Letters to MaineDOT:

Federally Funded Project

Note:

Documents are current as of March 2023

NOTE: This should be put on letterhead and signed by the manager or highest ranking official

Michael Laberge, Local Projects Coordinator

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Local Project Administration Request

MaineDOT WIN: ; Description:

Dear Mr. Laberge:

The Municipality of hereby requests approval to administer a federal-aid project consisting of . I have enclosed information about the Municipality’s qualifications, including our experience in delivering projects of similar size and scope, and our ability to manage and track federal funds.

If a person with Local Project Administration certification will manage the project, use this:

is the full-time employee of the Municipality who would serve as Local Project Administrator for this project. ’s Local Project Administration certification is valid through .

If a person without Local Project Administration certification will manage the project, use this:

is the full-time employee of the Municipality who would serve as the Local Project Administrator for this project. This person currently lacks Local Project Administration certification but would be willing to take the next training program. Please let us know when the program is offered.

If MaineDOT concludes that the Municipality is adequately staffed and suitably equipped to undertake this project, please contact me to discuss the details of the project and the requirements for local administration.

I understand that, if approved, the Municipality will be responsible for meeting all federal and state requirements, as described in the latest edition of the MaineDOT Local Project Administration Manual & Resource Guide.

Sincerely,

Enclosure

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Project Kickoff, project

MaineDOT WIN

Dear :

The Municipality of requests your attendance at the kickoff meeting for the subject project on at .

Attached is the proposed scope of work, budget and schedule. If you need additional information, please let me know.

We understand that we cannot start work eligible for reimbursement until we take these steps:

Hold the kickoff meeting;

Execute a Locally Administered Project Agreement with MaineDOT; and

Receive notice to proceed from MaineDOT.

We look forward to seeing you at the meeting.

Sincerely,

, Local Project Administrator

Enclosures: Project scope, budget and schedule

, Local Projects Coordinator

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Local Project Agreement Execution Request

MaineDOT WIN

Dear :

Enclosed is one signed and dated copy of the Locally Administered Project Agreement for by the Municipality of .

We understand that MaineDOT cannot reimburse us for project design or right-of-way costs until MaineDOT executes this Agreement and issues us a “Notice to Proceed.”

Please arrange for the agreement to be executed as soon as possible.

Sincerely,

, Local Project Administrator

Enclosure: Executed agreement

INSTRUCTIONS: This must be submitted on letterhead with all requested documentation.

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Progress Invoice, Project

MaineDOT WIN ; Contract #:

Dear :

The Municipality of hereby requests reimbursement of the federal share of the cost of work performed by for the stage of the project, for the service period to .

The total cost incurred was $ , and the Municipality seeks payment of the % federal share: $ . The total includes a non-reimbursable local share of %, or $ ‬, which is not from other federally assisted projects or programs.

I have enclosed the documents listed below to support this request for reimbursement:

An updated worksheet showing expenditures for the service period and to date; and

Copies of the invoice received from and the check subsequently issued.

By signing this invoice, I certify to the best of my knowledge and belief that the information provided herein is true, complete, and accurate, and the expenditures, disbursements, and cash receipts are for the purposes and objectives set forth in the terms and conditions of the federal funding award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812.)

Sincerely,

, Local Project Administrator

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Simplified Acquisition Request, project

MaineDOT WIN

Dear :

The Municipality of requests approval to seek a proposal for engineering services for from , which is pre-qualified by MaineDOT in the service category of .

Since the cost is estimated to be $25,000 or less – based on our Independent Estimate (enclosed) – we request approval to use Simplified Acquisition, allowing us to solicit a proposal from one consultant pre-qualified by MaineDOT to perform the service. Our draft request for proposals is attached for your review.

We understand that MaineDOT cannot participate financially in contract costs exceeding $25,000 if Simplified Acquisition is used, and that we must use a separate process to solicit additional consultant services (if required).

Please review the submitted materials and notify us if we are approved to solicit a proposal and subsequently to negotiate a contract with this firm. We understand that we cannot award a contract without your approval.

Sincerely,

Local Project Administrator

Enclosure: Independent estimate

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: RFP Review Request, Project

MaineDOT WIN

Dear :

The Municipality of intends to solicit proposals for consultant engineering services for . Attached is the request for proposals that we intend to use for this solicitation.

