CHAPTER 2 ROLES & RESPONSIBILITIES

CHAPTER 2

ROLES & RESPONSIBILITIES

Prepared by Chapter 2 – Roles and Responsibilities Revised NYSDOT Procedures for Locally Administered Federal Aid Projects August 2018

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Contents

Sec Title 2.1 INTRODUCTION .................................................................................................................................. 4

2.1.1 Federal Aid Projects .................................................................................................................................. 4

2.2 NATIONAL HIGHWAY SYSTEM ......................................................................................................... 4

2.3 FHWA-NYSDOT SAFETEA-LU AGREEMENT .................................................................................... 5

2.4 LOCALLY ADMINISTERED FEDERAL AID PROCEDURES.............................................................. 5

2.5 FHWA RESPONSIBILITIES ................................................................................................................. 5

2.5.1 Policy and Procedures .............................................................................................................................. 5

2.5.2 Standards ................................................................................................................................................. 6

2.5.3 Program Management .............................................................................................................................. 6

2.5.4 Project Implementation ............................................................................................................................. 6

2.5.5 Oversight .................................................................................................................................................. 6

2.6 NYSDOT RESPONSIBILITIES ............................................................................................................. 7

2.6.1 Policy and Procedures .............................................................................................................................. 7

2.6.2 Standards ................................................................................................................................................. 7

2.6.3 Program Management .............................................................................................................................. 7

2.6.4 Project Implementation ............................................................................................................................. 7

2.6.5 Smart Growth Public Infrastructure Policy Act and Compliance ................................................................ 9

2.6.6 COMPLETE STREETS ................................................................................................................................ 9

2.6.7 GreenLITES .............................................................................................................................................. 9

2.6.8 OVERSIGHT ........................................................................................................................................... 10

2.7 COUNTY, CITY, TOWN, VILLAGE AND OTHER LOCAL PUBLIC AGENCY

RESPONSIBILITIES ........................................................................................................................... 10

2.7.1 Delegation of Project Implementation to Sponsors .................................................................................. 11

2.7.2 Loss of Federal Participation ...................................................................................................................... 12

2.7.3 Dispute Resolution and Appeal ............................................................................................................... 13

2.8 METROPOLITAN PLANNING ORGANIZATIONS AND TRANSPORTATION ADVISORY

COMMITTEES .................................................................................................................................... 13

2.9 OTHER PUBLIC AGENCIES AND ORGANIZATIONS ...................................................................... 14

2.10 PROJECT MANAGEMENT ................................................................................................................ 14

2.10.1 Project Management Elements .............................................................................................................. 14

2.10.1.1 Project Manager .................................................................................................................................. 14

2.10.1.2 Project Management Plan .................................................................................................................... 15


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2.10.2 Construction Management Plan ............................................................................................................... 16

2.10.3 Federal Funding Accountability and Transparency Act Implementation .................................................... 16

2.11 ACTIVITIES, PREREQUISITES AND RESPONSIBILITIES FOR LOCALLY ADMINISTERED

FEDERAL AID NON-STATE HIGHWAY SYSTEM PROJECTS OFF THE NHS ............................... 17

TABLE 2-1 Activities, Pre-Requisites and Responsibilities for Locally Administered Federal

Aid Non-State Highway System Projects Off the NHS ................................................................... 18

METROPOLITAN PLANNING ORGANIZATIONS ................................................................................................ 29

TABLE 2-2 Metropolitan Planning Organization Contact Information.................................................. 29

FIGURE 2-1 NYS MPO Area Map .............................................................................................................. 31

2.12 REFERENCES ................................................................................................................................... 32

NOTE: This Chapter has associated appendices and forms which can be found at www.dot.ny.gov/plafap

http://www.dot.ny.gov/plafap


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2.1 INTRODUCTION

The New York State Department of Transportation (NYSDOT) has responsibility for administering and managing the locally administered federal aid transportation program. Each of the eleven NYSDOT Regions has staff responsible for locally administered federal-aid transportation projects, which are the Sponsor’s primary contacts for providing guidance on the use of federal and related state aid for locally administered federal aid transportation projects.

Once NYSDOT delegates authority to implement a federal aid and related state aid project, the responsibility for implementation resides with the project Sponsors, which are principally counties, cities, towns, villages and public authorities.

2.1.1 Federal Aid Projects

The Federal Highway Administration (FHWA) is the federal agency typically involved in the transportation projects undertaken with federal funding for the programs discussed in the Procedures for Locally Administered Federal Aid Projects (PLAFAP) Manual. It has the authority and responsibility for implementing and monitoring compliance with federal laws, regulations and executive orders affecting these programs. When a project involves federal funding, the FHWA is involved according to the responsibilities and the delegations described in this chapter. When another federal agency has jurisdiction or other approval/permitting authority in the development of a project, the FHWA may become involved in the process either as the lead or co-lead federal agency.

Federal aid transportation projects must be included in the approved State Transportation Improvement Program (STIP). Inclusion must precede authorization of federal aid for all project phases. The responsibility for selecting projects for inclusion on the STIP in urbanized areas resides with Metropolitan Planning Organization(s) (MPOs). Project selection outside MPO boundaries is facilitated by NYSDOT’s eleven Regions and such Transportation Advisory Committees (TACs) as may exist in those areas. Project selection must be coordinated with the state, city, county and other transportation agencies or public authorities within the area (see sections Delegation of Project Implementation to Sponsors and Metropolitan Planning Organizations and Transportation Advisory Committees).

2.2 NATIONAL HIGHWAY SYSTEM

The Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) authorized the creation of the National Highway System (NHS), a system of highways and streets of national significance. The system is established to provide an interconnected system of principal arterials which serve major population centers, international border crossings, ports, airports, public transportation facilities, intermodal transportation facilities, and other major travel destinations; meet national defense requirements; and serve interstate and interregional travel. The system includes all Interstate routes, a selection of urban and rural principal arterials, the defense strategic highway network and strategic highway connectors.

Procedures for projects on the NHS differ from procedures for projects not on the NHS. Consequently, a key determinate should be whether the project is on the NHS. The entire New York State National Highway System, both on and off the State Highway System (SHS), can be viewed in detail on the NYSDOT website at https://www.dot.ny.gov/gisapps/functional-class-maps. NYSDOT Regional Offices can also be contacted for information about the local NHS within their respective jurisdictions.

https://www.dot.ny.gov/gisapps/functional-class-maps


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2.3 FHWA-NYSDOT SAFETEA-LU AGREEMENT

The Fixing America’s Surface Transportation (FAST Act) of December 2015 is the latest multi-year federal surface transportation act. Under the current Federal-State Stewardship and Oversight Agreement FHWA delegates project review and oversight responsibilities to NYSDOT for state and locally administered federal aid transportation projects. The delegation of project responsibilities to NYSDOT for project processing is explained in the PLAFAP Manual.

Exemption from direct FHWA project review and oversight (for project authorization, preliminary engineering and construction-related activities) on certain federal aid transportation projects, which was permitted under earlier federal surface transportation acts, was maintained in the current agreement. This FHWA exemption applies to all NHS Interstate projects with a total cost (design, right-of-way and construction) of less than $5 Million; NHS Non-Interstate projects with an estimated total cost of less than $100 Million; and projects off the National Highway System.

As most local highways, streets and bridges are off the NHS Interstate System, most activities concerning locally administered federal aid transportation projects will be exempt from direct FHWA review and oversight. The Federal-State Stewardship and Oversight Agreement procedures would apply in all other instances. Exceptions to this rule are described in the Oversight section of this chapter and in the Chapter 8 Design Approval Matrix.

