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Local Public Agency (LPA) Basic Certification Training March 2014 1.

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Presentation on theme: "Local Public Agency (LPA) Basic Certification Training March 2014 1."— Presentation transcript:

1 Local Public Agency (LPA) Basic Certification Training March

2  A Living Document  Provides links to References and Resource People  Defines the Process for:  Project Development  Letting  Construction LPA Guidance Document 2

3  Critical Elements  Fatal Flaws  Documentable Proof 3

4 Resources INDOT Central Office: 4 Kathy Eaton-McKalip Director of LPA & Grant Administration 100 N Senate Avenue Indianapolis, IN Britni Saunders LPA Training Program Director 100 N Senate Avenue Indianapolis, IN Brenda Fox LPA Policy & Guidance 100 N Senate Avenue Indianapolis, IN For general questions, feedback or training registration:

5 District Local Program Directors Crawfordsville District Susan Kemp Phone: (765) Greenfield District Office Kim Bowdell/Cassandra Hudson Phone: (317) Seymour District Office Debra Ault Phone: (812) Fort Wayne District Office David Armstrong Phone: (260) LaPorte District Office Marcia Blansett Phone: (219) Vincennes District Office Lora Lewis Phone: (812)

6 Program Introduction Chapter 1 1

7 Federal Highway Administration (FHWA) FHWA – Responsible for ensuring adequate and proper delivery of federal-aid projects. 9

8 Indiana Department of Transportation (INDOT) INDOT: a.Provides technical assistance to the LPA b.Accountable to FHWA to ensure all project elements comply with federal law and regulations c.Ensures that local projects utilizing federal funds made available by INDOT are appropriately utilized in a timely manner and are in compliance with all federal and state regulations 10

9 Local Public Agency (LPA) LPA: a.Must have a certified Employee in Responsible Charge (ERC) before applying for federal-aid funds for a project. The ERC role cannot be filled by a consultant or a contract employee hired by the LPA. The ERC must be an employee of the LPA. Because many smaller LPAs do not maintain full time staff, the ERC is not required to be a full time employee.” 11

10 ERC (cont.) Responsibilities of the ERC:  Managerially responsible for project  Listed in Section of the LPA Guidance Document 12

11 ERC (cont.) A few of the responsibilities of the ERC:  Submits electronic project application  Ensures the INDOT-LPA Project Coordination Contract is executed and returned to INDOT  Submits the Requests for Proposals to INDOT for a consultant  LPA’s ERC is responsible for attending Quarterly Tracking meetings and submitting required electronically Quarterly Reports detailing up-to-date cost estimates and schedules through project construction. 13

12 Consultant Requirements  The consulting firm must be on INDOT’s pre- qualified consultant list.  Consultant must have a Certified Project Manager who has attend LPA Project Development Training and become certified prior to working on an active project.  Provide information the ERC for quarterly reports and attend tracking meetings. 14

13 Metropolitan Planning Organization (MPO) Coordination Chapter 6 1

14 Metropolitan Planning Organization (MPO) MPO’s are responsible for transportation planning in urbanized areas. These areas are based upon population density taken from the Census. An MPO has multiple boundaries. In their core or Urbanized area, they plan and fund the projects. MPO’s also coordinate on projects within a larger planning area.

15 Understanding MPOs Metropolitan Planning Organization (MPO) Maps showing the urban area boundary for each MPO: 20

16 MPO Coordination df 19

17 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).

18 Statewide Transportation Improvement Program (STIP) The STIP is the same type of planning document as an MPO’s TIP. INDOT is responsible for this document. The STIP covers projects across the State as a whole including LPA projects. 18

19 MPO Coordination LPAs outside of the Urbanized Area (UZA), but inside the Metropolitan Planning Area Boundary (MPA), should submit their projects to the MPO for concurrence. All Indiana MPOs conduct Quarterly Tracking meetings. The flow of information should be bi- directional. MPO_INDOT Cooperative Operations Manual Indiana MPO Council Website 21

20 MPO Coordination  Most LPA Surface Transportation (STP) funded projects located within an Urbanized Area are funded by the Metropolitan Planning Organization (MPO) using selection criteria established by the MPO’s Policy Committee.  LPAs must notify the MPO of any change in project scope, project phase costs, project/phase timelines, funding sources, etc. so the MPO can appropriately modify or amend its TIP.  LPAs must familiarize themselves with the MPO’s established Change Order Policy and comply with that policy. 22

