of the project and reason for delay if an extension of time is needed. Nothing precludes the locality from reapplying for an allocation in the future once the plans for economic development are more imminent.

E. Time Limits for Bonded Projects

Pursuant to § 33.2-1509 of the Code of Virginia which establishes funding for this program, allocations may be approved for new access roads or improvements to existing

roads for projects when a qualifying establishment is not yet constructed or under firm contract and the local governing body guarantees by bond or other acceptable surety that such will occur. In order to ensure the most effective use of the limited funds available for the program, the time limit for such bond shall be five years, beginning on the date of the allocation of the economic development access funds by resolution of the CTB.

Similar to standard Economic Development Access projects, if proposed road access improvements to serve eligible property have not been initiated within 22 months Economic Development Access Program Guide, 2022 19

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following the CTB allocation, the locality shall submit a written explanation of the status of the project and reason for delay if an extension of time is needed.

At the end of the five-year bonded period the amount of Economic Development Access funds expended on the project and not justified by eligible capital outlay of one or more

qualifying establishments acceptable to the Board shall be reimbursed to VDOT voluntarily by the locality or by forfeiture of the surety unless the locality elects to utilize the CTB Policy’s staggered payback provisions. Time limits associated with these payback provisions are outlined in Section IV.A.2.

The payback provisions specify that at the end of the five-year time bond period or at the termination of an extended bond period, rather than reimbursing the Department in full those funds expended on the project but not justified by eligible capital outlay, the locality may elect to extend the bond or other acceptable surety for another four-year period. The locality may then, on an annual basis, reimburse the Department 20% of those funds expended on the project but not justified by eligible capital outlay, with the first annual payment to be made on or before the first day of the new bonded period, until such time that 100% of the required reimbursement is provided or until the locality can document sufficient capital investment by an eligible establishment. The locality’s bond or other acceptable surety will be reduced annually by the amount repaid to the Department. In the event that during the extended bonded period, the locality can document sufficient capital investment by an eligible establishment, the locality may

request a refund of any reimbursements made to the Department. Such request may be granted if funds are available and on a first come, first served basis in competition with applications for economic development access funds from other localities. The time limit for MEI projects is based on the CTB’s first allocation.

F. Improvements to Existing Roads

Where an existing road constitutes a portion of the secondary system of state highways or is part of the road system of the locality in which it is located, Economic Development Access funds may be used to improve the existing road only to the extent required to meet the needs of traffic generated by the new or expanding establishment.

Additionally, where access to a qualified economic development site is via an existing road that can be determined inadequate for providing safe and efficient movement of the type of traffic generated by the site or that this traffic conflicts with the surrounding road network to the extent that it poses a safety hazard to the general public, consideration may be given to funding additional improvements. Such projects must be requested by resolution of the local governing body and will be evaluated on case- by-case basis. The VDOT Regional Traffic Engineer may be requested to evaluate and

provide a recommendation on such requests. However, intersection improvements, traffic signal installation, or construction of turn lanes, as stand-alone projects, typically are not eligible for Economic Development Access Program funds.

When a project is established to improve an existing road to serve an eligible parcel having frontage on that road, Economic Development Access funds will provide for improvements to the proposed primary entrance.

Economic Development Access Program Guide, 2022 20

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VII. ACCEPTANCE INTO SYSTEM

New roadways, upon completion, are opened to public use and must be accepted into the appropriate system for maintenance. If a developer or other landowner intends to close or gate a road into a development for security or other reasons, the project is

ineligible for Economic Development Access Program funding. For all counties, except Arlington and Henrico, and in towns not maintaining their own road systems, these improvements will be added to the secondary system of state highways. For cities and towns receiving maintenance payments, and in the counties of Arlington and Henrico, these roads are to be taken into the road system of these locality.

Economic Development Access Program Guide, 2022 21

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Appendix A

Economic Development Access Program Checklist

Economic Development Access Program Guide, 2022 22

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Economic Development Access Program Outline/Checklist

The purpose of the Economic Development Access Program is to assist localities in providing adequate access to new or expanding economic development sites. Adequate access, in consideration of the type and volume of traffic to be generated by the subject site, may require the construction of a new roadway, improvement of an existing roadway, or both to serve the qualifying development. The program is administered by VDOT under the authority of § 33.2-1509 of the Code of Virginia.