Activities mandated by Acts other than SAFETEA-LU and Title 23 of the United States Code (USC) are not delegated or exempted. FHWA does not have the authority to delegate responsibility for compliance with, or exempt projects from, the requirements of acts or laws outside of the FAST Act or Title 23, such as the National Environmental Policy Act (NEPA), National Historic Preservation Act of 1966 (NHPA), Section 106, and federal and state Civil Rights and Human Rights Laws.

2.4 LOCALLY ADMINISTERED FEDERAL AID PROCEDURES

The PLAFAP Manual describes the federal aid project activities NYSDOT may delegate to Sponsors, such as consultant selection, environmental review, project authorization, Equal Employment Opportunity (EEO) and Disadvantaged Business Enterprise (DBE) requirements. The process has been streamlined to minimize duplication of effort and multiple reviews. NYSDOT’s role in preliminary engineering, construction review and approval activities is limited as these activities have been delegated to project Sponsors. Exceptions to these procedures and additional approvals required by NYSDOT and FHWA are discussed in detail in the appropriate chapters of the PLAFAP Manual.

2.5 FHWA RESPONSIBILITIES

The FHWA has the overall authority and responsibility for implementing and monitoring compliance with federal laws, rules, regulations and executive orders for projects funded with FHWA administered funds. For locally administered federal aid transportation projects, the FHWA’s responsibilities are divided into five areas: Policy and Procedures, Standards, Program Management, Project Implementation, and Oversight.

2.5.1 Policy and Procedures

The FHWA approves NYSDOT procedures. FHWA collaborates with NYSDOT to interpret federal and state laws, rules, regulations and executive orders and provides guidance in the form of manuals,


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guidebooks, handbooks, reference materials and workshops to assist federal aid subrecipients in planning, designing, constructing and maintaining their transportation systems. The FHWA is included in revisions of the PLAFAP Manual through NYSDOT’s clearance review process.

2.5.2 Standards

FHWA has approval authority over design standards and construction specifications for highways on the NHS.

2.5.3 Program Management

The FHWA provides guidance to NYSDOT on funding eligibility for federal aid programs. FHWA grants approvals to NYSDOT on the following:

Approval of the four-year Statewide Transportation Improvement Program (STIP), which is reviewed every two years.

Approval of NYSDOT DBE Program and Annual Goal.

Intelligent Transportation System (ITS) Projects.

Safety projects.

2.5.4 Project Implementation

For all federal aid projects, the FHWA is responsible for the following project implementation activities:

Obligation of federal funds.

Approval of NEPA and other federally required environmental documents, including the Environmental Determination.

Approval of non-standard or non-conforming features.

Design approval for all FHWA full oversight projects as specified in sections FHWA-NYSDOT Stewardship Agreement.

2.5.5 Oversight

Full FHWA oversight responsibility remains for Interstate projects with a total cost of $10 million or more. With respect to projects on other facilities in which there are federal transportation dollars administered by the FHWA, such as tunnels and major or unusual structures, freeways on new locations, projects requiring an Environmental Impact Statement, Intelligent Transportation Systems (ITS) projects and projects containing ITS elements, safety projects and projects impacting the Interstate system, the FHWA may be involved on a project-by-project basis. An example would be the construction of a new pedestrian bridge over an Interstate route. (Full FHWA oversight also applies to the four major East River Bridges and the East River Bridges Preventive Maintenance contracts in New York City.) FHWA has an annual policy goal of 10% spot inspections of all federally-funded projects. The FHWA responsibilities such as those cited in this section can be found in 23 USC 106.1 The FHWA will periodically conduct a Financial Integrity Review and Evaluation (FIRE). This is a financial oversight and review program which has established a process for identifying and prioritizing program area risks and developing strategies for their mitigation. Each FHWA Division Office is required to perform FIRE investigations annually during the federal fiscal year (October 1 through September 30). The FHWA also reserves the right to visit project sites and conduct a review in response to issues which have come to light.

1 http://www.gpo.gov/fdsys/pkg/USCODE-2010-title23/pdf/USCODE-2010-title23-chap1-sec106.pdf

http://www.gpo.gov/fdsys/pkg/USCODE-2010-title23/pdf/USCODE-2010-title23-chap1-sec106.pdf



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2.6 NYSDOT Responsibilities

On behalf of FHWA, the NYSDOT is responsible for overseeing the successful implementation of federal aid transportation programs and projects, which may include NYSDOT delegation of certain responsibilities to Sponsors. NYSDOT also administers state-funded programs, such as the Marchiselli Program (matches federal aid), the Consolidated Local Street and Highway Improvement Program (CHIPS), the Multi-Modal Program, State Bond Acts and State Legislative Initiatives. The Marchiselli Program is discussed in Chapters 3 and 4 of the PLAFAP Manual. Details concerning the CHIPS programs can be found on the NYSDOT CHIPS website.2 NYSDOT’s responsibilities are divided into five areas: Policy and Procedures, Standards, Program Management, Project Implementation, and Oversight. State Transportation Department responsibilities cited in this section may be found in 23 USC 106.3

2.6.1 Policy and Procedures

NYSDOT establishes uniform policies and procedures to assist Sponsors in meeting program requirements for their projects. NYSDOT, in consultation with FHWA, interprets federal and state laws, rules, regulations and executive orders and provides guidance in the form of manuals, guidebooks, handbooks, reference materials and workshops to assist Sponsors (federal aid subrecipients) in planning, designing, constructing, and maintaining their transportation systems.

NYSDOT’s policy and procedure development is undertaken in coordination and consultation with FHWA, representatives of local governments, MPOs, other affected agencies, construction and engineering organizations and the public.

2.6.2 Standards

NYSDOT has approval authority over design standards and construction specifications for highways off the NHS.

2.6.3 Program Management

NYSDOT administers both federal and state aid funding to cities, counties, agencies, and MPOs. The locally administered federal aid transportation program provides funding which requires distribution, management and oversight control to ensure program goals and requirements are met and allocations and budget authority are not exceeded.

Once federal and state aid authorizations are established, NYSDOT provides program guidance for their expenditure. NYSDOT also monitors project implementation to ensure projects comply with program requirements and are delivered within budget and on schedule in a manner which achieves program goals. Reports are prepared to summarize progress in implementing these programs. (Some federal aid programs may require annual or periodic project application and selection to establish eligibility lists, see chapter 3 for eligibility requirements of competitive programs.)

2.6.4 Project Implementation

NYSDOT, as the State Transportation Department, has responsibility for the planning, design and construction of all federal aid transportation projects within the state and is not relieved of such

2 https://www.dot.ny.gov/programs/chips 3 http://www.gpo.gov/fdsys/pkg/USCODE-2010-title23/pdf/USCODE-2010-title23-chap1-sec106.pdf

https://www.dot.ny.gov/programs/chips


https://www.dot.ny.gov/programs/chips



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responsibility by authorizing performance of the work by a Sponsor per 23 CFR 635.105.4 NYSDOT is responsible for ensuring such projects receive adequate supervision and inspection so they are completed in conformance with approved plans and specifications. In accordance with 23 USC 1145 the construction of highways or portions of highways located on a federal-aid system must be undertaken by the respective state transportation departments or under their direct supervision. The construction work and labor in each state is to be performed under the direct supervision of the state transportation department and in accordance with the laws of that state and applicable federal laws. Construction can begin as soon as funds are available, i.e., authorized for expenditure pursuant to 23 USC 118(a).6 Some federal aid project implementation steps delegated by the FHWA to NYSDOT cannot be further delegated to the project Sponsor and remain NYSDOT’s responsibility. These include:

Approval of Sponsor’s ability to progress federal aid projects (23 CFR 635.105).

Determination of project cost eligibility.

Approval of Authorization to Proceed for projects off the NHS, on the NHS-non-Interstate and on the NHS-Interstate < $5 Million.

Administration of federal funds.

Review and approval of Project Management Plan (PMP) and Construction Management Plan (CMP).

