Legal Handbook for the New Starts Process (2010)

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ConTenTs (cont’d) CONTENTS Chapter I: the New Starts program—history and Framework, 3 a. the Federal New Starts program, 3 B. Statutory and regulatory history of the Federal New Starts program, 3 C. New Starts project Development process and timeline, 5 D. Key Decision points in the process; a Cautionary Note, 6 e. Key areas of Concern about the process, 6 F. the Legal Framework and Fundamental requirements, 8 G. projects eligible for New Starts Funding/eligible applicants, 8 Chapter II: Fta project evaluation and rating process, 9 a. purpose and Statutory Basis, 9 B. project evaluations—Criteria, 9 C. project ratings, 11 D. applying the Criteria—an Ongoing process, 12 e. the project evaluation process—Legal Issues/Use of project Development agreement, 12 Chapter III: alternatives analysis phase, 12 a. purpose and process, 12 B. Metropolitan planning process, 14 C. the environmental process/Distinguishing eIS alternatives From alternatives analysis, 15 D. Completion of alternatives analysis phase, 18 e. Submit request to Fta to proceed to preliminary engineering— Fta Checklist, 18 Chapter IV: preliminary engineering phase, 19 a. Fta approval to enter preliminary engineering/Blanket pre- award authority to Incur Costs, 19 B. purpose of preliminary engineering, 19 C. project Management plan; project Management Oversight, 19 D. project Sponsor Updates Data for New Starts Criteria; Standard Cost Categories; third-party agreements, 20 e. Fta Makes environmental Finding, 20 F. Legal Issues During the preliminary engineering phase/early Systems Work agreement, 21 G. Fta assigns Financial Management Oversight Contractor/Value engineering, 22 h. procurement process—Methods of project Delivery, 23 I. Submit request to Fta to proceed to Final Design, 25 Chapter V: Final Design phase, 25 a. Fta approval to enter Final Design/Blanket pre-award authority to Incur Costs, 25 B. purpose of Final Design, 26 C. Begin right-of-Way acquisition/Utility relocation, 26 D. Federal program requirements Met, 26 e. Commitment of all Non-New Starts Funding/Financial Capacity, 27 F. Various plans; risk assessment, 27 G. Submit Updated New Starts Criteria Data; Determine project Cost, 27 h. the procurement process, 28 I. request Full Funding Grant agreement—Checklist, 28 J. ability to proceed Before Full Funding Grant agreement (Use of pre-award authority or LONps), 28 K. Other Issues: Before and after Study, 28 Chapter VI: the Full Funding Grant agreement, 28 A. Background, Purpose, and Significance of Full Funding Grant agreement; Fta Full Funding Grant agreement Circular, 28 B. terms and Conditions, 29 C. attachments, 32 D. Submission to Congress, 33 Chapter VII: Fta Funding recommendations, 33 a. Fta ratings, 33 B. ratings are Not Funding assurance, 33 C. Basis of Fta New Starts Funding allocation Decisions, 34 D. Fta annual report on Funding recommendations, 34 Chapter VIII: Small Starts and Very Small Starts, 35 a. the Statutory and regulatory Framework, 35 B. Sponsors Submit Detailed Cost estimate Using Fta’s Standardized Cost Categories, 35 C. Small Starts—results of planning and alternatives analysis, 36 D. project Development, 36 E. Project Justification Rating, 36 F. Financial Capability, 36 G. Overall rating, 36 h. authority to proceed to project Construction Grant agreement, 37 I. project Construction Grant agreement, 37 J. Very Small Starts—Created by Fta, Not Statute, 37 CONCLUSION, 38 appeNDIx a: Selected projects, 39