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LPA Basic Project Development Training

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Presentation on theme: "LPA Basic Project Development Training"— Presentation transcript:

1 LPA Basic Project Development Training
Britni Saunders LPA Training, Policy & Guidance, INDOT March 27, 2014

2 Getting Started- Federal Aid
The local federal aid program is a mechanism whereby the Federal-Aid Highway Program provides financial assistance for the construction, maintenance, and operations of the Nation's local highway network.

3 Getting Started- Federal Aid
LPAs own and operate about 75 percent, or roughly 2.9 million miles, of the Nation's highway network. LPAs build and maintain this network using a variety of funding sources, including the Federal-aid Highway Program. A significant amount of the Nation’s highway network is owned and operated by local public agencies.

4 Getting Started- Federal Aid
Stewardship – exercising sound judgment and good decision-making while managing Federal funds. Oversight – ensuring that highway projects approved for Federal funding are consistent with applicable laws, regulations, and policies. These are two terms you will hear repeatedly throughout the LPA Program, both today and as you go forward into the LPA program.

5 Getting Started- Federal Aid
Watch video: “Stewardship & Oversight” Stewardship & Oversight video- please review to know how to discuss. This video is about 8 ½ minutes. Right now, this slide and the next show links to access the videos. On the final version, it will be a video that you will simply be able to press play on. See next slide.

6 Getting Started- Federal Aid
FHWA is still responsible for ensuring compliance with Federal requirements in the delivery of the Federal Aid program. State DOTs act on behalf of the FHWA and take on responsibilities such as: Project development Administer construction and inspection As we heard in the video, While duties have been assigned to the State DOTs, Even though the State DOT is involved in the day-to-day activities, the FHWA is still responsible to Congress and the public for ensuring compliance

7 Getting Started- Federal Aid
Stewardship/Oversight Agreement – a formal written agreement between the FHWA and the State DOT with regard to the use of Federal-aid dollars. The State DOT is expected to exercise and make judgments similar to the FHWA. Stewardship involves the activities to deliver the Federal-aid program such as leadership, technology deployment, technical assistance, problem-solving, program administration, and oversight. FHWA Division Office and the State DOT are jointly responsible for how the Federal-aid program is developed and implemented.

8 Oversight Oversight Responsibilities – exercise judgments similar to FHWA based on Federal laws, regulations, and policies. Transportation planning activities Assessing environmental impacts Project design requirements Civil rights protections Purchasing right-of-way Administering construction projects Maintenance activities State DOTs are responsible to exercise judgments… in all aspects of the project

9 Oversight State DOTs are accountable to FHWA to ensure all project elements comply with federal law & regulations.

10 Funding State DOTs ensure that local projects utilizing federal funds made available by the state are appropriately used in a timely manner and in compliance with all federal and state regulations.

11 Getting Started- Federal Aid
Watch video: “Funding: Funding Basics & Eligibility” Funding: Funding Basics & Eligibility: please watch video to know how to discuss. This video is about 7 minutes.

12 Funding Two important characteristics of Federal–aid are that it is both: Reimbursable Program Matching Program

13 Funding Reimbursable Program
FHWA pays the actual expenses incurred on a progress payment basis. Money is not provided in advance. A State DOT or LPA must initially finance the project.

14 Funding Matching Program
Federal funds are matched with State or local resources to cover the total project cost. Federal funds typically cover 80% of the project’s eligible cost. The remaining 20% is provided (or matched) by the State or local agency funding.

15 Funding By accepting federal funding, Local Public Agencies accept their responsibility for ensuring each local federal aid project complies with all federal laws and regulations. Failure to comply puts the LPA at risk of being required to refund a portion or all of the federal funds expended on the project.

16 Getting Started: Guidance Document
Travis Kohl Local Project Manager, Crawfordsville, INDOT **Travis: You have 10 minutes for your section. If you would like to modify or add information, please send me any amendments. 

17 Getting Started- Guidance Document
What is it? INDOT’s guidance manual for local federal aid projects; aids in completion & understanding Provides linkable resources to material throughout the document Most links have needed to be updated due to IT changes, will be resolved in next update due shortly

18 Getting Started- Guidance Document
What is it? Provides information to help all parties involved Ensures full understanding of the requirements of a federal aid project Ensures accurate understanding and compliance ADVICE: Look it up before calling  Contact District Offices or

19 Getting Started- Guidance Document
Where is it? Last version posted on INDOT’s website in August 2013 Document posted on website at: Document formatting is being revised and information left out of August 2013 version is being added In the future, documents will be reposted to INDOT site when changes are made Most changes will come from an upcoming April meeting, should be able to post shortly after Knowledge of revisions will come through GovDelivery

20 Getting Started: Other Tools & Resources
Joe Sheedy Local Project Manager, Greenfield, INDOT **Presenter: you have 15 minutes for this section.