Preparation of State-Local Agreement (SLA), including required schedules, appendices, and related documentation.

Approval of Sponsor-executed SLAs and submission to NYSDOT Main Office for processing.

Approval of federal aid and applicable state aid payments.

Approval authority over all off-NHS design standards.

Approval of non-standard or non-conforming features and design approval for projects on or related to (e.g., over) the Non-Interstate NHS and the Interstate System if the construction cost is less than $5 Million.

Compliance with FHWA criteria for NEPA Class II projects when additional documentation is not required.

Compliance with National Historic Preservation Act of 1966 (NHPA) Section 1067/8.

Approval of Right-of-Way (ROW) Acquisition Plan.

Approval of reimbursable Utility Relocation Agreements.

Review and approval of Contract Bid Documents/Plans, Specifications & Estimate (PS&E).9

Compliance with 23 USC 106 for construction oversight10.

Assurance that the Sponsor’s construction oversight complies with the project CMP requirements regarding inspection staff, QC/QA/IA,11 DBE, change orders, time extensions and other applicable requirements.

Verification of construction completion.

4 http://www.gpo.gov/fdsys/pkg/CFR-2003-title23-vol1/pdf/CFR-2003-title23-vol1-sec635-105.pdf 5 http://www.gpo.gov/fdsys/pkg/USCODE-2010-title23/pdf/USCODE-2010-title23-chap1-sec114.pdf 6 http://www.gpo.gov/fdsys/pkg/USCODE-2010-title23/pdf/USCODE-2010-title23-chap1-sec118.pdf 7 https://www.achp.gov/ 8 Certain aspects of Section 106-related work are NOT delegated. Sponsors or their consultants may undertake activities in support of determinations to be made by NYSDOT in consultation with SHPO and the Tribal Nations such as screening, inventory preparation, writing correspondence, and coordination (see Chapter 7). 9 The review involves in part a determination as to whether the design process conforms to the requirements of the PLAFAP and to the NYSDOT Project Development Manual. (PDM). 10 The RLPL should conduct construction review/inspection in accordance with requirements detailed in Chapter 15; the RLPL reviews/inspections should be coordinated with Sponsor’s Responsible Local Official (RLO)/Project Manager (PM); and the RLPL should prepare inspection/review reports and share any findings/recommendations with the RLO/PM for any follow up actions.) 11 Quality Control, Quality Assurance, Independent Assurance

http://www.gpo.gov/fdsys/pkg/CFR-2003-title23-vol1/pdf/CFR-2003-title23-vol1-sec635-105.pdf




https://www.achp.gov/





https://www.achp.gov/

https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm


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Review and approval of a final acceptance (project close out) documents.

The individual chapters covering these topics should be consulted for details concerning these responsibilities.

2.6.5 Smart Growth Public Infrastructure Policy Act and Compliance The Smart Growth Public Infrastructure Policy Act12 took effect on September 29, 2010. The Act was intended to minimize the “unnecessary cost of sprawl development” and requires public infrastructure projects to undergo a consistency evaluation and attestation using Smart Growth Infrastructure Criteria. Consistency evaluation is measured with the Smart Growth Screening Tool which can be found in the Chapter 7 Appendices on the PLAFAP Manual website.13 For information about Smart Growth concepts, planning tools, funding opportunities and recent news regarding Smart Growth projects and activities, see the NYSDOT Smart-Planning website.14

2.6.6 Complete Streets

Complete Streets15 is an amendment to the New York State Highway Law adopted by the Legislature and signed by the Governor on August 15, 2011 which became effective on February 15, 2012. Under the new law, "Complete Streets" design principles will be considered on New York State Department of Transportation (NYSDOT) projects and on municipal projects which receive both federal and state funding and are subject to NYSDOT oversight. "Complete Streets" principles facilitate improved joint use of roadways by all users, including pedestrians, motorists, and bicyclists and, thereby, promote a cleaner, greener transportation system with reduced traffic congestion and air pollution. Design features may include sidewalks, bicycle lanes, crosswalks, pedestrian control signalization, bus pull outs, curb cuts, raised crosswalks, ramps, and traffic calming measures. NYSDOT’s Complete Streets website16 contains information on Complete Streets planning, design and best practices. Included on the webiste is a link to the Capital Projects Complete Streets Checklist [Chapter 18, Appendix A, of the NYSDOT Highway Design Manual (HDM)] which must be completed for all projects.17 The Capital Projects Complete Streets Checklist should be included in the Design Approval Document (DAD) as an attachment.

2.6.7 GreenLITES Green Leadership in Transportation Environmental Sustainability (GreenLITES)18 is a transportation initiative implemented by NYSDOT with the intent of recognizing transportation project designs, operations and maintenance practices which incorporate a high level of environmental sustainability. GreenLITES is a self-certification program which distinguishes transportation projects and operations based on the extent to which they incorporate such sustainable choices. NYSDOT will review the self-certification checklists for qualifying projects and confer awards where appropriate. For the GreenLITES project evaluation form see the NYSDOT GreenLITES website.

12 http://public.leginfo.state.ny.us/lawssrch.cgi?NVLWO: 13 https://www.dot.ny.gov/portal/page/portal/plafap/view-document?id=1420 14http://www.dot.ny.gov/programs/smart-planning 15 https://codes.findlaw.com/ny/highway-law/hay-sect-331.html 16 https://www.dot.ny.gov/programs/completestreets/nysdot 17 https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-18 18 https://www.dot.ny.gov/programs/greenlites

http://public.leginfo.state.ny.us/lawssrch.cgi?NVLWO:

http://www.dot.ny.gov/programs/smart-planning

https://codes.findlaw.com/ny/highway-law/hay-sect-331.html

https://www.dot.ny.gov/programs/completestreets/nysdot

https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-18

https://www.dot.ny.gov/programs/greenlites



https://www.dot.ny.gov/portal/page/portal/plafap/view-document?id=1420


https://www.dot.ny.gov/programs/completestreets/nysdot

https://www.dot.ny.gov/divisions/engineering/design/dqab/hdm/chapter-18



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2.6.8 Oversight

NYSDOT is responsible for ensuring activities delegated to Sponsors are completed in conformance with federal and state laws, rules, and regulations. Title 23 CFR 635.105(a) does not relieve NYSDOT of oversight obligations regarding federal funds even if it chooses to delegate project activities to the Sponsor(s). In this context, NYSDOT, among other functions, will

Evaluate Sponsor’s capacity to deliver project on time and within budget.

Identify relevant resource documents and references.

Provide guidelines on completing forms developed to administer contracts.

Provide design review of Sponsor’s consultant design work.19

Provide Right-of-Way Clearance Review.

Provide oversight of construction management.

Review Sponsor’s Quality Assurance (QA) program and evaluate QA staff.20 Where the FHWA has not delegated final approval, NYSDOT monitors Sponsor activities, reviews or prepares documents and makes recommendations to FHWA. For example, NYSDOT will review all environmental documents for completeness and sufficiency before submitting them to FHWA for an environmental determination, if required.

NYSDOT also assists Sponsors in interpreting the regulations, manuals and guidelines as they apply to specific project conditions. In this instance, NYSDOT developed the PLAFAP Manual as an aid to facilitate compliance with such federal and state requirements and will perform monitoring and completeness reviews to ensure compliance. The NYSDOT Regional Local Project Liaison (RLPL) is available to guide the Sponsor through the required process and procedural steps.

In circumstances where Sponsor expertise is not otherwise available, the Sponsor may request assistance from NYSDOT’s technical specialists in solving special technical problems. Environmental issues; right of way concerns; hazardous wastes; materials and geotechnical testing and approval; labor compliance; and equal employment opportunity, Title VI, and Disadvantage Business Enterprise compliance are among the areas where assistance may be needed. The use of NYSDOT expertise for a locally administered federal aid transportation project must be requested early and be coordinated to assure NYSDOT’s limited resources and personnel will be available when needed. In general, the Sponsor should contact the RLPL for guidance and/or assistance with their projects.

