Four of the five existing rules are being repealed and the one remaining rule is being amended. Repeal of these rules is part of the Department’s overall goal to review existing rules and to repeal any rules that are considered to be obsolete or ...  

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    DEPARTMENT OF TRANSPORTATION

    RULE NO: RULE TITLE
    14-88.001: Purpose
    14-88.002: Definitions
    14-88.003: Requirements of Applicant Applications
    14-88.0041: Submission and Award
    14-88.005: Administration of Trust Funds and Applicant Projects
    PURPOSE AND EFFECT: Four of the five existing rules are being repealed and the one remaining rule is being amended. Repeal of these rules is part of the Department’s overall goal to review existing rules and to repeal any rules that are considered to be obsolete or unnecessary. The remaining rule is simplified.
    SUMMARY: The rule chapter is being simplified by repealing four of the five existing rules.
    SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS: No Statement of Estimated Regulatory Cost was prepared.
    Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.
    SPECIFIC AUTHORITY: 338.251 FS.
    LAW IMPLEMENTED: 334.30, 343.82, 348.0004, 338.251 FS.
    IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE SCHEDULED AND ANNOUNCED IN FAW.
    THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: James C. Myers, Clerk of Agency Proceedings, Florida Department of Transportation, Office of the General Counsel, 605 Suwannee Street, Mail Station 58, Tallahassee, Florida 32399-0458.

    THE FULL TEXT OF THE PROPOSED RULE IS:

     

    14-88.001 Purpose.

    Specific Authority 20.23, 334.044(2), 338.251(11) FS. Law Implemented 338.251 FS. History–New 1-8-86, Amended 9-22-92, Repealed_________.

     

    14-88.002 Definitions.

    Specific Authority 20.23, 334.044(2), 338.251(11) FS. Law Implemented 338.251 FS. History–New 1-8-86, Amended 9-22-92, Repealed_________.

     

    14-88.003 Toll Facilities Revolving Trust Fund Application Requirements of Applicant Applications.

    (1) A county, a municipality, an expressway or a bridge authority pursuant to Chapter 348, F.S., a private entity pursuant to Section 334.30(7), F.S., and the Turnpike Enterprise, may apply for loans from the Toll Facilities Revolving Trust Fund for a revenue producing road project such as a toll road, bridge facility, or related toll facility work. Section 338.251(2), Florida Statutes, requires that needed material and information shall be “documented to the Department of Transportation” before trust fund monies can be advanced/awarded to implement an applicant project. When required documentation is provided in an application, the Department will consider the application for an award of trust fund monies. However, this does not obligate the Department of Transportation to advance/award trust funds to any local governmental entity.

    (2) A complete An applicant application shall include the following information:

    (a) Entity Applicant name, mailing address, and street address.

    (b) Contact person, title, phone number, and e-mail address.

    (c)(b) Project Application title and type(s) of activity(ies) proposed as defined in this Rule Chapter.

    (d)(c) A sStatement of needs(s) that shall includes a clear presentation and of documentation of the conditions and problems that exist, and which the proposed applicant project activities will help to resolve. This information that should demonstrates how that requested applicant project activities will help resolve the directly affect documented problems.

    (e)(d) Project objective(s) that specifies the detailed results required for the type(s) of activity(ies). defined in Rule 14-88.001, F.A.C. A clear, concise and complete enumeration of expected results/products to be delivered by the applicant project is required.

    (f)(e) A dDetailed project budget and commitment schedule composed of a two year budget proposal that contains detailed lists (by fiscal quarter) of proposed trust funded activity and sub-activity expenditures that are consistent with the project schedule. For allowable activities, Ccontingency costs may be allowable but shall be itemized and presented for consideration must be itemized.

    (g)(f) A dDetailed project schedule consistent with the project objective(s) and budget. The project schedule is a procedural plan, a detailed program of actions, that specifies what will be done by whom, when, and where for each activity requested (by fiscal quarter) for the life of the project.

    (h)(g) A cCertification letter from the applicable Metropolitan Planning Organization’s (MPO) chairperson stating MPO supporting for the candidate project, and indicating that the a candidate project is consistent (“compatible with” and “furthers” as defined in this Rule Chapter) with its the adopted MPO comprehensive transportation plan.

    (i)(h) Documentation indicating how the candidate project is consistent (as defined in this Rule Chapter) with the adopted Florida Transportation Plan (FTP).

    (2)(i) Applications for engineering design activities below the 60% completion stage, final environmental impact studies/actions, financial advisory services, or advanced right of way activities (excluding purchase) shall also include provide the information specified in paragraphs 14-88.003(2)(a) through (h), F.A.C. and the following:

    (a)1. Final preliminary engineering studies and reports as defined by this Rule Chapter or a status report on the studies progress.

