TRIBAL/LOCAL PUBLIC AGENCY HANDBOOK 2019
Overview of the T/LPA Handbook and the Project Development Process
Trainers Jolene Herrera Planning/STIP Unit JoleneM.Herrera@state.nm.us Jessica Hunter, P.E. T/LPA Construction Liaison Engineer Jessica.Hunter@state.nm.us i INTRODUCTION
Purpose of T/LPA Handbook • Guide for local agencies in the planning, design, and implementation of federally-funded transportation projects • Explain the various steps in the project development process • NMDOT, MPO, and RTPO staff are still available for support i INTRODUCTION
Roles and Responsibilities: NMDOT • Assist the T/LPA through all phases of the project • Staff is identified in the Handbook for each phase • Construction and Civil Rights Bureau (CCRB) has oversight during the entire project from planning to project implementation and closeout • Staff members assure compliance with the Code of Federal Regulations (CFRs), the terms of the Cooperative Agreements, and other requirements i INTRODUCTION
Roles and Responsibilities: T/LPA Person in Responsible Charge • Agency staff member who is able to answer questions and make decisions about the project • The T/LPA can designate a different staff person to be in Responsible Charge for each of the two phases established for T/LPA projects: preliminary engineering and construction i INTRODUCTION
Roles and Responsibilities i INTRODUCTION
Organization of Handbook • Handbook organized in order of project development • “What T/LPAs Need to Know” • References to other manuals and resources • Links to NMDOT website i INTRODUCTION
TRIBAL/LOCAL PUBLIC AGENCY HANDBOOK 2019 1 PLANNING
Planning Context Other Requirements • Role and functions of NMDOT • Role and functions of • ADA Transition Plan transportation planning • Title VI Plan agencies (MPOs and RTPOs) • Introduction to the Statewide Transportation Improvement Program (STIP) 1 PLANNING
Funding Opportunities District-level project MPO-level project State-level project selection selection selection $ $ $ Local match requirements $ MPO-level project selection 1 PLANNING
APPLICATION PROCESS STEP 1: Contact MPO/RTPO STEP 5: Project Prospectus Form (PPF) STEP 2: Project Scoping / Project Feasibility Form (PFF) STEP 6: Submittal of Application STEP 3: Feasibility Meeting STEP 7: Project Selection STEP 4: Feasibility STEP 8: Award Letter Determination 1 PLANNING
STIP • Projects are entered into the STIP once funding is awarded • T/LPAs will receive notification of award (via letter or email) • Scope from PPF will be used for entry into STIP • All phases and funding sources must be shown in the STIP • NMDOT staff coordinates entry into the STIP • Control number is assigned by NMDOT and must be included on all documentation for the life of the project 1 PLANNING
TRIBAL/LOCAL PUBLIC AGENCY HANDBOOK 2019 2 AGREEMENTS
General Considerations • If a project utilizes any amount of federal funding, the entire project is deemed “federal” T/LPAs must follow the requirements outlined in the T/LPA Handbook and the Cooperative Agreement • The Region Coordinator guides T/LPAs through the Cooperative Agreement process • Project deadlines for Agreements: • August 8 – Agreement Request Form (ARF) • March 15 – Signed Agreement 2 AGREEMENTS
2 AGREEMENTS
Types of Agreements Design • Preliminary engineering phase • Activities may include: planning, environmental, survey, right-of-way, design, and utilities and railroad coordination Construction ◦ Construction and construction management services Programmatic ◦ Non-infrastructure projects , including plans, studies, Safe Routes to Schools 2 AGREEMENTS
Agreement Request Form (ARF) • Completed by the Person in Responsible Charge • Reviewed by the Region Coordinator • ARF initiates the preparation of the agreement between the T/LPA and NMDOT • Important considerations: o Timeline with milestones including project end date o Outside funding sources may have different deadlines 2 AGREEMENTS
TRIBAL/LOCAL PUBLIC AGENCY HANDBOOK 2019 3 PROCUREMENT
Procurement Overview • Process applies to all T/LPA projects utilizing federal funds to pay for any portion of engineering and design-related services • NMDOT oversees the procurement process and ensures that the evaluation criteria are administered properly • T/LPAs have authority and control over the selection process, negotiations with selected consultants, and payment methods 3 PROCUREMENT