2.7 COUNTY, CITY, TOWN, VILLAGE AND OTHER LOCAL PUBLIC AGENCY RESPONSIBILITIES

Upon delegation by NYSDOT, counties, cities, towns, villages, public authorities, transit agencies and other public agencies have the primary responsibility for implementing specific projects through the programs described in the PLAFAP. Non-profit organizations and other entities may also qualify for federal funds (see non-government organization policy in Chapter 4). In the PLAFAP Manual, these agencies/entities are referred to as Sponsors. In accordance with 23 CFR 637.205(a),21 FHWA requires a Quality Assurance/Quality Control/Independent Assurance (QC/QA/IA) program for all federal aid transportation projects. If

19The Regional Office will not redesign plans submitted by the Sponsor’s engineer. Redesign work will be the

responsibility of the Sponsor’s consultant. 20 In connection with this responsibility, NYSDOT is required to implement an Independent Assurance System (IAS) to

measure and improve Sponsors’ QA activities. 21http://www.gpo.gov/fdsys/pkg/CFR-2005-title23-vol1/pdf/CFR-2005-title23-vol1-sec637-205.pdf

https://www.gpo.gov/fdsys/granule/CFR-2011-title23-vol1/CFR-2011-title23-vol1-sec635-105





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acceptable procedures are not followed, FHWA may deny funding for all or part of a project. The Sponsor is required to implement a Quality Assurance program which will

Establish minimum requirements and procedures to verify that contract requirements are followed.

Establish uniform procedures for processing consultant or contractor submittals.

Establish procedures to follow if the consultant or contractor is not adhering to contract requirements.

Establish procedures to assure design completed by Sponsor’s staff or consultant in accordance with the appropriate specifications for the project.

Establish quality requirements for products produced by the construction, inspection and support staff, i.e., documentation.

Set policy on matters not detailed in the specifications. The Consultant and Contractor are responsible for the Quality Control of their activities. This requires the consultant and contractor to check their work when performing construction under the contract to provide a product of the highest quality. NYS DOT is responsible for an Independent Assurance program. This program measures the performance of the technicians engaged in Quality Assurance activities.

2.7.1 Delegation of Project Implementation to Sponsors

The Sponsor is responsible for the planning, programming, environmental investigation, design, construction, maintenance and operation of the projects on its transportation system. It must ensure its staff, consultants and contractors comply with all applicable federal and state laws, regulations, and procedures in the planning and construction of transportation projects for which federal funds have been provided.

If a Sponsor has never implemented a federal aid project, or does so infrequently, it should review required processes with the RLPL prior to beginning any implementation activity. The Sponsor may wish to seek the administrative services of another agency which is more familiar with the federal aid process and its procedural details. Larger units of government, such as counties, tend to have the economies of scale necessary to implement such activities more effectively. Many technical project activities can be easily performed by consultants, but some involve the proposed Sponsor’s internal policies and procedures which are integral to the Sponsor’s entire range of activities and operations. Additional information is provided on these and other topics in the PLAFAP. The following requirements should be considered prior to undertaking a federal aid transportation project:

Sponsors must be able to demonstrate compliance with Title VI of the Civil Rights Act of 1964 (see Chapter 13 Civil Rights).

Sponsors must have an American with Disabilities Act (ADA) Transition Plan or make reasonable progress toward developing one (see Chapter 13 Civil Rights).

Sponsors must have a consultant selection process compliant with federal procurement rules (see Chapter 6 Consultant Procurement and Administration).

Sponsors must have contract management and accounting processes adequate to document all expenditures for the project (see Chapter 5 Accounting and Reimbursement Procedures).

Sponsors must provide qualified personnel who are experienced in managing federally funded projects (see section 2.10.1 Project Management Elements and Chapter 15, Administer Construction Contracts).


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NYSDOT is specifically required to affirm the capacity of the Sponsor to implement the proposed project. A Sponsor is responsible for making all decisions regarding design and construction related activities on locally administered federal aid transportation projects. These include:

Request placement of the project on the TIP/STIP.

Develop Initial Project Proposal (IPP)/Scoping Document in coordination with the RLPL.

Prepare the PMP (and subsequently the CMP) to be approved by the RLPL.

Prepare and adopt the resolution endorsing the State-Local Agreement and identifying the Responsible Local Official (RLO).

Sign the SLA (by RLO) and submit the executed document together with required schedules, appendices and a certified copy of the resolution, to the RLPL.22.

Collaborate with the RLPL in preparing the Request for Authorization for each project phase.

Determine/Approve project DBE goal in accordance with the NYSDOT DBE Plan.23

Select consultant(s) and approve consultant contracts.

Perform or oversee project design and environmental activities.

Grant Design Approval of projects on local roads (NYSDOT or FHWA must approve all projects on or over the NHS and State Highways).

Approve design exceptions/non-standard or non-conforming features on local roads24 (NYSDOT or FHWA must approve all projects on or over the NHS and State Highways).

Select consultants for right of way activities

Certify right of way (NYSDOT or FHWA must approve all projects on or over the NHS and State Highways).

Acquire Right of Way and relocate displaced persons and/or businesses.

Coordinate Railroad Agreements and obtain NYSDOT approval.

Coordinate Utility Agreements and, if reimbursable, obtain NYSDOT approval.

Prepare and Certify Contract Bid Documents (NYSDOT or FHWA must approve the Sponsor’s Contract Documents for all NHS projects).

Advertise for bids, with NYSDOT approval, and, with NYSDOT concurrence, award construction contracts. (NYSDOT approval is required for contract awards for projects on the NHS and SHS.)

Administer the construction contract and perform or oversee construction inspection (NYSDOT must approve the Sponsor’s construction administration procedures for all projects).

Submit required reporting.

Accept construction contract work.

Submit required audits.

Maintain Project Records.

The individual chapters covering these topics should be consulted for details concerning these responsibilities. Sponsors are also responsible for project documentation which could be subject to audit by NYSDOT, the FHWA and others, including but not limited to, the Office of State Comptroller and U.S. Government Accountability Office.

2.7.2 Loss of Federal Participation In the event the Sponsor withdraws its approval of the project, suspends or delays work on the project or takes (or fails to take) any other action which results in the loss of federal participation for costs

22 The Sponsor must include Appendix A-1, Supplemental Title VI Provisions (Civil Rights), in all contracts and subcontracts for projects which are funded in whole or in part with federal aid. 23 Sponsors will report DBE data using NYSDOT’s approved software, access to which will be free of charge. (Contact the RLPL about how to acquire access.) 24 Approval of a non-standard or non-conforming feature must be made by or on recommendation of a Professional Engineer.


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incurred pursuant to the State-Local Agreement, the Sponsor will refund to the state all reimbursements received from the state and reimburse the state for 100% of any preliminary engineering and right of way incidental costs incurred by NYSDOT. NYSDOT will furthermore be entitled to recover from the Sponsor any monies paid to the Sponsor pursuant to the State-Local Agreement which are subsequently determined to be ineligible by the FHWA for federal aid reimbursement. The Sponsor will be required to repay the state within 30 days of receiving notice by the FHWA that federal funding on a project is being withdrawn for any reason. The state may offset any other state or federal aid due to the Sponsor by the amount owed and apply such offset to satisfy the obligation in the event the money is not repaid to the state within the 30-day period.