21 Early Coordination Meeting Early Coordination meeting Project Development Process Consultant Selection Process LPA-Consulting Contract INDOT-LPA Contract Funding phases Environmental Process Right-of-Way Acquisition Process Schedule and Budget Responsibilities of the Local Public Agency 24

22  1 contract covering all phases  Schedule and Term  FMIS approval INDOT-LPA Contract 25

23 INDOT-LPA Contract Terms: Funding Window LPA’s responsibilities INDOT’s responsibilities Maximum amount of federal funds, including credits, for the project. INDOT-LPA Contract – Contract Terms 26

24 INDOT-LPA Contract (cont.) Supplemental INDOT-LPA Contracts:  Changes in the scope  Changes in the federal funding  Changes in funding sources  Additional award  Move to a different letting 27

25 INDOT-LPA Contract (cont.) Executed INDOT-LPA Contract returned to District Local Program Director Executed contract must be returned within 6 weeks of receipt of contract If not returned funds could be rescinded 29

26 Signature page of the INDOT-LPA Contract: Required signatures of LPA Highest elected official Clerk Treasurer/Auditor INDOT-LPA Contract (cont.) 30

27 Request for Federal Funds Fiscal Management Information System (FMIS) FMIS: federal authorization for the use of Federal-aid funds on a specific project phase  Every project phase must have FMIS Authorization before any work begins.  The ERC must request FMIS authorization for the Right-of-Way phase in writing after the environmental document has been approved. 31

28 FMIS Authorization Important revision to the LPA Guidance Document: Before funds can be requested through FMIS:  The project phase must be in the TIP (if applicable) and the STIP. 32

29 FMIS Authorization (cont.)  INDOT must have a copy of the executed LPA-Consulting Contract.  The INDOT–LPA Contract must be approved by the Attorney General’s office.  A Purchase Order will be opened.  Notice to Proceed to the LPA is given by the District Local Program Director 33

30 Notice to Proceed What is the most important thing to remember before beginning work on a project phase? 34

31 FMIS Authorization (cont.) ANSWER: If you want reimbursed for any work your Consultant has done on a project, you must wait to receive INDOT’s written Notice to Proceed! 35

32 Consultant Contracting Chapter 7 1

33 Consultant Contracting Topics covered in this chapter include: Applicability and LPA Responsibilities Selection Process Contract Scoping and Negotiation Contract Administration Errors and Omissions Documentation 37

34 Applicability and Responsibility When consultant services are to be funded with federal-aid dollars, or by credits used as a match for construction, the LPA must follow all Federal requirements. When no Federal dollars are used to pay for services, all services leading to federally funded construction must be performed by INDOT prequalified consultants. 39

35 Applicability and Responsibility Federally funded consultant selection, contracting and contract administration activities shall be performed by or under the supervision of a certified Employee in Responsible Charge (ERC). 40

36 LPA Consultant Selection Toolkit Links to all relevant documents are included in this Toolkit!!! Prepare RFP Request Past Performance Data and Verify Prequalification Scoring Ties and DBE Verification LPA Selection Review Checklist INDOT Selection Process Approval 41

37 LPA prepares Request for Proposal (RFP)  Use RFP Template  Identify Prequalification Requirements  Contact Economic Opportunity Division (EOD) for Disadvantaged Business Enterprise (DBE) goal Include in request: Brief Description of Project; DES No.; Total Project Cost; Estimated Fee; Typical Sub-consulting Opportunities Associated with Type of Service; Copy of RFP; your On-line: 42

38 RFP Advertisement Submit RFP to INDOT District INDOT posts RFP to website LPA may also post locally LPA receives Letter of Interest (LOI) Minimum of 3 responses 43

39 RFP Responses Received LPA requests past performance scores from district LPA verifies prequalification requirements met LPA rates firms and ranks LPA submits Affirmative Action Certification Form of top ranked firm to EOD for approval LPA Selection Review Checklist 44

40 Verify Prequalification Requirements ! Verify INDOT Pre-qualification of firms who submitted LoIs Prequalification information: The Prime Consultant is not required to be pre- qualified in every work type; however, either the Prime or the Sub-Consultants must be pre-qualified in every work type category listed in the RFP. The LPA must confirm the pre-qualifications for both. 45

41 Selection Rating Sheet 46

42 Rating Sheet Certification It is the responsibility of scorers to make every effort to identify the firm most capable of producing the highest quality deliverables in a timely and cost effective manner without regard to personal preference. I certify that I do not have any conflicts of interest associated with this consultant as defined in 49CFR I have thoroughly reviewed the letter of interest for this consultant and certify that the above scores represent my best judgment of this firm’s abilities. Signature:_________________ Print Name:________________ Date:_________ 47