Procurement Overview (Cont.) • Assistance available from NMDOT in creating an RFP and understanding procurement requirements • An executed Cooperative Agreement must be in place prior to advertising/soliciting for any consultant services • Tribal governments are exempt from the requirements in this chapter and must follow their own procurement codes 3 PROCUREMENT
Procurement Methods and Procedures Competitive Negotiation (RFP) If estimated consultant fees are anticipated to exceed $60,000 Small Purchase (3 quotes) If estimated consultant fees are less than $60,000 Non-competitive (rarely used) Limited circumstances, pre-approved by Region Coordinator 3 PROCUREMENT
Common Procurement Issues • Contracting through CES – not allowed • Appropriate use of on-call contracts • Review of documentation (e.g. RFPs an contracts) by Region Coordinator 3 PROCUREMENT
Recordkeeping • T/LPAs must retain documentation related to the solicitation, proposal, evaluation, and consultant selection process • Other documents: financial records, supporting documents, statistical records • Documents must be retained for a period of three years 3 PROCUREMENT
TRIBAL/LOCAL PUBLIC AGENCY HANDBOOK 2019 4 PROJECT DEVELOPMENT
Project Development Overview • Process that T/LPAs follow once a project has been awarded funding and a cooperative Person in Responsible Charge agreement has been executed • Agency staff member who is • able to answer questions T/LPAs coordinate all project development and make decisions about activities through the Region Coordinator the project • Responsible for seeing the • Federal funds work as a reimbursement project through to program. All project costs must be paid up- completion front by the T/LPA • Plays an essential role in project development • Project development process involves coordination activities and certification requirements described in chapters 5-9 4 PROJECT DEVELOPMENT
Milestone 1 - Procurement Milestone 1 - Procurement T/LPA coordinates with Region Coordinator on Procurement Project Development Milestones Process (see Procurement Chapter) Milestone 2 - Project Scoping Milestone 2 - Project Scoping T/LPA submits Project Scoping Report to Region Coordinator Milestone 3 - Preliminary Design (30% Design) Milestone 3 - Preliminary Design (30% Design) T/LPA submits Preliminary Design to Region Coordinator Design review meeting with Region Coordinator and CLE Milestone 4 - Grade and Drain (60% Design) Milestone 4 - Grade and Drain (60% Design) T/LPA submits Grade and Drain to Region Coordinator Design review meeting with Region Coordinator and CLE 4 PROJECT DEVELOPMENT
Milestone 5 - Plan-in-Hand (90% Design) Milestone 5 - Plan-in-Hand (90% Design) Project Development Milestones T/LPA submits Plan-in-Hand to Region Coordinator Design review meeting with Region Coordinator and CLE Milestone 6 - Plans, Specifications, and Estimates (PS&E) Milestone 6 - Plans, Specifications, and Estimates (PS&E) T/LPA submits Plans, Specifications, and Estimates (PS&E) to Region Coordinator / PS&E review meeting Milestone 7 - Production Milestone 7 - Production T/LPA submits Project Production Package to Region Coordinator CLE submits Obligation Letter to POD 4 PROJECT DEVELOPMENT
Project Scoping Report • Use your Project Prospectus Form (PPF) to complete Scoping Report • Defines proposed improvement(s) and level of effort for right-of- way certifications and environmental clearances; created after funding is awarded • Indicates whether public meetings or additional outreach are necessary • Prepared by a professional engineer • Reviewed by the Region Coordinator Feedback and required changes based on federal and state requirements, engineering judgement, engineer’s estimate 4 PROJECT DEVELOPMENT
Project Scoping (Cont.) Project Scoping Report Components • Existing conditions, environmental, and right-of-way needs • Design parameters for the project • Safety considerations • Proposed improvements • Factors that could affect project development • Preliminary field review meeting • Preliminary engineer’s estimate 4 PROJECT DEVELOPMENT
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