If estimated price is $25,000 to $250,000, use the following language:

Based on our Independent Estimate of the cost of the proposed services (enclosed), we understand that we may select potential consultants from a pool of 3 to 5 pre-qualified firms. We intend to send the RFP to the following consultants on the MaineDOT pre-qualification list for :

If estimated price is $250,000 or greater, use the following language:

Based on our Independent Estimate of the cost of the proposed services (enclosed), we understand that we must use a publicly advertised solicitation in accordance with the federal Brooks Act. We intend to advertise the RFP on as follows:

Sincerely,

, Local Project Administrator

Enclosure: Draft RFP

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Consultant Selection Approval Request, Project

MaineDOT WIN

Dear :

The Municipality of has selected the consultant firm of for work on the subject project. Attached for your review is the negotiated contract, price proposal and our independent estimate. We understand that we cannot award this contract without your approval.

We have verified that our selected consultant is not debarred or otherwise prohibited from working on federally funded contracts. Attached as backup is a screen shot from the federal System for Award Management (SAM) database: www.sam.gov.

Please review these documents as soon as possible and inform me of your decision so that we may execute a contract. We understand that no work eligible for reimbursement may begin until we execute the contract upon MaineDOT’s approval and give our selected consultant notice to proceed.

Sincerely,

, Local Project Administrator

Enclosures:

Draft contract

Independent estimate

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Preliminary Design Report (PDR) Submittal

MaineDOT WIN , project

Dear :

Attached for MaineDOT review is the Preliminary Design Report for in the Municipality of . With this letter, the Municipality acknowledges the latest total estimated cost for the project of and affirms its commitment to raise the required local matching funds and to move forward with the project.

If there are design exceptions:

The following design exceptions were approved by MaineDOT on and are noted on the plans:

If there are no design exceptions:

This project will not require exceptions to controlling standards for project design.

If you would like to visit the project site, please notify me and I will make the arrangements. Please let me know if you need additional information.

Sincerely,

, Local Project Administrator

Enclosure: Draft Preliminary Design Report

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Plan Impacts Submittal

MaineDOT WIN , project

Dear :

Attached for MaineDOT’s review are the Design Plan Impacts for , located in the Municipality of . With this letter, the Municipality acknowledges the latest estimate for the project of and affirms its commitment to raise the required local matching funds and to move forward with the project.

The plans show all impacts to utilities and abutting properties, as well as cross-sections with proposed limits of slopes and new construction. These plans meet standards specified in the MaineDOT Right of Way Manual (August 2018), specifically Table 2-3, “Design Plan Impacts Complete,” found on page 2-6(9).

If you would like to visit the project site, please notify me and I will make the arrangements. Please let me know if you need additional information.

Sincerely,

, Local Project Administrator

Enclosure: Design Plan Impacts

INSTRUCTIONS: This must be submitted on letterhead to MaineDOT with Letter 11.

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Public Process Certification, Project

MaineDOT WIN

Dear :

The Municipality of hereby certifies that a public process was carried out for the project in accordance with Title 23 in the Code of Federal Regulations, Part 771.111, “Early coordination, public involvement, and project development.”

IF APPLICABLE, DESCRIBE ANY PUBLIC OPPOSITION HERE.

IF APPLICABLE, DESCRIBE ACCOMODATIONS FOR ENVIRONMENTAL JUSTICE COMMUNITIES HERE, SUCH AS:

Virtual or in-person meeting options

Contacts made with community groups representing those populations

Documentation of how the public meeting was advertised

Copies of the responses to comments received

I have attached for your information the following:

A copy of the notification that was sent to abutters by registered mail;

A copy of the meeting notice;

Sign-in sheet; and

Meeting minutes / public hearing transcript.

Sincerely,

, Local Project Administrator

Enclosures

INSTRUCTIONS: This letter and the checklist on the next page should be provided to MaineDOT’s Environmental Office when the Preliminary Design Report is approved.

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: National Environmental Policy Act (NEPA) Documentation

MaineDOT WIN : Project

Dear :

Attached is the required NEPA documentation checklist for the project in the Municipality of .