    (b)2. Final traffic and revenue study providing projected traffic levels and needed toll revenues studies as defined by this Rule Chapter or a status report on the study’s studies progress by traffic and revenue forecasting consultants who have at least five years of professional experience analyzing revenue producing projects that leads to successfule issue of bonds.

    (c)3. An approved environmental class of action determination” as specified in the FDOT “Project Development and Environment Manual: Part I” or dDocumentation (specified in the manual) shall be required that indicates the “class of action determination” process has been followed and is complete.

    (d)4. A multi-year dDevelopment schedule listing of all source and use of funds for all project phases with projected costs for each phase by fiscal year, listing separately for the applicant and candidate projects. This should include all fund contributions in cash or in kind for projected project costs. The schedule shall depict the financing sources, projected fund amounts in each for all project phases (each listed separately) and the projected dates (fiscal year) the expenditures will would be made. Pledges and donations of land shall be included and shown as in kind contributions, and pledges of local funds to pay for debt service shall be clearly specified.

    (e)5. A schedule of all (100%) engineering design activities with the estimated time frames for each activity to be accomplished.

    (3)(j) Applicant Aapplications for final engineering design activities beyond the 60% completion stage of all engineering design plans shall also include provide the information required in paragraphs  14-88.003(2)(a) through (i), F.A.C., and the following:

    (a)1. A schedule of remaining engineering design activities with the estimated time frames for each to be accomplished.

    (b)2. A An acceptable plan to the Department to finance total candidate project costs to include the reimbursement of outstanding Trust fFund advances, and a current and complete source and use of funds schedule.

    (c)3. Documentation that the project is financially feasible in that pledged revenues will support debt service.

    (d)4. Letters of intent from applicable county(ies) or municipality(ies) where the candidate project will would be constructed expressing the extent to which they are willing to pledge financial support for the candidate project and the source of the financial backing.

    (4)(k) Applications for the purchase of advance right of way property shall also provide the following:

    (a)1. Documentation that required right of way map(s) as defined in this Rule Chapter have been completed;

    (b)2. An approved final environmental impact document, or documentation from the appropriate Florida Department of Transportation Ddistrict Environmental Office indicating that all required actions required in the FDOT “Project Development and Environment Manual” have been taken and are complete;

    (c)3. Substantive documentation from an appraiser who is qualified to perform appraisals for the Department FDOT (as provided in Rule 14-95.003, F.A.C.) that the value of the property will shall substantially appreciate prior to construction of the candidate project and that savings will likely shall result from the advance purchase of the property. The term “substantive” is intended to elicit information from qualified appraisers that will explain and support reasons for judging that a property will appreciate and savings will result. Statements without supporting information shall not be acceptable. Acceptance of the documentation by the appropriate Ddistrict Office of Right of Way shall be required for acceptance;

    (d)4. Negotiated contract(s) for the purchase of the right of way shall that includes the stipulation “the contract is subject to funding by the Department of Transportation or Legislature of Florida., or Pproperty appraisals of the right of way (as defined in paragraph 14-95.002(2)(b), F.A.C.) shall be performed by an appraiser who is qualified to perform appraisals for the Department FDOT (as provided in Rule 14-95.003, F.A.C.). Acceptance by the appropriate Ddistrict Office of Right of Way shall be required for acceptance of the negotiated contract(s) and or of the property appraisals;

    (5)(3) To be considered for funding under the provisions of this Rule Chapter, Aapplications must be submitted to:

    Office of Financial Development Secretary of Transportation

    Florida Department of Transportation

    605 Suwannee Street, MS 7

    Tallahassee, Florida 32399-0450 

    Attention: Office of Management and Budget

    Applications may be submitted at any time during a fiscal year.  However, applications shall be submitted at least 90 days prior to the end of the fiscal year to be considered from available fiscal year funds.

    (6) A written agreement must be executed by the Department and the borrower when fund advances are awarded. The agreement shall contain uniform standard conditions and special conditions that include programmatic or financial requirements which must be satisfied by a borrower before an advance of funds can be executed. Standard conditions shall also contain the following:

    (a) Trust fund dollar amounts to be advanced;

    (b) Procedures for transfer of funds to the borrower;

    (c) Consultant selection and management requirements;

    (d) Fund expenditure and restriction requirements;

    (e) Programmatic and financial reporting and audit requirements;

    (f) Fund repayment requirements; and

    (g) Draw-down amounts based on projected financial needs specified in approved project budget.

    (7) At the time of initial bond issuance the borrower shall provide written notice to the Office of Financial Development whether the borrower elects to repay advances from initial bond proceeds or on the basis of repayment schedules. When a repayment schedule option is selected a schedule, in the form of a resolution from the borrower, shall accompany the notification. When repayment is to be made of the initial bond issue proceeds, provision shall be made for such repayment in the bond resolution and shall be repayable in full upon sale of the bonds. When bonds are not issued, repayment shall remain a requirement. In such cases, a repayment schedule in the form of a resolution from the borrower shall be furnished to the Department no later than 90 days prior to the end of the sixth year from the date of the agreement.

