Federal Aviation Administration

1. Federal Aviation Administration Airport Development Process - Airport Capital Improvement Plan (ACIP) Project Planning to Closeout By: Mahendra Raghubeer, Airport Planner & Engineer Date: 3/2/2006

2. Federal Aviation Administration Introduction • This session will help Airport Sponsors and Consultants enhanced their understanding of the unique process involved with the Airport Capital Improvement Program, from project planning to project closeout.

3. Federal Aviation Administration Overview • 5 Years ACIP • Pre-Application • Application • Correspondence • Grant Offer • Closeout • Note – Consult your local ADO on their grant process and requirements

4. Federal Aviation Administration 5 Years ACIP • Utilize last ACIP submission (Sample 1)

5. Federal Aviation Administration 5 Years ACIP Con’t. • ACIP entered into the FAA System Of Airport Reporting (SOAR) database • Any changes must be reflected in SOAR • Sponsor will receive AIP Program Letter (Sept. – Oct.) – (Sample 2)

6. Federal Aviation Administration Pre-Application Process • Revised ACIP submission. • Sketch. • Project Narrative – Description & Justification. • Project Cost Estimate. • Certification for Selection of Consultant. • ALP “pen & ink” and/or Airspace Review. • Environmental Review. • Indicate project confirm to Airport Design Standards. • Deadline for pre-application must be met .

7. Federal Aviation Administration Pre-Application Process Con't. • Revised ACIP Submission/Meeting • Airport Sponsor & Consultant coordinates with the ADO (meeting, teleconference, etc.). • Discuss ACIP & revisions, if any. • Restrictions (airport design standards, permits, timeframe). • Alternatives. • Project priority.

8. Federal Aviation Administration Pre-Application Process Con't. • Sketch (E.G. R/W Extension) Proposed Land Acquisition 19 5000’ X 150’ 1000’ X 150’ Extension

9. Federal Aviation Administration Pre-Application Process Con't. • Project Narrative (E.G. R/W Extension) • Description – the project consist of extending the approach end of R/W 19 to 1000’ X 150’; Acquire Land (25 acres); Establish new RSA and RPZ - Design/Permitting and Construct. • Justification – extension is necessary to establish design requirements for aircraft currently using the airport and to enhance safety for the primary runway.

10. Federal Aviation Administration Pre-Application Process Con't. • Project Cost Estimate (E.G. R/W Extension) • FAA Form 5100-100 (9-03). (Sample 3) • Provide better detail & breakdown. • IFE, admin., federal, state and sponsor share. • Difficult to tell share amount when it is not identified. • Sponsor Certification for Selection of Consultant (Sample 4) • Form certifies that sponsor select consultant based on standards in AC 150/5100-14C, Architectural, Engineering, and Planning Consultant Services. • Sponsor must sign and date.

11. Federal Aviation Administration Pre-Application Process Con't. • ALP “pen & ink” change and/or Airspace Review • Review ALP for project depiction on drawing. • Any on airport ALP change must be submitted to the applicable ADO for review. • 8 copies of Form 7460-1 and detailed drawing must be submitted for FAA review. (Sample 5) • Review Form 7460-1 & drawing (7460-1 must be signed by the sponsor). • Description – dimensions & location. • Late submission could jeopardize project schedule.

12. Federal Aviation Administration Pre-Application Process Con't. • Environmental Review • Contact the ADO Environmental Rep. to determine the type of environmental form that is needed for AIP projects. • Form A Basic Categorical ExclusionForm B Documented Categorical ExclusionForm C Short Environmental Assessment • Submit form prior to deadline. • Could delay or prevent programming of projects.

13. Pre-Application Process Con't. Federal Aviation Administration General Information • Indicate project conforms to Airport Design Standards. • Submit Modification of Standards, if required. • Intergovernmental Review • ADO programming process • Review checklist. • Programming project pre-application. • OST clearance. • We will inform sponsor that we have programmed the project and assigned an AIP grant number. (Sample 6)

14. Federal Aviation Administration Application Process • Application For Federal Assistance – Form 424 & Budget Form 5100-100. • Sponsor Certification for Drug-Free Workplace. • Airport Sponsor/Engineers. Design and/or Inspection Agreement. • Independent Fee Estimate. • Preliminary Plans & Spec. – 70% Complete • Final Plans & Spec. • Sponsor Certif. of Project Plans & Spec. • Grants Based on Bid, not estimate – date advertise & open. • Submit Bid Tabulation.