Also attached is Letter 10, certifying that the Municipality carried out a public process in accordance with the regulations in 23 CFR 771.111.

If you need additional information, please let me know.

Sincerely,

, Local Project Administrator

Enclosures:

NEPA documentation checklist

Public process certification (Letter 10)

NEPA DOCUMENTATION CHECKLIST

(Federally Funded Projects)

Project Title & Location:

Federal Project #:	MaineDOT WIN:

Description of Work:

MaineDOT Project Manager:

Answer the following questions and attach supporting documentation as requested. If there is a “yes” response, explain on a separate sheet or contact your MaineDOT Project Manager for guidance.

1.) Public Involvement: Is there substantial public opposition to proposed action? Yes No

The answer should become apparent at a public meeting.

Documentation: Meeting records, letters from the public, or LPA Letter 10.

2.) Right-of-Way: Does action include a residential or commercial displacement Yes No

or acquisition of property rights that will result in substantial abutter impacts?

For help with “substantial,” contact your Project Manager at MaineDOT.

Documentation: Plan Impacts Complete for the project

3.) Endangered Species & Essential Fish Habitat:

a. Has a qualified person surveyed the project area for streams, rivers, tidal waters, wetlands, or vernal pools identified coastal waters, wetlands, and vernal pools?	Yes No

b. Any streams, rivers, tidal waters, wetlands, or vernal pools identified?	Yes No

c. Is any work proposed in or adjacent to a stream, river or coastal waters?	Yes No

d. Does the project require clearing trees or trimming limbs 3” or greater in diameter?	Yes No

- If Yes, number of trees to be cut or area (acres) of clearing:

Documentation: Resource delineation and plans with location of resource and work planned. If in-water work is proposed, project will be screened by the MaineDOT Environmental Office for intersection with habitat for endangered species and critical fish. Additional coordination with the Environmental Office will be required if the project is in one of these areas and includes in-water work or involves clearing.

4.) Section 4(f) or 6(f):

a. Does project area include or abut resources protected by Section 4(f) of the

Department of Transportation Act: publicly owned land, parks, recreation areas,

wildlife and waterfowl refuges, or historic sites?	Yes No

b. Will project require temporary or permanent rights on any protected 4(f) resource	Yes No

listed above?

Documentation: Existing and proposed right-of-way plan, and a description of how impacts to these properties were avoided and minimized.

5.) Executive Order 12898 (Environmental Justice): Does the project affect businesses, housing agency property, community services, public transportation, or pedestrian access; or will it limit access to these services (either permanently or temporarily)?	Yes No

Signed by:	Date:

INSTRUCTIONS: This must be submitted on letterhead with the PS&E package for a project.

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Environmental Certification, Project

MaineDOT WIN

Dear :

If permits were required, use this paragraph:

The Municipality of hereby certifies that it has obtained all environmental permits and approvals for the subject project, satisfying a pre-construction requirement in the executed project agreement with MaineDOT. Attached are copies of the permits, which are required for MaineDOT to complete the Environmental Summary Sheet for the contract package.

If NO permits were required, use this paragraph:

The Municipality of hereby certifies that no environmental permits were needed for the subject project. This certification satisfies one of the pre-construction requirements in the executed project agreement with MaineDOT. NOTE: If no permits were required, please briefly explain.

Sincerely,

, Local Project Administrator

Cc: MaineDOT Environmental Office

INSTRUCTIONS: This must be submitted on letterhead with the PS&E package.

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Utility Certification, location of Project, WIN

Dear :

I certify that all utility and railroad work necessitated by the subject project has been identified and coordinated with the respective utilities and railroads. All necessary arrangements have been made for utility work to be undertaken and completed as necessary for proper coordination with physical construction schedules in accordance with Federal Aid Policy Guide, Title 23, Code of Federal Regulation, Chapter 1, Subchapter G, Part 645, Subpart A, Subpart B, or both.