    (8) District Secretaries of applicable districts shall actively participate in the approval of scope of work proposals and products by consultants.

    (9) The borrower shall be authorized to obligate and expend trust funds and interest earnings on the basis of approved project budgets but are not authorized to use funds for administrative, audit, legal, and contingency costs, or for those items prohibited by Rule 69I-40.103, F.A.C., except that legal costs may be advanced for the right of way acquisition process. No authority is granted to obligate or expend funds, or initiate or conduct activities, that would result in the obligation of trust funds for items or activities that have not been authorized in approved project budgets, schedules or objectives. Any unauthorized expenditure of funds plus interest shall be immediately paid to the Department in accordance with a schedule approved by the Department. Amended project budgets, schedules and objectives can be requested by the borrower at any time after the execution of an agreement but approval shall be limited to achieving the objectives and activities first approved in the affected agreements.

    (10) The borrower shall structure and manage consultant contracts in phases to provide for the termination and payment for work to date if a project is determined non-feasible.

    (11) Upon termination of projects, unspent trust fund advances including interest earned shall be immediately remitted to the Department by the borrower. The returned proceeds shall be counted toward the repayment of the loan.

    (12) The borrower shall immediately remit to the Office of Financial Development all remaining trust funds and interest earned upon completion of work approved in the agreement.

    (13) Any funds including interest not committed after one year from the date of an award shall be remitted to the Office of Financial Development. A balance of proceeds can be retained sufficient to liquidate executed contracts financed by funds approved in the agreement.

    (14) If a project is determined to be financially non-feasible by the Department or a borrower, further obligation of awarded project funds shall be terminated by the borrower until it is documented to and approved by the Department that it is in the best interest of the Department and the State of Florida to continue with the project.

    (15) The Department is the trustee of the fund. As such, it is responsible for and shall safeguard advances from improper use or fiscal irresponsibility, and enforce the repayment of advances with interests using all legal means appropriate. In this regard, the following shall be implemented.

    (a) The borrower shall provide to the Office of Financial Development progress reports on program and financial activities that occur each quarter following the execution of the agreement. Examples of program information include: program accomplishments (specific actions taken to implement approved objectives/activities and percent of accomplishments for each -0 to 100%-), problems delaying implementation, and revised project schedules if activities are not conforming to approved project schedules. Examples of financial information include: beginning fund balances, list and purpose of expenditures for each approved activity, ending fund balances for each approved activity, interest earned to date, the interest percentage rate being earned, and the amount and percent of funds being contributed to the applicant project from other sources.

    (b) Program records and financial records of projects shall be maintained by the borrower separate and apart from other projects and non-project records and accounts to prevent commingling and assure a clear audit trail of all activities.

    Specific Authority 20.23, 334.044(2), 338.251(11) FS. Law Implemented 334.30, 343.82, 348.0004, 338.251 FS. History–New 1-8-86, Amended 9-22-92,________.

     

    14-88.0041 Submission and Award.

    Specific Authority 20.23, 334.044(2), 338.251(11) FS. Law Implemented 338.251 FS. History–New 9-22-92, Repealed________.

     

    14-88.005 Administration of Trust Funds and Applicant Projects.

    Specific Authority 20.23, 334.044(2), 338.251(11) FS. Law Implemented 338.251 FS. History–New 1-8-86, Amended 9-22-92, Repealed_________.

     

    NAME OF PERSON ORIGINATING PROPOSED RULE: Amy Causseaux, Toll Finance Manager, Office of Financial Development

    NAME OF SUPERVISOR OR PERSON WHO APPROVED THE PROPOSED RULE: Kevin Thibault, Assistant Secretary for Engineering and Operations, for Stephanie C. Kopelousos, Secretary

    DATE PROPOSED RULE APPROVED BY AGENCY HEAD: September 5, 2007

    DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAW: August 24, 2007

     

Document Information

Comments Open:
9/28/2007
Summary:
The rule chapter is being simplified by repealing four of the five existing rules.
Purpose:
Four of the five existing rules are being repealed and the one remaining rule is being amended. Repeal of these rules is part of the Department’s overall goal to review existing rules and to repeal any rules that are considered to be obsolete or unnecessary. The remaining rule is simplified.
Rulemaking Authority:
338.251 FS.
Law:
334.30, 343.82, 348.0004, 338.251 FS.
Contact:
James C. Myers, Clerk of Agency Proceedings, Florida Department of Transportation, Office of the General Counsel, 605 Suwannee Street, Mail Station 58, Tallahassee, Florida 32399-0458.
Related Rules: (5)
14-88.001. Purpose
14-88.002. Definitions
14-88.003. Requirements of Applicant Applications
14-88.0041. Submission and Award
14-88.005. Administration of Trust Funds and Applicant Projects