2.7.3 Dispute Resolution and Appeal The Sponsor directly or through consultant(s) it may have retained to facilitate implementation of a federal aid transportation project has the right to ask NYSDOT to reconsider any of its decisions relating to the planning, design and construction of a project. The request must be in writing and received by NYSDOT within 30 days of the decision date. To be successful, a request for reconsideration should point out areas in which the Sponsor or its representative disagrees with NYSDOT’s interpretation of the law and related regulations or of project-related facts.

The Sponsor should submit its written request to the RLPL who is the point of contact for the Region

overseeing implementation of the project. The RLPL will involve regional functional groups as needed.

If the Sponsor remains dissatisfied with the position of the RLPL upon his or her re-consideration of the matter in question, the request for reconsideration may be elevated to the level of the Regional Director. If the Sponsor is dissatisfied with the determination of the Regional Director, it may further elevate the request to the Main Office Director of the Local Programs Bureau who, in turn, will coordinate with the proper offices and functional groups as needed. NYSDOT will coordinate with FHWA as appropriate.

2.8 METROPOLITAN PLANNING ORGANIZATIONS AND TRANSPORTATION ADVISORY COMMITTEES

By federal statute, Metropolitan Planning Organizations (MPOs) play a key role in developing a four-year program of federal aid transportation projects known as the Transportation Improvement Program (TIP) for their areas of jurisdiction (see Table 2-3 for the jurisdictional areas of New York State’s 14 MPOs). The MPO role is specified for each program (e.g., National Highway System (NHS), Interstate Maintenance, Highway Bridge, Surface Transportation Program (STP), or "special” programs such as the Transportation Alternatives Program (TAP). Each federal aid transportation-related project to be implemented in an MPO area must be included in an MPO-adopted TIP before any federal funds can be obligated by FHWA. Within some Regions there are Transportation Advisory Committees (TACs) which perform a function like that of an MPO in rural areas, i.e., area outside the jurisdictional boundaries of the MPOs. Individual MPO TIPs are combined with proposed projects outside MPO boundaries to form the State Transportation Improvement Program (STIP). In response to the organization’s focus and member preferences, as well as staff-level agreements, individual MPOs may implement their authority differently. NYSDOT is a member of each of the MPO’s oversight committees, usually known as Planning and Policy Committees (see Table 2-2). Regional NYSDOT staff, along with the staff of local MPO members, work with MPO Central Staff to implement MPO decisions. Those decisions sometimes delegate facets of program development or some program elements (such as bridges) to MPO members, e.g., NYSDOT. Although MPO staff and interagency coordination procedures vary widely, ultimately the formal step of including a federal aid transportation


Page 14 of 32

project on a TIP is necessary for the project receive federal monies. The MPOs are responsible for providing project Sponsors with the rules, procedures and timelines necessary to submit an application for a project to be added to the TIP. The MPOs must coordinate closely with NYSDOT and FHWA in this process and keep Sponsors apprised of project selection decisions. The Sponsor must work closely with the MPOs to ensure its projects are placed on the TIP with the correct description, funding amount, phase and schedule. Federal funds cannot be obtained without this programming step.

2.9 OTHER PUBLIC AGENCIES AND ORGANIZATIONS

Other federal, state, regional and local agencies may have an interest, role or jurisdiction in the development and implementation of a locally administered federal aid transportation project. Examples at the federal level include the Environmental Protection Agency, Army Corps of Engineers, the National Park Service, US Fish and Wildlife Service and Government Accountability Office (GAO). At the state level, examples include the Office of the State Comptroller (OSC), Department of Environmental Conservation (DEC) and the Office of Parks, Recreation and Historic Preservation (OPRHP). Regional agencies would include the Adirondack Park Agency (APA) and the New York City Department of Environmental Protection (NYCDEP). The role of these agencies will vary with the project scope, location and environmental impact. Coordination should begin early to avoid delays later in the project development process.

With public agency sponsorship, not-for-profit non-governmental organizations (NGOs) may apply for and receive federal aid funds for projects funded through programs such as the Transportation Alternatives Program, although, unless granted a waiver, not-for-profit NGOs are required to have a governmental entity acting as the project sponsor (see Chapter 4 State-Local Agreements). NYSDOT requires NGOs to work through Sponsors familiar with the applicable laws, rules, regulations and executive orders for developing federal aid transportation projects. The agency or organization may of course retain qualified consultant(s) to perform some or all these functions (see Chapter 6, Consultant Procurement and Administration).

2.10 PROJECT MANAGEMENT

To avoid confusion concerning compliance with all project development requirements, NYSDOT requires the use of management plans developed at the beginning of the project and used to manage the project through completion. Management plans generally contain “project management elements” as described in the following sections. Such plans are intended to address the management of various project activities by providing clear assignment of authority and responsibility. In the case of locally administered federal aid transportation projects, these project management elements would be part of a management plan known as the Project Management Plan (PMP). Instituting a Project Management Plan, jointly developed by Sponsors and NYSDOT, should increase compliance, minimize errors and reduce the chance of losing federal reimbursement for project expenses. A sample PMP is included in Appendix 2-1.

2.10.1 Project Management Elements

2.10.1.1 Project Manager Title 23 CFR 635.105(c) (4) requires the Sponsor to provide a full-time employee to be in responsible charge of the project even when using consultants to provide engineering and construction inspection



Page 15 of 32

services or project management. This employee is referred to as the Project Manager (PM). The PM will report to the Responsible Local Official (RLO) who will have ultimate oversight and responsibility for the project. The PM and the RLO may be the same individual, if the RLO has project management experience. The individual or organization performing the role of Project Manager must work closely with the NYSDOT RLPL to ensure proper interpretation of all project requirements and to assist with development of the PMP. Proper interpretation of a project’s requirements is critical to successful implementation and coordination of ongoing activities. The PM will schedule the progression of activities, ensure timely completion of project tasks and address any problems or inquiries which may develop. The PM will be the primary contact person for the submission of necessary reports, requests for progress payments, and obtaining approvals and determinations.

2.10.1.2 Project Management Plan Determination of a project’s requirements is the responsibility of each Sponsor. To enable the communication and coordination mentioned above to occur, Sponsors must document these requirements in the Project Management Plan (PMP). The PMP is a documented plan for producing or implementing a given project and is expected to serve as the primary communication tool between NYSDOT and the Sponsor, as well as a reference for interested third parties, such as auditors. The cooperative development of the PMP ensures the Sponsor is aware of all project stages and has properly and adequately planned for full compliance with all federal and state requirements. (The PLAFAP Manual is the primary source for information on such project requirements.) Key decision points are intended to be noted and task responsibilities assigned. The PMP should also be used as the basis for reporting project status to the NYSDOT’s RLPL. Although Sponsors have the responsibility for developing a PMP, the RLPL will assist the Sponsors in understanding and documenting the Sponsor’s project implementation requirements. The PMP will thereby enable each party to evaluate proper and adequate interpretation of all applicable procedures discussed in the PLAFAP.

The PMP is intended to be a comprehensive plan for project implementation; it must include all necessary activities in relation to each project’s specific objectives and circumstances. The work products, permits, reports, reviews and approvals, as well as estimated durations associated with each, are to be determined using the PLAFAP as a guide. Table 2-1, Activities, Pre-Requisites and Responsibilities for Locally Administered Federal Aid Non-State Highway System Projects off the NHS, should be used as a reference to aid in determining what is needed for a given project. The PMP documents who will be responsible for each task, and the planned start and completion schedule of that task (For example, step 14 in the table of activities, “collect data,” could involve traffic studies, condition reports, noise studies or studies of other physical features.) The relevance and quantity of such information will need to be assessed. These determinations are unique and specific to the project being implemented. Sponsors must provide a schedule to NYSDOT for inclusion in the PMP which must be updated at regular intervals, i.e., at least monthly, more frequently if appropriate. For instance, critical path diagrams or Gantt charts are useful tools in developing and conveying project scheduling information. As these are locally administered projects, every Sponsor will likely have varying capabilities and levels of automation and must determine the best approach for its project. There are many software programs


Page 16 of 32

available which meet this purpose (NYSDOT, for instance, uses Primavera25). In the event a Sponsor does not use an automated tool, manual schedule development and reporting is acceptable.