43 Ranking Tabulation Form 48

44 LPA Selection Review Checklist 49

45 Selection Review Checklist – General Information General Information:  Number of Letters of Interest received __, if less than 3 attach documentation of recruitment efforts.  Number of teams that not meet prequalification requirements_____. Explain why teams did not meet qualifications. _______________________________ ___________________________________________  If pre-screening was used, was it consistent with the process advertised in the RFP? (Yes)(No)_________. 50

46 Selection Review Checklist – Score Sheets All scorers used the same score sheet as advertised in the RFP. All scorers have scored all firms that met prequalification requirements. All scorers used the values from the “Scale” column to populate the “Score” column. The Location rating for the same firm has the same value applied on every score sheet. Past Performance is applied consistently (Only applicable if Past Performance is required) N/A The calculations for weighted scores and weighted sub-totals are correct. The Signature and Date of Scorer is on each score sheet. 51

47 The signature of Scoring Team Leader and Date are on Tabulation Sheet. All qualified firms are listed on the form. The total scores at the bottom of each individual score sheet were correctly reflected on the Tabulation Form. Highest ranked lead firm is INDOT prequalified. (Applicable when INDOT Prequalification is required in RFP.) The highest ranked team (Lead & Sub firms) is prequalified to perform all work types listed in the RFP. Selection Review Checklist - Tabulation Sheet 52

48 Approval of Consultant Selection The LPA Selection Review Checklist should be signed by the ERC. The LPA Selection Review Checklist is submitted to the District Local Program Director along with the following: Advertised RFP DBE Goal set at ___ % DBE Goal met from EOD Past Performance Data as provided by INDOT Scoring Tabulation Sheet and Score Sheets Affirmative Action Certification Form for the top ranked firm 53

49 Approval of Consultant Selection The District reviews the consultant selection information. If there are no errors that need correction, the District signs the LPA Selection Review Checklist. The District s a copy of the approved LPA Selection Review Checklist to the LPA, stating in the the LPA may begin negotiations with their No. 1 ranked firm. 54

50 LPA-Consultant Scoping Meeting  Communicate project expectations  Answer questions  Set due date and requirements for proposal package 55

51 Contract Compensation Methods Lump Sum – Good method to use when the scope of work is well defined and when there is confidence in level of effort required. Not acceptable for construction inspection. 56

52 Contract Compensation Methods  Negotiated Labor Rate – Acceptable method to use when the scope is not well defined or when the consultant is not in control of the level of effort. Typically used for construction inspection. 57

53 Contract Compensation Methods  Cost Plus Fixed Fee – Acceptable method to use when the scope is well defined but there is a lower degree of confidence in the level of effort required. Consultants must have full CPA Audit or Cognizant Audit prequalification financial approval to use this method. 58

54 Contract Compensation Methods  Unit Price – Good method for use with repetitive well defined units of work. Typically used for geotechnical and right-of-way (ROW) services. INDOT approved unit price rates for ROW services are available on the INDOT website. 59

55 LPA – Consulting Contract  Always use current “Boilerplate” LPA- Consulting Contract posted on INDOT’s website at:  LPA and Consultant MUST use this contract to be eligible for consultant expenses 61

56 LPA – Consulting Contract  Project specific issues can be addressed within these contracts by amending the appropriate Appendices  Appendix A – Services to be Furnished by the Consultant  Appendix B – Information and Services to be Furnished by the LPA  Appendix C – Schedule  Appendix D – Compensation 62

57 Proposal Package  Scope of Work formatted for contract  Fee Proposal  Detailed person-hour breakdown by task  Overhead rate  Profit rate  Computation of total costs  Overhead Rate Documentation 63

58 Fee Proposal Review  Review task list and hours  Verify overhead rate  Review escalation - INDOT posts Employment Cost Index rate from Bureau of Labor & Statistics - _EscalationRates.pdf _EscalationRates.pdf  Review profit rate  See INDOT Profit Rate Matrix

59 Contract Review Checklist 65

60 Submit Draft Contract for INDOT Review  Signed LPA-Consultant Contract Review Checklist Contract Review Checklist  Unsigned Draft LPA-Consulting Contract (electronically)  Consultant Fee Proposal (manhours and fee justification)  Consultant Prequalification Letter All LPA – Consulting Contracts and supplemental contracts must be reviewed by INDOT prior to beginning any work. 66