Based on 23 CFR 635.309(b), all railroad work has been completed and/or all necessary arrangements have been made (23 CFR 140 Subpart I/23 CFR 646 Subpart B) for it to be undertaken and completed as required for proper coordination with the physical construction schedule. The following utilities and or railroads have been identified as having facilities within the project limits:

Utility/Railroad	Impacted facilities? (yes/no)

All of the above entities were first informed of the project on , were involved as necessary throughout design, and received the most current plans on . Furthermore, the above entities have been informed of the proposed advertising date - . There are no direct payments anticipated to utilities/railroads as a part of this project (except as provided through the following agreements):

Utility/Railroad	Date of Agreement

The primary utility/railroad contacts involved in the coordination of this project are as follows:

Utility/Railroad	Contact Name	Telephone #

Sincerely,

Local Project Administrator

Municipality of ____________________________

INSTRUCTIONS: If a local agency acquired rights or otherwise carried out the right-of-way process, this letter must be signed by the agency’s highest-ranking administrative officer and submitted to MaineDOT with the final PS&E package.

[DATE]

[NAME], Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Right-of-Way Certification, Federal Project

MaineDOT WIN:

Dear :

If right-of-way was acquired, use this statement:

The Municipality of [NAME] hereby certifies that:

The Municipality has acquired all rights-of-way necessary for construction and maintenance of [DESCRIPTION AND LOCATION], and the Municipality has legal and physical possession of those rights;

The acquisition was performed in accordance with Title III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, “Uniform Real Property Acquisition Policy”; and

No acquisition required compliance with Title II of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, “Uniform Relocation Assistance.”

If NO right of way was required, delete the text above and use this statement:

The Municipality of [NAME] hereby certifies that no right-of-way acquisition was necessary for construction and maintenance of the subject project. All work will occur within the exiting right-of-way, as documented in the final design plans stamped by the Engineer of Record.

All information about the right-of-way process can be made available upon request. If you need additional information, please let me know.

Sincerely,

Highest-ranking administrative officer

NOTE: THIS MUST BE SUBMITTED WITH THE FINAL PS&E PACKAGE.

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Construction Authorization Request, Federal Project

MaineDOT WIN

Dear :

Attached for your review, comment and approval are the final plans, specifications and estimate (PS&E) for in the Municipality of . The latest estimate for the project is , and the Municipality has approved its percent matching share of this amount. With this letter, the Municipality reaffirms its commitment to moving forward with the project.

Also attached are the following certifications:

Letter 12, environment;

Letter 13, utilities; and

Letter 14, right of way (if municipality acquired rights).

The Municipality hopes to advertise for construction services on , but we understand that we cannot put the project out to bid without MaineDOT’s written approval.

We further acknowledge that construction authorization will be contingent upon:

The Municipality addressing to MaineDOT’s satisfaction any final comments on the PS&E package; and

MaineDOT obtaining authorization for the construction stage of the project from the Federal Highway Administration.

Sincerely,

, Local Project Administrator

Enclosure: Draft PS&E package

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Contract Award Request, Federal Project

MaineDOT WIN

Dear :

Attached for your review are the bid tabulations, engineer’s estimate and completed Contractor DBE Utilization Form for in the Municipality of . is the apparent successful bidder. We request authorization to award the project to that contractor.

In making this request, we acknowledge that we cannot send out the Notice of Intent to Award without written authorization from MaineDOT.

If you need additional information, please let me know.

Sincerely,

, Local Project Administrator

Enclosures:

1. Bid tabulations

2. Cost estimate

3. Contractor DBE Utilization Form

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Pre-Construction / Pre-Utility Meeting

MaineDOT WIN

Dear :

The Municipality of requests your attendance at the pre-construction / pre-utility meeting for on at . I have attached an agenda for your convenience.

If you need additional information, please let me know.

Sincerely,

, Local Project Administrator

Cc: , Construction Manager, MaineDOT Multimodal Program

AGENDA ITEMS FOR PRE-CONSTRUCTION MEETING

(Federally Funded Project)

Introductions

Review Scope of Project

Acknowledge Amendments

Completion Date

Liquidated Damages

Permits Obtained (if required)

Construction Safety

Primary consideration during construction

Emergency contact list including 24 hour contacts

Contractor safety plan to be provided

Traffic Control Plan (TCP) must be reviewed and approved by Maine DOT

Schedule for the completion of work to be provided

Are there utility issues?