The PMP should be developed early in the project development process, e.g., at the time the project is placed on the TIP/STIP. The activities associated with developing the agreement and obtaining necessary approvals would become elements of the PMP as well. As the PMP is a “plan,” it will be subject to change as a project progresses and must be kept up to date by incorporating such changes. A change in any element of the PMP should be evaluated in the context of how it impacts the PMP as a whole. For Sponsors who do not routinely implement federally aided projects, NYSDOT may request a draft of a PMP before authorizing the Sponsor to proceed with project implementation. The PMP must be signed by the Responsible Local Official (RLO) and/or Project Manager (PM), the NYSDOT RLPL, the NYSDOT Regional Real Estate Officer, and other Regional staff as appropriate.26 Revisions to the PMP must be signed by the RLO and/or PM, the RLPL and other Regional staff person whose area of responsibility the revision may affect.

2.10.2 Construction Management Plan All projects are required to have a Construction Management Plan (CMP), which is incorporated into, and becomes a crucial component of, the Project Management Plan. It details how the construction contract will be administered at the time of construction. A Quality Control/Quality Assurance/Independent Assurance (QC/QA/IA) program is included as a component of the CMP, and the CMP provides a mechanism to assure the appropriate quality assurance and quality control procedures are in place. The CMP must also identify how the construction work will be inspected and documented for the duration of the construction contract. The CMP is discussed in more detail in Chapters 12 and 15.

2.10.3 Federal Funding Accountability and Transparency Act Implementation The Federal Funding Accountability and Transparency Act (FFATA) requires “prime recipients” of federal funds to report on certain specified pieces of information. In the case of federal transportation funds provided to New York State, NYSDOT is the prime recipient. NYSDOT’s reporting on locally administered federal aid transportation projects is dependent on “subrecipients,” i.e., Sponsors, reporting on the specified information. For sub-awards (i.e., authorized federal funding for locally administered federal aid transportation projects) greater than $25,000, NYSDOT is required to report such project information as the following:

Amount of award.

Funding agency.

North American Industry Classification System (NAICS) 27 code for contracts.

Catalog of Federal Domestic Assistance (CFDA)28 program number for grants.

Program source.

Award title descriptive of the purpose of the funding action.

Location of the entity (including congressional district).

Place of performance (including congressional district).

25 Primavera is NYSDOT’s official project management software. It is anticipated that in future Sponsors will be able, and, in fact, will be required, to use Primavera to manage and report on their projects. Sponsors should check with the RLPL regarding availability. 26 Any NYSDOT functional group which is providing services for the project must sign the PMP and commit to the schedule contained within it. 27 http://www.census.gov/eos/www/naics/ 28 https://www.cfda.gov/

http://www.census.gov/eos/www/naics/

https://www.cfda.gov/

http://www.census.gov/eos/www/naics/

https://www.cfda.gov/


Page 17 of 32

Unique identifier of the entity and its parent (i.e., DUNS number).

Total compensation and names of the top five executives (same thresholds as for prime recipients).

Information on total compensation and names of the top five executives is required if:

More than 80% of annual gross revenues are from the federal government, and those revenues are greater than $25,000,000 annually.

Compensation information is not available through reporting to the U.S. Securities and Exchange Commission (SEC).

For municipalities and other local governmental entities such information is public and, therefore, they do not have to report.

Additional information about the requirements of the Federal Funding Accountability and Transparency Act and implementing regulations 2 CFR Part 17029 is available online.

2.11 ACTIVITIES, PREREQUISITES AND RESPONSIBILITIES FOR LOCALLY ADMINISTERED FEDERAL AID NON-STATE HIGHWAY SYSTEM PROJECTS OFF THE NHS

The following matrix identifies the key activities, decision points, agencies responsible for an activity or decision, and where in the PLAFAP additional information may be obtained.

Projects on or impacting an Interstate will require a review by NYSDOT and/or FHWA. For these and all projects on State Highways, the Sponsor should coordinate closely with the RLPL to ensure all required authorizations, obligations, reviews and approvals are obtained in a timely manner and in accordance with NYSDOT procedures. In all cases, early consultation with NYSDOT and FHWA will aid in coordinating necessary involvement and needed approvals.

29 https://www.gpo.gov/fdsys/pkg/CFR-2012-title2-vol1/pdf/CFR-2012-title2-vol1-part170.pdf

https://www.gpo.gov/fdsys/pkg/CFR-2012-title2-vol1/pdf/CFR-2012-title2-vol1-part170.pdf



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TABLE 2-1 Activities, Pre-Requisites and Responsibilities for Locally Administered Federal Aid Non-State Highway System Projects Off the NHS

(For definition of terms, see Chapter 1)

ACTIVITY RESPONSIBILITY PRE-REQUISITE

ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

1) Add Project to MPO TIP and STIP (maintained by NYSDOT) Initiate PMP

Sponsor A) Local planning to identify appropriate project limits, feasibility of project, cost, schedule and estimate; propose to MPO/TAC (Preliminary Scope) B) MPO/TAC concurrence and necessary action

3

2) Initiate Project: Develop (IPP)/Scoping Document

Sponsor/NYSDOT Project on STIP

3

3) Prepare Agreement

NYSDOT Project on STIP

4

4) Prepare Sponsor (Municipal) Resolution

NYSDOT/Sponsor SLA to Sponsor and Project on STIP

4

5) Execute State-Local Agreement (SLA)

Sponsor NYSDOT

Project on STIP, Appropriate Sponsor Resolutions, and Appropriations

3/4

6) Request Federal Authorization to Proceed and obligation of federal funds for PE and ROW Incidental Phases

NYSDOT State-Local Agreement signed by Sponsor; adequate funds on STIP

3

7) SLA to AG and OSC

NYSAG/NYSOSC Federal Authorization, SLA executed, State budget appropriations available

4


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ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

8) Grant authorization to proceed and obligate funds for PE & ROW Incidentals

FHWA/NYSDOT Request for Authorization

3

9) Sponsor notified work can begin on PE and ROW Incidental Phases, finalize PMP

NYSDOT Federal Obligation of Funds, State-Local Agreement executed

Federal Authorization must precede reimbursable activities

3

10) Refine Project Scope, Including Probable Environmental Classifications and Identify Appropriate Process, Develop scope of work for engineering phases

Sponsor/NYSDOT Project Initiated Need federal “Authorization to Proceed” with PE and ROW Incidental Phases (NYSDOT Project Development Manual (PDM)30 is a useful reference in the project development process.)