61 Submit for FMIS Authorization  LPA may not issue a Notice to Proceed to their consultant prior to receiving the Notice to Proceed from INDOT. Expenses incurred prior to the Notice to Proceed will not be eligible for FHWA participation.  Invoices must be reviewed to verify consistency with the contract 67

62 Critical Elements & Fatal Flaws  Certified ERC  Advertised RFP  DBE Goal  Prequalified Consultant and/or Team  Proper Procedures followed including Scoring and Ranking  Use of Standard Boilerplate LPA-Consulting Contract  Contract Reviewed by INDOT  NO Work performed prior to INDOT’s Notice to Proceed 69

63 Plan Preparation Chapter 9 1

64 Roles and Responsibilities  The District Project Manager (PM) is the first contact.  The District will coordinate with Central Office as needed.  The LPA and their Consultant are responsible for uploading plans and documents to ERMS. *When documents and plans are uploaded into ERMS, it is critical that the District ERMS Coordinator is copied. See Guidance Document for specific communication standards and contact information.  The LPA and their Consultant are responsible for maintaining the schedule and timeliness in getting the project to letting. (ERMS – Electronic Reporting Management System) 71

65 SECTION V TERM AND SCHEDULE SECTION VTERM AND SCHEDULE. A.If the LPA has the plans, special provisions, and cost estimate (list of pay items, quantities, and unit prices) for the Project ready such that federal funds can be obligated (INDOT obligates the funds about 7 weeks before the date bids are opened for the construction contract) between July 1, and June 30,, INDOT will make the federal funds shown in section I.A. and/or I.B. of Attachment D available for the Project, provided the Project is eligible. B.In the event that federal funds for the Project are not obligated during the period listed in section V.A., the federal funds allocated to the Project will lapse. 72

66 Responsibility for Design and QC/QA The LPA and their consultant are responsible for the preparation of:  All Plan Sheets  Design Computations  Quantity Computations  Final Package/Tracings Documents  Engineer’s Estimate  All other Pertinent Project Documents necessary to certify the project is ready for construction. The LPA and their consultant are responsible for quality control and quality assurance with detailed documentation. 73

67 Plan Development Process  Plan development begins at the inception of the project  Performed concurrently with other activities  Stage 3 Plans are required for INDOT review  Stage 1 Plans are required if there are Level 1 Design Exceptions  LPA may request Stage 1 and Stage 2 reviews 74

68 Design Criteria Projects must be designed in accordance with the Indiana Design Manual (IDM), FHWA and AASHTO requirements. Level 1 Design Criteria  Critical to safety and serviceability  Design exception required if not all Level 1 criteria are met  Requires a Stage 1 Review Submission Level 2 Design Criteria  Important to safety and serviceability  Exceptions concurred with by LPA Level 3 Design Criteria  Any item not listed as Level 1 or Level 2 75

69 Plans Preparation Process STEP 1: FIELD SURVEY Required on almost all projects Gather data on existing topography Initial utility survey STEP 2: HYDRAULIC DESIGN APPROVAL Drainage system adequacy Water quality Waterway opening for bridges 77

70 Plans Preparation Process STEP 3: FIELD CHECKS  Preliminary field check is required on most projects  An opportunity for involved parties to review the plans STEP 4: GEOTECHNICAL INVESTIGATION  Evaluate subsurface conditions 78

71 Plans Preparation Process STEP 5: PAVEMENT DESIGN SUBMISSION  Designer is responsible for design  Compliance with IDM Chapter 52  Design stamped with Pavement Designer’s PE stamp  Checked by second PE  Reviewed by the ERC  Submitted by the Designer in ERMS, with copy to:  ERC  INDOT District Pavement Engineer  District Project Manager 79

72 Plans Preparation Process STEP 6: PROPRIETARY MATERIALS Single source materials Approval must be obtained for FHWA to participate in cost 81

73 Plans Preparation Process STEP 7: UNIQUE PAY ITEMS AND SPECIAL PROVISIONS Must be approved prior to Stage 3 Review Submission and reviewed by Estimates Manager and Specification Engineer Non-participating items 100% Local funds 82

74 Plans Preparation Process STEP 8: STAGE 3 SUBMISSION REVIEW Submitted at least 75 days prior to RFC date 30 day review period Reviewed for conformance with IDM and for Fatal Flaws Reviewer comments must be addressed 83

75 Plans Preparation Process STEP 9: FINAL TRACINGS SUBMISSION  After Stage 3 and 30 days prior to RFC date  District reviews for conformance STEP 10: CONTRACT REVISONS PRIOR TO LETTING  Approved by District Construction Engineer Up to 1 week prior to letting 84