21 Other Tools & Resources
FHWA website What is it? The Federal Highway Administration (FHWA) provides stewardship over the construction, maintenance and preservation of the Nation’s highways, bridges and tunnels. FHWA also conducts research and provides technical assistance to state and local agencies in an effort to improve safety, mobility, and livability, and to encourage innovation Where is it? Visit it at: Please decide how you would like to facilitate this slide. Go to the website? Look around?

22 Other Tools & Resources
How do I use it?

23 Other Tools & Resources
Federal Aid Essentials Library Visit it at:

24 Other Tools & Resources
Federal Aid Essentials Library Federal Aid Overview Finance Environment Right of Way Civil Rights Project development Project Construction and Contract Administration

25 Other Tools & Resources
GovDelivery What is it? The world's leading free subscription management system designed specifically for the public sector. It empowers organizations to provide citizens with better service and access to relevant information by proactively delivering new information through and wireless alerts.  New communication system for INDOT LPA Benefits Consistency with majority of state government communication systems If you want me to present this section, I can. I didn’t know if you would know enough about it. Just let me know.

26 Roles & Responsibilities
Jennifer Beck Local Project Manager, Indianapolis, INDOT **Presenter: You have 20 minutes for this section.

27 Stakeholders LPA Consultant FHWA INDOT MPO

28 Federal Highway Administration (FHWA)
Responsible for ensuring adequate and proper delivery of federal-aid projects. This responsibility is delegated to the State through legislation. FHWA has the final say with regards to financial participation.

29 Indiana Department of Transportation (INDOT)
Responsible for… Providing technical assistance to the LPA Ensuring all project elements comply with FHWA regulations Ensuring federal funds are appropriately utilized for local projects in a timely manner Maintaining the Statewide Transportation Improvement Program (STIP) INDOT Reviews all design documents, so if questions come up prior to a submission please contact the PM and we can get the information.

30 INDOT Roles *Please reference the attached contact sheet to see who fills these rolls for your district. Project Manager Program Director Real Estate Manager Utilities Manager Railroad Manager Environmental Manager Project Manager – Design Submissions / Questions Program Director – Anything else, including RFP, Contract and Funding Questions Real Estate – R/W Certifications (Proof of Ownership) Utilities – Utility Certification / Work Plans Railroad – Railroad Agreements Environmental – Environmental Document (NEPA) – Depending on level of this document, it may go for higher review

31 Metropolitan Planning Organization (MPO)
Responsible for transportation planning in their Urbanized Areas. An MPO has multiple boundaries. Urbanized Areas Metropolitan Planning Area (MPA) Includes area anticipated to be urbanized in the next 20 years. MPO’s boundaries are determined based on population density taken from the Census. Example MPA - Indianapolis

32 MPO Responsible for maintaining the Transportation Improvement Program (TIP) This is a 4 year planning document specific to an MPO The TIP shows projects in that period with all funded phases in the year and amount of funds those will be obligated TIP Phases are Preliminary Engineering (PE), Right of Way (ROW) and Construction (CN) Project must be included in the TIP/STIP before funding can obligated.

33 Local Public Agency (LPA)
Responsible for.. Timely Project Delivery Financial Management Following State and Federal guidelines Must have a certified Employee in Responsible Charge (ERC) before applying for federal-aid funds for a project. Point of Contact for LPA, acts as a Project Manager Must have attended required training sessions

34 ERC A few key responsibilities of an ERC..
Submit electronic project application Ensures the INDOT-LPA Contract is executed Submits Requests for Proposals (RFPs) for consultant selection to INDOT Attends Quarterly Tracking Meetings Submits Quarterly Reports prior to Tracking Meeting Submits Invoice-Voucher forms for federal reimbursement

35 Consultant Responsible for..
Abiding by the LPA-Consultant Contract. Keeping the ERC informed on the project status. Consulting Firm must be on INDOT’s Pre-Qualified Consultant list. Consultant must have a Certified Project Manager prior to working on an active project. Provide information for the quarterly reports and attend tracking meetings Consultant reports to the LPA (ERC). Design Work (Project Scope) Environmental Document Right of Way Services Utility Relo Permits

36 Project Development Process (PDP)
Mike Wink Local Project Engineer, Crawfordsville, INDOT 20 minutes for this section. You are set up to show 1 video. It is roughly 6 minutes long.