7/8

11) Select Consultant for Design or Design/Construction Inspection (CI) (if needed): Conduct Negotiations and Execute Consultant Contract/Monitor DBE activities

Sponsor Executed State-Local Agreement needed before Consultant Contract executed

Review DBE Utilization/Good Faith Effort (GFE), as needed

6

12) Qualify/Select ROW Consultant (if needed)


11

13) Conduct Consultant Pre-Award Audit (if needed)

Sponsor Select Consultant Sponsor checks w / NYSDOT to see if Pre-award audit exists

6

30 https://www.dot.ny.gov/divisions/engineering/design/dqab/pdm






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ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

14) Collect Data, Develop Feasible Alternative(s) and Perform Preliminary Environmental Analyses

Sponsor Authorization of federal funds

Check to see if federal phase authorization has been granted before performing work

7/8

15) Design Criteria Approval (including approval of non-design standards and construction specifications)

NYSDOT (NHS and SHS) NYSDOT/Sponsor (Off the NHS)

Data necessary to determine Design Criteria

Approvals necessary for any features which are non-standard or otherwise do not conform to NYSDOT standards or specifications

8/9

16) Prepare Title Abstracts, ROW appraisals and Acquisition Maps (if needed)

Sponsor Adequate development of feasible alternatives to determine ROW needs

For all alternatives considered

11

17) Initiate coordination with affected Utility Companies and Railroads

Sponsor

Needed utility work identified, ROW incidental phase approved

DQAB review and approval of reimbursable railroad & utility agreements

10

18) Prepare Draft Design Report

Sponsor Design Criteria Approval

IPP/FDR alternative provides a simplified project approval process

8

19) Completeness Review by NYSDOT RLPL

NYSDOT Submission of Design Report to RLPL

Completeness Review Checklist in Chapter 8

8

20) NEPA Determination and Compliance

FHWA or NYSDOT Concurs

Necessary investigation and documentation completed, completeness review by RLPL

7/8

21) Approve Non-Standard Features

FHWA/NYSDOT (NHS and State Highways) Sponsor

Justification in Design Report and Recommendation from Professional Engineer

Only a Professional Engineer may recommend non-standard/non-conforming feature approval

8


Page 21 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

22) Approval to circulate Draft Design Report

Sponsor NEPA Determination made.

8

23) Circulate Draft DR; Coordinate with Advisory Agencies (if needed)

Sponsor Approval to circulate obtained

8

24) Conduct Public Information Meetings(s) and, if needed, Public Hearing

Sponsor Proper notice(s) 8

25) Resolve comments as needed from Public Information Meeting(s), Public Hearing, if held, or Advisory Agency Reviews

Sponsor Comments received 8

26) Prepare ROW Plan and Relocation Plan (if needed)

Sponsor Feasible alternatives identified

Recommend close coordination with NYSDOT, Acquisition Stage Relocation Plan to be attached to Final Design Report

11

27) Complete SEQRA Process

Sponsor SEQR Classification determined and necessary documentation completed

Sponsor is Lead Agency

7/8

28) Prepare Final Design Report and Design Approval Request Memo

Sponsor Hearing requirements met, all comments resolved

8


Page 22 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

29) Grant Design Approval

FHWA/NYSDOT (NHS and State Highways) Sponsor

SEQRA and NEPA determinations made, non-standard/non-conforming features approved, Final Design Report prepared, Recommendation from Professional Engineer

A Licensed Architect or Landscape Architect may make recommendation instead of a Professional Engineer depending on project type

8

30) ROW Plan Approval (if needed)

FHWA/NYSDOT (NHS) Sponsor (Off the NHS)

Design Approval granted

11

31) Program additional funds to complete design through STIP/TIP amendment process(es) (if needed)

Sponsor/NYSDOT Updated plan, cost, schedule

Costs for all phases should be updated at this time

3

32) Prepare Supplemental Agreement for updated design cost (and ROW acquisition, if needed)

NYSDOT Appropriate Sponsor Resolutions, appropriations, required approvals for progressing phases

4

33) Execute Supplemental State-Local Agreement for updated design cost (and ROW acquisition if needed)

Sponsor NYSDOT NYS Attorney General NYS Comptroller

NYSDOT agrees to additional services

STIP update, if needed

4

34) Request Federal Authorization to Proceed and obligation of federal funds for additional design cost and/or ROW Acquisition Phase (if needed)

NYSDOT SEQRA and NEPA determinations, Design Approval, ROW Plan Approved, Relocation Plan Approved, Adequate funds on STIP

3


Page 23 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

35) Obligate Funds for ROW Acquisition and/or additional design cost (if needed)

FHWA Request for Authorization

3

36) Sponsor notified work can begin on ROW Acquisition Phase

NYSDOT Federal Obligation of funds, State-Local Agreement executed


3

37) Prepare and complete right of way or appraisal maps

Sponsor ROW Acquisition Authorization

11

38) Make offers to affected property owners and secure title to ROW

Sponsor ROW Acquisition Authorization

Public Hearings are held if ROW Acquisition is contested

11

39) Prepare and finalize plans, specifications and estimate

Sponsor Design Approval, Federal Authorization for PE

9

40) Acquire needed permits

Sponsor Needed permits identified

7/8

41) Secure Utility Relocation Agreement(s) and Railroad Agreement(s)

Sponsor/NYSDOT Design Approval All reimbursable railroad & utility agreements approved by NYSDOT DQAB

10

42) Approval of Utility Relocation Agreement(s) and Railroad Agreement(s)

Sponsor/if reimbursable, NYSDOT DQAB

Prepare and Sign 10

43) Prepare Construction Contract Documents

Sponsor Federal Authorization for PE and Construction

Includes CMP 12

44) Include special notes in Contract Documents, i.e. Railroad Insurance Requirements, Utilities, etc.

Sponsor Design Approval 10

45) Determine/Approve Project DBE Goal

Sponsor Engineer’s Estimate and list of contract work items

May be assisted by RLPL

12/13


Page 24 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

46) Approve Exceptions to Competitive Bid Contracts

NYSDOT (NHS) Sponsor (Off the NHS)

Approval from FHWA and/or NYSDOT

12

47) Approve Use of Proprietary Item, if appropriate

Sponsor/NYSDOT/FHWA

Justification submitted 12

48) Approve Warranty Clauses

NYSDOT (NHS) Sponsor (Off the NHS)

Documentation submitted to NYSDOT

Typically, not allowed except for equipment and manufacturers’ warranties

12

49)Prepare Right of Way Clearance Certificate

Sponsor ROW Acquisition approval, if needed

11

50) Approve Right of Way Clearance Certificate

FHWA/NYSDOT (NHS) Sponsor (Off the NHS)

Documentation submitted to NYSDOT

11

51) Approve Construction Contract Documents/Prepare Construction Management Plan (CMP)

NYSDOT/FHWA (NHS) Sponsor (non-NHS)

Design Approval/ ROW Clearance/ Contract Bid Documents submitted to NYSDOT

9/12/15

52) Program additional funds through STIP/TIP amendment process(es) (if needed)

Sponsor Updated costs and schedule

Additional funds may be required based on actual spending to date for design and ROW phases and latest construction cost estimate/STIP may need to be updated

3


Page 25 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

53) Select Consultant for construction inspection (CI), if CI services are not being provided by Design Consultant: Conduct Negotiations and Execute Consultant Contract


Update CMP to include CI consultant (necessary if consultant agreement was for design only)

6

54) Execute Supplemental Agreement for construction (and additional design, ROW or CI costs, if needed)


STIP modification if needed

4

55) Request Authorization to Proceed and obligation of federal funds for Construction Phase including Inspection, Railroad Force Accounts, Utilities, etc. (and additional design and/or ROW costs, if needed)

NYSDOT SEQRA and NEPA determinations, Design Approval, Adequate funds on STIP for phase and year

Update CMP 3

56) Grant Authorization to Proceed and Obligate Funds for Construction Phase including Inspection, Railroad Force Accounts, Utilities, etc.