Update schedule as required

Daily construction activities to be recorded

Town must pay contractor first, then request reimbursement on a monthly basis

Labor Requirements

Davis-Bacon wage rates apply to prime and all subs if project has federal money

Certified payrolls with classifications to be submitted & reviewed in Elations

Payroll labor interviews

DBE participation & CUF form

Construction Control

Minimum Testing Requirements

Subcontract Approval (FHWA-1273 must be inserted in all subcontracts)

Measurement & documentation of materials used for payment purposes

Engineering oversight of activities

Manufacturer’s certification for materials

Soil Erosion and Water Pollution Plan (SEWPCP)

Quality control plans, mix design submittals, pre-pave meeting

Buy America: steel/iron product certifications

Letters

Requests for Information (RFIs)

Change Orders require MaineDOT review; must include detailed description of scope change, independent cost estimate & time

Notification of anticipated issues, claims or disputes

Jen Paul, Construction Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Contract Modification Request

MaineDOT WIN

Dear :

Attached for your review is proposed Contract Modification # . The proposed change will consist of .

An independent estimate of the cost of the additional work is attached. This modification will add to the original contract.

(Note: The amount of time required by the modification must be noted. If there is no change in the schedule, then state “0 days” or indicate that the modification will not change the amount of time associated with the contract.)

If you need additional information, please let me know.

Sincerely,

, Local Project Administrator

Cc: Project Manager, MaineDOT Multimodal Program

PROJECT DESCRIPTION:
CONTRACT MOD. NO.:
PROJECT/WIN:
TOWN/RR/COMPANY:
DATE ISSUED:

To: !Unexpected End of Formula, you are hereby notified, the following work is to be accomplished in accordance with the provisions of your Contract. The work will not be considered authorized for payment without the required signatures. Payment will be made as described.

(By signing this Order the Contractor agrees that all issues, including time, relating to the described work are satisfactorily resolved by this Order. No other compensation will be sought or made.)

DESCRIPTION:

REASON:

COST:

Amount of this Order: $

Original Contract Amount	$
Total Cost of this Contract Modification	$
Total Cost of all Contract Modifications Including this Mod	$
Percentage of Contract for this Mod	%
Total Percentage of Contract including all Mods	%
Total Contract Amount Including this Mod	$

Additional Days Added (This Mod):	New Completion Date:

TITLE:	SIGNATURE:	DATE:
Resident or Inspector
Contractor
Municipality/Railroad/Company
DOT Project Manager (if applicable)

Jen Paul, Construction Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Final Inspection, MaineDOT WIN

Dear :

Your attendance is requested at the final inspection for project in the Municipality of on at . At the time, we can also make available all documentation and testing results for the project.

If you need additional information, please let me know.

Sincerely,

, Local Project Administrator

Cc: Project Manager, MaineDOT Multimodal Program

INSTRUCTIONS: This must be submitted on letterhead with all requested documentation.

, Project Manager

Maine Department of Transportation

Bureau of Project Development, Multimodal Program

16 State House Station

Augusta, ME 04333-0016

Subject: Final Invoice and Notification of Completion of Work

MaineDOT WIN ; Contract #

This Municipality of certifies that the contractor has completed all work on the subject project in accordance with the construction contract and approved modifications, and that:

The Municipality has accepted the work; and

The Municipality has measured and reconciled final quantities with the contractor, with all supporting documentation of such; and

The Municipality has paid all contracted parties in full; and

There are no outstanding claims or disputes associated with the project.

Accordingly, the Municipality submits this final invoice with supporting documentation requesting reimbursement of $ as MaineDOT’s % share of expenditures for the invoice period, . I understand that the Municipality’s % share of MaineDOT’s internal charges to the project will be reconciled and deducted from this final invoice.

The following documents also are attached: 1.) Consultant Evaluation; 2.) Contractor Evaluation; and 3.) As-Built Plans for the project.

By signing this invoice, I certify to the best of my knowledge and belief that the information provided is true, complete, and accurate, and the expenditures, disbursements, and cash receipts are for the purposes and objectives set forth in the terms and conditions of the federal funding award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812.)

Sincerely,

, Local Project Administrator

Enclosures: Final billing, Consultant Evaluation, Contractor Evaluation, and As-Built Plans