76 The Design File All documents related to the project design must be maintained by the LPA for 5 years after project close out and final audit:  Design criteria  ADA – Americans with Disabilities Act  Maintenance of traffic  Design exceptions  Proprietary materials  Stage 1, 2 and 3 Plans  Geotechnical report  Permits See the Guidance Document for a complete list 85

77 Americans with Disabilities Act Keep in mind that a properly designed pedestrian facility, i.e., designed according to PROWAG or ADAAG, If constructed or installed improperly, may: Not achieve the intended goal of accessibility Violate the Americans with Disabilities Act of 1990, as amended (42 U.S.C. Sec et seq.) ADAAG - American Disabilities Act Accessibility Guidelines Handout Provided on Detectable Warning Surfaces PROWAG - Public Right of Way Accessibility Guidelines 87

78 Environmental Processing/Permitting Chapter 8 1

79 Introduction The LPA and their Consultant are responsible to ensure the environmental document and approval covers all of the applicable federal regulatory requirements and is consistent with the plans. The current “Indiana Categorical Exclusion Manual” and “Procedural Manual for Preparing Environmental Documents” will be used to document all impacts to the natural and human environment, with the following supplemental guidance specific to LPA projects. INDOT’s Environmental Services (ES) should be contacted to resolve any disagreement between manuals. Request clarification prior to submittal of the NEPA document. 89

80 Environmental Document Types Categorical Exclusions (CE) Programmatic CE Minor Projects, No Permits Needed, No R/W, Uses Section 106 MPPA CE-1 Minor Projects, <0.5 acre R/W, No Substantial Impacts, Water Impacts Not Likely to Need Mitigation. CE-2 <10 acres R/W, Minor Impacts to Historical Resources, Water Impacts Will Likely Need Mitigation. CE-3 >10 acres R/W, Substantial Changes to Existing Roads or Noise Levels CE-4 Federal Involvement – Section 106 of NHPA, Section 4(f) of DOT Act, Section 7 of ESA, Impacts to Ground Water 90

81 Typical Completion Times Level of CE Average Completion Time Programmatic CE CE Level 1 ~1 Day 6-8 Weeks CE Level Months CE Level Months CE Level Months EA/FONSI and EIS Months 92

82 Environmental Document Types Environmental Assessments (EA) EA’s are used to document that large projects would have impacts similar to a CE with no Significant Impacts. EA’s can have two outcomes  FONSI (Finding of No Significant Impact) – NEPA is satisfied/complete  No FONSI Issued – An EIS will need to be prepared. This scenario is very uncommon. Environmental Impact Statements (EIS) Projects which expect significant environmental impacts or public controversy Coordination With INDOT/FHWA Will Determine Which is Needed  Coordination should be conducted as early as possible, when a project substantially exceed the CE-4 Thresholds. 93

83 Process Steps  Notice to Proceed – Check for NEPA Prequalification  Red Flag Investigation  Preliminary Field Reconnaissance  Environmental Early Coordination – Two Types, Both May Be Needed  Standard Agency Coordination  Section 106 Coordination  Additional Studies  Submittal to INDOT  Draft CE (Categorical Exclusion) release for Public Involvement  Public Involvement  Approved CE 94

84 Environmental Steps Red Flag Investigation Should be conducted early in NEPA process. Reviews numerous resources – not only for Hazardous Materials Includes Site Assessments & Investigations INDOT Cultural Review looks at archaeological sites and above ground resources. Threatened and Endangered Species

85  Environmental Early Coordination  Project details and description of environmental resources are sent to resource agencies for feedback. This is known as early coordination.  Level of early coordination is project dependent. Include INDOT’s Office of Public Involvement  Identification of water resources is needed for NEPA document. Environmental Steps 95

86 Permits  LPA’s and their consultants are responsible for their own permits, as well as any technical studies.  Schedule Time for Permits and Mitigation  USACE 404 IP ~ 12 to 18 months (mitigation?)  USACE RGP/IDEM 401 IP ~ 4 to 7 months (mitigation?)  USACE NWP/IDEM 401 RGP ~ 3 to 4 months  IDNR CIF ~ 9 months  IDEM Rule 5 ~ 4 months All required permits must be in hand prior to Final Tracings Submission. 97

87  The level of public involvement varies with size/complexity of project.  After INDOT/FHWA have reviewed the document, it will be released for public involvement.  The environmental document will not be approved until completion of any required public involvement activities. Public Involvement 106

88 Once public involvement is completed, submit updated environmental document to the district for approval. Larger projects require additional signatories: CE-1INDOT District CE-2INDOT District CE-3INDOT District and Central Office CE-4INDOT District, Central Office and Federal Highway Environmental Document Approval 108