FHWA Request for Authorization

3


Page 26 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

57) Sponsor notified work can begin on Construction Phase including Inspection, Railroad Force Accounts, Utilities, etc. Grant “Approval to Advertise”

NYSDOT Federal Obligation of funds, State/Local Agreement executed


3

58) Advertise for Bids

Sponsor Federal Authorization to Proceed and notification from NYSDOT

Federal Authorization must precede advertisement

14

59) Conduct Bid Opening

Sponsor Project Advertisement Authorized

14

60) Analyze Bids and Recommend Award

Sponsor Project Bid Opening DBE Utilization Review

14

61) Prepare Award Package

Sponsor Analyze bids Update CMP to include apparent low bidder

14

62) Request Concurrence for Contract Award

Sponsor Prepare Memorandum of Bids to document analysis

NYSDOT/FHWA must approve for projects on NHS and SHS/NYSDOT must approve Good Faith Effort (GFE)

14

63) Concur with Contract Award Recommendation/ Notify Sponsor

NYSDOT Analysis of bids and recommendation to award

Review DBE Utilization/GFE, as needed

14

64) Award Contract Sponsor NYSDOT concurrence, as needed

Concurrence by NYSDOT is required for GFEs

14

65) Prepare Supplemental State-Local Agreement (if needed)

NYSDOT State-Local Agreement in effect/ Appropriate Sponsor Resolutions/ appropriations/

4


Page 27 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

66) Execute Supplemental Agreement to adjust for Low Bid (and additional design and/or ROW costs, if needed)


required approvals for progressing phases and obligation of federal funds

4

67) Contract Administration and Construction Inspection

Sponsor Approved CMP Documented in CMP

15

68) Materials Certification and Testing

Sponsor Approved CMP Documented in CMP

15

69) Approve Contract Change Orders

Sponsor (with NYSDOT concurrence in certain circumstances)

Approved CMP Exceptions noted in Chapter 15

15

70) Prepare Supplemental Agreement (if needed)

NYSDOT State-Local Agreement in effect/appropriate Sponsor Resolutions/ appropriations/ required approvals for progressing phases and obligation of federal funds

4

71) Execute Supplemental Agreement (if needed)


4

72) Contract Claims, as needed

Sponsor Claim Procedures included in Contract Bid Documents

15

73) Accept Construction Contract

Sponsor Punch List work completed

15/17

74) Verify Completion

NYSDOT Sponsor notification Punch List work is complete

15/17

75) Provide EEO/DBE participation reports to NYSDOT for all phases as needed

Sponsor Construction complete Throughout project duration

6/11/13/15

76) Single Audit/Consultant Audit

Sponsor Construction complete 16/17


Page 28 of 32


ACTIVITY COMMENTS

FOR DETAILS,

SEE CHAPTER

77) Final Payment Reimbursement Request/ Agreement Close-out

Sponsor NYSDOT NYS Comptroller

Construction Acceptance: Sponsor has accepted project. Final Bill submitted/ Close-out documentation submitted.

Final determination will be made by NYSDOT based on Single Audit Requirements of the US OMB, circular A-133 codified in 2 CFR 20031

4/5/17

THROUGHOUT LIFE OF PROJECT

A) Pay all project costs

Sponsor 3/5

B) Prepare and submit Reimbursement Requests (Marchiselli and other required submissions and certifications, as applicable)

Sponsor State-Local Agreement and any applicable Supplements in effect, obligation of federal funds, Receipts for Payment

3/5

C) Process Reimbursement Requests

NYSDOT 3/5

D) Reimburse federal aid eligible costs

NYSOSC 3/5

E) Reimburse Marchiselli-aid eligible costs

NYSOSC 3/5

F) Project Documentation

Sponsor Maintain records for 6 years

All

31 https://www.gpo.gov/fdsys/pkg/CFR-2018-title2-vol1/pdf/CFR-2018-title2-vol1-sec200-200.pdf

https://www.gpo.gov/fdsys/pkg/CFR-2018-title2-vol1/pdf/CFR-2018-title2-vol1-sec200-200.pdf




Page 29 of 32

METROPOLITAN PLANNING ORGANIZATIONS

There are 13 Metropolitan Planning Organizations in New York State, see list below.

TABLE 2-2 Metropolitan Planning Organization Contact Information

MPO ADDRESS PHONE/FAX

Adirondack-Glens Falls Transportation Council (AGFTC) www.agftc.org

11 South Street, Suite 203 Glens Falls, NY 1280

(518) 223-0086 (518) 223-0584 f

Binghamton Metropolitan Transportation Study (BMTS)

www.bmtsonline.com/bmts/

PO Box 1766 Broome County Office Building Binghamton, NY 13902

(607) 778-2443 (607) 778-6051 f

Capital District Transportation Committee (CDTC) www.cdtcmpo.org

One Park Place Albany, NY 12205

(518) 458-2161 (518) 729.5764 f

Dutchess County Transportation Council (DCTC) www.dutchessny.gov/dctc

27 High Street, 2nd Floor Poughkeepsie, NY 12601

(845) 486-3600 (845) 486-3610 f

Elmira Chemung Transportation Council (ECTC) www.chemungcountyny.gov/departments/s_-_z_departments/transportation_council/index.php

400 East Church Street Elmira, NY 14901

(607) 737-5510 (607) 737-5512 f

Genesee Transportation Council (GTC) www.gtcmpo.org

50 West Main Street, Suite 8112 Rochester, NY 14614

(585) 232-6240 (585) 262-3106 f

Greater Buffalo Niagara Regional Transportation Council (GBNRTC) www.gbnrtc.org

438 Main Street, Suite 503 Buffalo, NY 14202

(716) 856-2026 (716) 856-3203 f

Herkimer-Oneida Counties Transportation Study (HOCTS) http://www.hocts.org

321 Main Street, 3rd Floor Utica, NY 13501

(315) 798-5710 (315) 798-5852 f

Ithaca Tompkins County Transportation Council (ITCTC) http://tompkinscountyny.gov/itctc

121 East Court Street Ithaca, NY 14850

(607) 274-5570 (607) 274-5578 f

Orange County Transportation Council (OCTC)

www.orangecountygov.com/planning/octc

Orange Co. Dept. of Planning 124 Main Street Goshen, NY 10924

(845) 615-3840 (845) 291-2533 f

New York Metropolitan Transportation Council (NYMTC) www.nymtc.org

25 Beaver Street, Suite 201 New York, NY 10004

212-383-7200 212-383-2418 f

Syracuse Metropolitan Transportation Council (SMTC)

www.smtcmpo.org

100 Clinton Square 126 N. Salina Street, Suite 100 Syracuse, NY 13202

(315) 422-5716 (315) 422-7753 f

http://www.agftc.org/

http://www.bmtsonline.com/bmts/

http://www.cdtcmpo.org/

http://www.chemungcountyny.gov/departments/s_-_z_departments/transportation_council/index.php



http://www.gtcmpo.org/

http://www.gbnrtc.org/

http://www.hocts.org/

http://tompkinscountyny.gov/itctc

http://www.orangecountygov.com/planning/octc

http://www.nymtc.org/

http://www.smtcmpo.org/


Page 30 of 32

MPO ADDRESS PHONE/FAX

Ulster County Transportation Council (UCTC) www.co.ulster.ny.us/planning/tran.html

244 Fair Street, PO Box 1800 Kingston, NY 12402

(845) 340-3340 (845) 340-3429 f

Watertown-Jefferson County Area Transportation Council (WJCTC) www.wjctc.org

317 Washington Street Watertown, NY 13601 ATTN: NYSDOT Planning Room 706

(315) 785-2354 (315) 785-2315 f


Page 31 of 32

FIGURE 2-1 NYS MPO Area Map


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2.12 REFERENCES FEDERAL LAWS AND REGULATIONS: Civil Rights Act of 1964 National Historic Preservation Act of 1966 (NHPA) National Environmental Policy Act of 1970 (NEPA) Intermodal Surface Transportation Efficiency Act of 1991(ISTEA) American with Disabilities Act of 1992 (ADA)

Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users of 2005 (SAFETEA-LU)

Federal Funding Accountability and Transparency Act of 2006 (FFATA) 2 CFR 170 23 CFR 635.105 23 CFR 637.205 23 USC 106 23 USC 114 23 USC 118 STATE LAWS AND REGULATIONS: NYS Environmental Conservation Law, Article 6, State Smart Growth Public Infrastructure Policy Act NYS Highway Law, Article 331, Complete Streets









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