These funds may be requested by the local governing body of counties, cities, and certain towns that receive highway maintenance payments under §33.2-319 of the Code of Virginia. The maximum unmatched allocation within any one fiscal year is $700,000. A supplement of up to $150,000 is available upon locality’s match (dollar for dollar). Funding is dependent on the

estimated cost of eligible portion of access road and anticipated eligible capital investment on sites served. Such supplemental funds shall be considered only when an individual project’s estimated eligible costs exceed $700,000.

Funds may be allocated for construction of an access road project to an eligible site that is owned by a regional industrial facility authority, created pursuant to §15.2-6402 of the Code of Virginia, without penalty to the jurisdiction in which the site is located. This provision may be applied to one regional project per fiscal year in any jurisdiction, subject to the same funding limitations as prescribed for other individual projects.

PROJECT IDENTIFICATION  Qualifying Establishment – (where it has been determined that a named establishment is

eligible and the development site is viable and does not have adequate access)  Determination by VDOT and VEDP

 Documentation of eligible capital investment  Reimbursement based on actual project cost

 Bonded Project – (where site(s) is (are) determined not to have adequate access and the locality is willing to guarantee that eligible capital investment will occur warranting the use of the access road funds)  Determination by VDOT and VEDP

 Provision of acceptable surety by locality that qualifying investment will be established on project within 5-year period beginning with date of CTB allocation by resolution  Reimbursement based on eligible capital investment of qualifying establishment(s)

served in relation to cost of project

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REQUEST & PROJECT INFORMATION SUBMITTAL (once a qualifying establishment can be identified)  A qualifying establishment provides the locality with a letter of intent that includes:  Description and location of site  Target dates for building construction and facility operation  Itemized capital investment planned for site  Description of operation of the subject establishment  Number of new jobs

 Description of access road improvements requested  Volume and type of traffic generated by site operation

  1. The locality contacts the local VDOT Manager with the proposed development plans:  Requests funds by resolution of the local government  Provides appropriate project information  Complies with applicable state/federal environmental laws, regulations, etc.  Provides Project Certification form (for projects administered by locality)

  2. The Local VDOT Manager  Assembles project request information  Forwards information necessary for SERP  Reviews project information  Recommends project design and provides project costs estimate

  3. The VDOT District Administrator  Reviews project information

 Provides recommendation to Local Assistance Division  Addresses project request & recommendation with District CTB member

  1. The Virginia Economic Development Partnership  Reviews project and information pertaining to operation of the establishment  Provides recommendation in use of the Economic Development Access Fund

  2. The Local Assistance Division Director  Reviews project information  Assembles information and recommends proposed project to CTB for consideration

  3. The Commonwealth Transportation Board  Reviews and approves the project allocation, if appropriate  Formalizes conditions of fund expenditure

  4. Virginia Department of Transportation

 Makes determination of SERP applicability  Provides Preliminary Environmental Inventory (PEI) if SERP applies  Verifies contingencies of allocations are met prior to expenditure  Provides oversight for project plan review and construction  Authorizes expenditures of Program funds

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Appendix B

Standard Project Scorecard (Known Industry)

Application Evaluative Criteria Known Industry MAX Points Total Expected Capital Investment 3X allocation (only for Double Distressed Localities) – 25 points 4X allocation (only for Single Distressed Localities) – 30 points 5X allocation – 35 points 40 More than 5X Allocation – 40 points Single & Double Distressed localities can get a higher point value by offering a higher amount of Capital Investment Expected Full Time (FT) Job Creation 0-20 FT Jobs Created – 15 points 20-50 FT Jobs Created – 20 points 30 50-150 FT Jobs Created – 25 points More than 150 FT jobs Created – 30 points VEDP to provide support with verifying the full time job creation numbers Need for Access Road Existing roadway to the site needs to be improved – 10 points Traffic impact analysis supports the proposed project – 10 points 20 or No existing roadway provides access to the site – 20 points Locality’s Level of Distress Single Distressed – 5 points 10 Double Distressed – 10 points *As defined by the VEDP’s Commonwealth Opportunity Fund TOTAL 100 Must receive a minimum of 50 points for recommendation