15. Federal Aviation Administration Application Process Con't. • Application For Federal Assistance – Form 424 & Budget Form 5100-100 (Sample 7) • AIP number must be shown on both forms (provide accurate information). • Project description must be the same on all correspondence. • Only the authorized representative must sign and date the application, if applicable a signed resolution should be attached. • Budget sheet must reflect accurate amount.

16. Federal Aviation Administration Application Process Con't. • Sponsor Certification for Drug-Free Workplace (Sample 8) • Must be submitted for each project be signed and dated by the Airport Sponsor. • Sponsor/Engineer Design and/or Inspection Agreement • Work Scope & Cost Breakdown. • Must be signed and dated by all parties. • Compensation/method of payment (cost-plus fixed fee or lump sum). • Project schedule. • Work Scope must coincide with the Agreement cost breakdown .

17. Federal Aviation Administration Application Process Con't. • Sponsor/Engineer Design and/or Inspection Agreement • Cost summary (Sample 9) • Clearly identify all cost and fees. • All subcontracts agreement must be provided. • Hourly classification must be shown and should not fluctuate – cost summary and payment request. • No contingency costs.

18. Federal Aviation Administration Application Process Con't. • Independent Fee Estimate (IFE). • Dependent on cost of Design & Inspection Agre. • Must be solicit by the Airport Sponsor to another consultant that is not affiliated with the project. • IFE must show similar work items associated with the project. • Sponsor should negotiate with consultant, utilizing the IFE. • FAA issues grant based on negotiated agreement.

19. Federal Aviation Administration Application Process Con't. • Preliminary Plans & Spec. • 70% complete • Detail of Cover: • AIP Grant Number • 70% complete • Re-Bid if necessary • Airport name & location • Date • Final Plans & Spec. • Should contain similar detail

20. Federal Aviation Administration Application Process Con't. • Sponsor Certif. of Project Plans & Spec. • Purpose. (Sample 10) • Must be signed and dated by the Airport Sponsor. • BID • FAA issues grants based on Bid’s, not estimate. • Obtain permits prior to bidding project. • Inform FAA on advertise and bid opening dates. • Bid project prior to Spring Season.

21. Federal Aviation Administration Application Process Con't. • BID Tabulation (Sample 11) • Project could be bid as one or base bid with alternate/add-on (limited funds). • Sponsor will send summary with recommendation on bid award (lowest qualified bidder). • Cost Summary: • Should list items & cost for engineers estimate & bidders on same page. • List all alternate/add-on bids. • Provide bidders contact information (address & tel.) • No contingency.

22. Federal Aviation Administration FAA Approval Letters • Sponsor/Engineer Design Services Agreement. • Sponsor/Engineer Inspection Services Agreement. • Concurrence of Award.(Sample 12,13 & 14) Grant Offer • Issued after OST clearance. • Cover letter. (Sample 15) • Grant Offer/Agreement: • Special Conditions & budget sheet. • Signed and dated by all parties. • Master Agreement - contains Grant Assurance.

23. Federal Aviation Administration Approval Letters Con't. • Notice To Proceed (NTP) (Sample 16) • Executed grant received & accepted. • Conformed contract documents. • Performance & payment bonds (100%). • Insurance certificate (liability is not eligible under AIP). • Construction management program.

24. Federal Aviation Administration General • Change Order • Contact the ADO prior to performing work. • Cost must be justifiable & eligible. • 4 original signature sheet. • Approval. • Weekly Const. Progress & Inspec. Reports – Form 5370-1. (Sample 17) • Quarterly Federal Cash Transaction Report – Form 272. (Sample 18)

25. Federal Aviation Administration General Con't. • Payment Request • Electronic draw down is preferred. • AIP Grant number must be on the payment req. • Payment request must be the same for percentage of work completed. • Request must follow one after another. (e.g. 1, 2, 3, etc.)

26. Federal Aviation Administration Project Close-Out • Outlay Report (Form 271), including funds spent (final project cost). (Sample 19) • Sponsor Cert. Of Construction Project Final Acceptance. (Sample 20) • Acceptance of construction work by Sponsor for each contract and/or acceptance of procurement for each piece of equipment. • Request an amendment with or prior to close-out. Cannot exceed 15% of max. grant obligation • Must satisfy special conditions of grant (deed rec.)

27. Federal Aviation Administration Questions? Visit http://www.faa.gov/arp/forms for all associated forms. Mahendra Raghubeer Airport Planner & Engineer New York Airports District Office E-Mail: mahendra.raghubeer@faa.gov Fax: 516-227-3813