89 Common Causes Of Delay Unforeseen adverse effects  Know the impacts to water resources  Identify resources of concern on the plans and reduce impacts/prevent scope-creep near these resources Environmental document does not match the plans  Additional Information Addendum (AI) may be needed  AI documents can be time consuming Failure to plan for permitting timeframe  Mitigation required prior or with project to obtain permit  Off-site mitigation often requires it’s own CE 109

90 Environmental Consultation Form The Environmental Consultation Form is required to provide quality assurance and demonstrate compliance. Shows that:  Plans match the environmental document  Public Involvement has been completed  Permits have been obtained Form is submitted with Stage 3 Plans and Final Tracings. 110

91 Utility & Railroad Coordination Chapter 10 1

92 Presentation Overview Utility Coordination The primary objective is to prevent utility conflicts during construction, provide just compensation for property taken and maintain good relations with utilities. Railroad Coordination If you are using federal funds railroad Coordination activities are handled by INDOT District Railroad Coordinators.  Determine if there is Railroad Involvement (railroad signals in the project limits, project touches railroad property, project is within 50 feet of railroad tracks). If so INDOT will help with an estimate. 113

93 Avoiding Risk: Factors to consider: Can you avoid having utilities move? Relocations included in construction contract Right of Way Space - Did you get enough for utilities? Legal possession of all Right-of-Way 118

94 Additional Factors:  Advance clearing contract  Budget Project complexity Project type (i.e., urban, rural, design-build) Number of utility relocations If the utility says they will move after “X” happens don’t tell the contractor a fixed date. Managing Risk: 119

95 Utility References Utility Coordination on all projects must follow rules: *105 Indiana Administrative Code (IAC) 13 Formal procedure for process *Federal regulations for utilities: *Utility Accommodation Policy nPolicy.pdf as applicable *INDOT Manuals 114

96 Utility References More rules: Attorney General Opinion No. 26 Audit Requirements Basic accounting Brooks Act Public Law Code of Federal Regulations (CFR) 23 CFR 1.23(a) 23 CFR Part 630, as follows: subpart J 23 CFR CFR CFR (e) 23 U.S.C CFR U.S.C CFR Court of Appeal Rulings Hass vs. State of Indiana No. 64A CV-11 Louisville & Indiana Railroad v Gas Co. No. 03S CV Elements of Contract Law Environmental Law IDEM Rule 5 Ground Disturbance Tree Clearing and the Indiana Bat Archaeological Findings Hazardous Materials Waterway Permits Wetlands: Threatened and Endangered Species Farmland: Commitments Database Federal exemption for pipelines for natural gas and oil transmission lines Federal-aid Highway Program Stewardship and Oversight Agreement Federal Highway Administration (FHWA) Order Letter on Right of Entry Guidelines for Utility Encasement Policy for Highway Crossings Indiana Codes Indiana Administrative Code 105 IAC IAC IAC IAC IAC 15-5 Rule 5 Indiana Design Manual Chapter 104 (10) Chapter 102 (2) Chapter 303 (49) Indiana Manual on Uniform Traffic Control Devices for Streets and Highways INDOT General Instructions to Field Employees INDOT Guidance for a Relocation Drawing of Sufficient Detail INDOT Recurring Special Provisions 100-C-151A 100-C-151B 100-C-151E 100-C C R C R-550 INDOT Unique Special Provisions INDOT Standard Drawings Index INDOT Standard Specifications Section 100 Section Section 207 Section 211 Section INDOT Utility Cost Estimating Guide INDOT Work Zone Traffic Control Guidelines Legal Agreements Memorandums EDS Number A Remediation of Properties Contaminated National Electrical Code OSHA construction requirements Ten States Standard Utility Accommodation Policy 114

97 Utility Coordination Steps 1.Utility Research (To find names of utilities in area of project) This is done prior to survey! -Permit Files -Reviewing Past Project Plans -Field Check -Indiana 811 -Contacting Local Officials (5 to 10 days) For each utility, document the contact person, address, and phone number. 121

98 Utility Coordination Steps 2. Initial Notice Letter is sent to each utility to inform them of project and get type and locations of facilities from them. Prior to survey! (30 days) 3. Survey Survey is done using information gathered to make sure all utility facilities are picked up. Watch out for unknown underground and overhead utilities. 122