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[TABLE 29-1] Application Evaluative Criteria | Known Industry | MAX Points Total Expected Capital Investment 3X allocation (only for Double Distressed Localities) – 25 points 4X allocation (only for Single Distressed Localities) – 30 points 5X allocation – 35 points More than 5X Allocation – 40 points Single & Double Distressed localities can get a higher point value by offering a higher amount of Capital Investment | | 40 Expected Full Time (FT) Job Creation 0-20 FT Jobs Created – 15 points 20-50 FT Jobs Created – 20 points 50-150 FT Jobs Created – 25 points More than 150 FT jobs Created – 30 points VEDP to provide support with verifying the full time job creation numbers | | 30 Need for Access Road Existing roadway to the site needs to be improved – 10 points Traffic impact analysis supports the proposed project – 10 points or No existing roadway provides access to the site – 20 points | | 20 Locality’s Level of Distress Single Distressed – 5 points Double Distressed – 10 points *As defined by the VEDP’s Commonwealth Opportunity Fund | | 10

TOTAL | | 100

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Appendix C

Bonded Project Scorecard (Speculative Industry)

Application Evaluative Criteria Speculative Industry MAX Points Total Expected Capital Investment 3X allocation (only for Double Distressed localities) – 5 points 4X allocation (only for Single Distressed localities) – 10 points 5X allocation or greater – 15 points 15 Speculative projects receive points for the minimum expected Capital Investment Single & Double Distressed localities can get a higher point value by offering higher Capital Investment than required Site’s Potential for Capital Investment Low potential for Capital Investment – 20 points Medium potential for Capital Investment – 30 points High potential for Capital Investment – 40 points 40 VEDP will provide support with determining the Site’s Potential for Capital Investment Projects that receive a Site Potential score below “Low” will not be eligible for an Access Program Construction grant Expected / Potential Full Time (FT) Job Creation 0-50 FT Jobs Created – 5 points 50-150 FT Jobs Created – 10 points 15 More than 150 FT Jobs Created – 15 points VEDP to provide support with verifying the full time job creation numbers Need for Access Road Existing roadway to the site needs to be improved – 10 points Traffic impact analysis supports the proposed project – 10 points 20 or No existing roadway provides access to the site – 20 points Locality’s Level of Distress Single Distressed Locality – 5 points 10 Double Distressed Locality – 10 points As defined by the VEDP’s Commonwealth Opportunity Fund TOTAL 100 Must receive a minimum of 50 points for recommendation

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[TABLE 30-1] Application Evaluative Criteria | Speculative Industry | MAX Points Total Expected Capital Investment 3X allocation (only for Double Distressed localities) – 5 points 4X allocation (only for Single Distressed localities) – 10 points 5X allocation or greater – 15 points Speculative projects receive points for the minimum expected Capital Investment Single & Double Distressed localities can get a higher point value by offering higher Capital Investment than required | | 15 Site’s Potential for Capital Investment Low potential for Capital Investment – 20 points Medium potential for Capital Investment – 30 points High potential for Capital Investment – 40 points VEDP will provide support with determining the Site’s Potential for Capital Investment Projects that receive a Site Potential score below “Low” will not be eligible for an Access Program Construction grant | | 40 Expected / Potential Full Time (FT) Job Creation 0-50 FT Jobs Created – 5 points 50-150 FT Jobs Created – 10 points More than 150 FT Jobs Created – 15 points VEDP to provide support with verifying the full time job creation numbers | | 15 Need for Access Road Existing roadway to the site needs to be improved – 10 points Traffic impact analysis supports the proposed project – 10 points or No existing roadway provides access to the site – 20 points | | 20 Locality’s Level of Distress Single Distressed Locality – 5 points Double Distressed Locality – 10 points As defined by the VEDP’s Commonwealth Opportunity Fund | | 10

TOTAL | | 100

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Executive Summary

The enhanced compliance analysis of Virginia Department of Transportation guidance documents has achieved an overall reduction of 22.6% across 19 documents.