37 Project Development Process
What does it look like step by step? Watch video: “Project Delivery: A Process from Cradle to Grave”

38 The PDP- The INDOT Way Step 1: Define your project Location
Scope of work Total cost (Design + ROW + Utility/Railroad + Construction + Construction Inspection)

39 The PDP- The INDOT Way Step 2: Apply for federal funding
Periodic “Call for Projects” aka “Notice of Funding Availability” Announcement on LPA website District personnel will notify LPAs Step 3: Receive notice of funding award Rejoice/celebrate Pause and think of what you’ve gotten yourself into

40 The PDP- The INDOT Way Step 4: Schedule the Early Coordination meeting with your district Step 5: Select a consultant Follow the correct process to ensure eligibility for federal funding Negotiate the design services contract Do not begin work until after receiving a Notice-to-Proceed from the district

41 The PDP- The INDOT Way Step 6: Design Submittals
Stage 1 – 30% Complete plans Only required if design exceptions are being requested or if LPA requires Preliminary Field Check Always required Stage 2 – 60% Complete plans Only if required by LPA Stage 3 – 90% Complete plans Always required for review by INDOT Final Tracings

42 The PDP – The INDOT Way Step 6A: NEPA Document Step 6B: Right-Of-Way
Prepared simultaneously with design Can be a lengthy process Public hearing may be required Step 6B: Right-Of-Way Acquisition process cannot start prior to NEPA approval Can be a big delay to the project

43 The PDP – The INDOT Way Step 6C: Utility Coordination
A responsibility of the LPA and the consultant Failure to do in a timely manner can delay your project Reimbursable/Non-reimbursable Step 6D: Railroad Coordination District responsibility with cooperation/assistance of the LPA and the consultant

44 The PDP- The INDOT Way Step 7: Final Tracings Step 8: Contract Letting
All of the documents required to get the project to a contract letting Step 8: Contract Letting The project goes through the INDOT letting process

45 The PDP – The INDOT Way Step 9: Construction Step 10: Project Closeout
The LPA is billed for their match before work begins Beware of change orders Step 10: Project Closeout The work isn’t done until all of the paperwork is done

46 Being an ERC: Your First Steps
AJ Wortkoetter Local Project Engineer, Greenfield, INDOT **Presenter: you have 25 minutes here.

47 Your First Steps ITAP What is it?
If you would like to plug in some info from your presentation at Road School, feel free! Please make sure you send me any changes.

48 Your First Steps Call for Projects Process What is it?
If you would like to plug in some info from your presentation at Road School, feel free! Please make sure you send me any changes.

49 Being an ERC: Your First Steps: Consultant Selection
Susie Kemp District Local Program Director, Crawfordsville, INDOT **Presenter: You have 25 minutes here. Please include any additional slides you would like. Mike Wink’s Road School presentation has some really great information already created if you would like to use any of it. Let me know, I can send them over to you.

50 Consultant Selection What are your options?
Selecting a consultant from INDOT’s prequalified list. (non reimbursable) Create and advertise a Request For Proposal or RFP. (reimbursable) The LPA can pay for any phase or phases with 100% local funds. But all professional services leading to federally funded construction must be performed by INDOT prequalified consultants that have been approved by the INDOT as having the same technical qualifications specified for consultants. If consultant services are to be funded with federal-aid, the LPA must: Create and advertise a Request for Proposals (RFP) on INDOT’s Web site Evaluate and rank consulting firms using the score sheet that was advertised in the RFP.

51 FROM GOOD TO GREAT Selection is more than just picking or scoring a consultant. Key Player in the success of a project Timelines and Funding Understanding what the LPA wants Following FHWA requirements All prequalified consultants have the capability to perform the needs listed in the LOI’s that they have submitted in response to the RFP’s. But that does not necessarily mean they are the best consultant for your project. Keep in mind that your consultant will be working for you and you want the best person for that position. Coordinate the timeline and funds that you have for your project with the consultant during your negotiation for your contract to make sure that consultant can fulfill your needs. Discussion about what is really expected from the consultant should start early on. Is the consultant familiar with the FHWA requirements? This could mean the difference between, the LPA paying 100% and being eligible for federal reimbursement.

52 Local Project Manager, Crawfordsville/Greenfield, INDOT
Top 10 Keys to Success Marcy Jeffers Local Project Manager, Crawfordsville/Greenfield, INDOT **Presenter: You have 10 minutes for this section.

53 Top 10 Keys to Success Be involved & available… own the project
Know your resources. Ask questions. Understand the ‘Critical Flaws’ of the project process. Meet Schedule dates

54 Top 10 Keys to Success Wait for NTP (Notice to Proceed) before starting a phase Track funding! Be aware of Environmental & Utilities Start ROW buying after Environmental LPA Match is available at CN Phase

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