99 Utility Coordination Steps 4. Verification Letter along with plan sheets are sent to each utility so they can verify that their facilities are shown accurately and completely on the plans. (30 days) 5. Preliminary Plans Letter along with plans are sent for utility review. Gives utilities a chance to point out conflicts and possible solutions to avoidrelocations. (30 days minor/60 days major) 123

100 Utility Coordination Steps 6.Preliminary Final Plans Letter along with plans are sent to each utility so they can develop work plan/relocation plan (60 days minor/120 days major – 180 max.) Try to accomplish this step in 60 days max, often there isn’t 180 days to work through this step. 124

101 Utility Coordination Steps 7.Reimbursable Agreements Send agreements to the District for review prior to signing in order to verify what the LPA is offering to reimburse using federal money is eligible. - Replace in kind - Use agreement provided in Manual - Document the property interest 125

102 8. Work Plan Approval /Permit (Send the permit, and have them complete pre-construction activities) 9.When the required items in the work plan necessary to begin have been accomplished, issue the notice to proceed. ( constructability reviews determine the sequence) Get federal funds approved and a PO before you give utility Notice to Proceed (NTP). Utility Coordination Steps 126

103 Railroad Coordination 130

104 Is There Railroad Involvement? Railroad within project limits? Does project impact any railroad facilities or operations? YES or NO, contact District Railroad Coordinator to help determine the extent of railroad coordination needed. 131

105 Requirements  Good News – Districts generally handle it for federally funded projects  Bad News – It costs. It takes a long time and does not start until you have plans  You have to pay for railroad engineers and their workers Codes: IC FHWA 23 CFR IC – Indiana Code CFR - Code of Federal Regulations 134

106 Resource People – RR and Utility Central Office Crawfordsville Utility/RR Utility and Railroad Kenny Franklin George Moffat (until March 28 th 2014) (317) (765) Utility Fort Wayne Joe Gundersen Utility (317) Chuck Carson (260) Railroad Tom Imbimbo (260)

107 Resource People - RR & Utility GreenfieldSeymourUtility Lavon MarshallMatt Harding (317) (812) Michelle LoveallTom Dunbar (317) (812) LaPorteVincennesUtility and Railroad OpenShawn Will (812)

108 LAND ACQUISITION Chapter

109 Legal References Importance of Land Acquisition Process The Fifth Amendment of the U.S. Constitution The Constitution of the State of Indiana Article I, Sec. 21 Just Compensation 49 CFR (d) Uniform Act Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and amended it in 1987 Coordination with NEPA 23 CFR Part

110 Land Acquisition Process Steps  Assurance Letter 49 CFR 24.4  Land Acquisition (Right-of-Way) Management 23 CFR Part 710  Title Research (Abstracting) 23 CFR 710  Right-of-Way Engineering (Plats and Legal Descriptions) Indiana IAC Title 865 – INDOT R/W Engineering Manual  Scope of Work and Appraisal Problem Analysis (APA) Uniform Act Section CFR

111  Appraising (Opinion of Just Compensation)  ROW Appraisers must be on certified list  Buying /Negotiations & Relocation Agents  ROW Buyers & Relocation Agents must be on certified list  Relocation  Condemnation  Every property owner has the right to go through condemnation  Property Management  Right-of-Way Certification Land Acquisition Process Steps 140

112 Fatal Flaws  Assurance Letter not completed  Property owners not properly informed of acquisition procedures  Incorrect Right-of-Way Engineering  Incorrect Method of establishing just compensation (Appraising)  Conducting appraisals and making offers before Environmental Document certified 142

113 Fatal Flaws  Appraisal before environmental approval  Relocation must be approved at Central Office  Relocation Assistance not handled properly  Parcel Packets not completed  Lack of Certification Letter signed by LPA  False Information 143

114 Compliance – Documentable Proof  Assurance Letter 49 CFR 24.4  Public Hearing Certification 23 CFR  Environmental Approval 23 CFR  FMIS Authorization  Project and all Parcel Certification Checklists  Completed Parcel Packet for all parcels  Certification Letter signed by an ERC of the LPA 146

115 Fatal Flaws  Assurance Letter not completed  Property owners not properly informed of acquisition procedures  Incorrect Right-of-Way Engineering  Incorrect Method of establishing just compensation (Appraising)  Conducting appraisals and making offers before Environmental Document certified 142

116 Fatal Flaws  Appraisal before environmental approval  Relocation must be approved at Central Office  Relocation Assistance not handled properly  Parcel Packets not completed  Lack of Certification Letter signed by LPA  False Information 143

117 Compliance – Documentable Proof  Assurance Letter 49 CFR 24.4  Public Hearing Certification 23 CFR  Environmental Approval 23 CFR  FMIS Authorization  Project and all Parcel Certification Checklists  Completed Parcel Packet for all parcels  Certification Letter signed by an ERC of the LPA and the Consultant, if a consultant is involved 146

118 Preparation for Letting Chapter 12 1

119 Primary Steps in Preparing For Letting  Review of Contract Documents  Engineer’s Estimate Determination  Plans, Specifications, and Estimate (PS&E) Approval  Equal Employment Opportunity (EEO) Goal Setting  Contract Information Book Preparation (CIB)  Construction Inspection / Consultant Selection 154

120 Letting Chapter 13 1

121 Ready for Letting  Advertisement  Contract Questions and Answers  Revisions  Letting  Bid Evaluation and EEO Compliance  Award  LPA Match  Contractor Financial Liability Coordination  Notice to Proceed  Purchase Order 171

122 Contract Letting Information 172

123 Advertisement  Once a Contract has been approved in FMIS it is eligible for advertisement.  INDOT does the advertisement and bidding.  Bids are only accepted electronically.  All Bidders must be pre-qualified.  Bids must contain required information.  Bids will be publically read. 173

124 Contract Questions and Answers  The LPA and/or consultant shall not directly or indirectly answer pre-letting questions from Contractors  All questions start out going to a website  Questions that are contract specific are forwarded from District Construction to the LPA designer via  Designer contacts must be kept current  Questions need to be answered in a timely manner 174

125 Contract Revisions  Contract revisions are sometimes necessary  Requests for revisions can come from many sources  LPA  Contractor  INDOT  LPA Designer  Material Supplier  The Designer shall keep the ERC in the loop on these revisions  District Construction must endorse/submit the revision 175

126 After the Bids are Read INDOT will not let the contract if a LPA is more than 60 days past due on paying an INDOT bill  Evaluation of Bids Received and EEO Compliance  Post Letting Review of DBE Good Faith Efforts  Determine if Contract Awardable  The low bid is less than $1 million, or;  There are four or more bidders or;  The bids are within 15% of Engineers Estimate  Concurrence from District LPA Coordinators, the Programs Funds Manager and ERC  District contacts LPA-ERC to obtain their decision - approve and award or reject all bids 176

127 LPA Funds for Construction (Match)  Notice to Proceed is issued to the Contractor by the Contract Administration Division, but will not be issued until INDOT receives match funds.(  If the LPA cannot provide match, the contract is canceled.  Funds need to be submitted in a timely manner. 178

128 Compliance – Documentable Proof  Advertisement  Issued Revisions  Bid Analysis  Concurrence of Awards  Official Awards  Notice to Proceed (NTP) to LPA & Consultant  NTP Letter to Contractor 180

129 Construction Inspection/ Construction Engineering Chapter 14 1

130 Construction Inspection/Construction Engineering  Construction Inspection is required on ALL Federal aid projects.  The RFP for a consultant for Construction Inspection must be advertised on INDOT’s website 6 months prior to the Ready for Contracts (RFC) date. Prior to the RFC date:  Letters of Interest must be scored and ranked  Consultant selection must be approved by INDOT  The draft LPA-Consulting Contract, manhours, fee justification and Engineer Assignment letter must be submitted to the INDOT District for review.  The Executed LPA-Consulting Contract must be received by the INDOT District.  Utilize Boilerplate Consultant Contract located at: 160

131 Construction Inspection/Construction Engineering  The LPA must submit a copy of the signed LPA-Consulting Contract to the District Local Program Director prior to the RFC date.  This is done to avoid any delays or time extensions once the project is awarded to a contractor  CE / Inspection work is billed based on an hourly rate; the contract can be signed based on the project estimate  The federal-aid “not to exceed amount” for Construction Inspection is set by INDOT based on the final construction amount. 161

132 Construction Inspection/Construction Engineering  When the bid award is deemed official, non-participating items (if any) are deducted from the contract, and the Local’s match has been calculated, INDOT Finance will adjust the Purchase Order accordingly.  The District Local Program Director will then issue Notice to Proceed (NTP) to the LPA. The LPA can then issue NTP to their consultant for construction inspection.  Any Construction Inspection costs incurred prior to the date of the NTP, are not eligible for federal reimbursement. 163

133 Consultant – Construction Inspection  Consultants must be prequalified. The LPA will submit an Engineer Assignment letter with the draft LPA-Consulting contract. The Engineer will be reviewed and approved by the Construction section at the District. The Construction Inspector acts as the LPA’s representative and administers the project on a day-to-day basis. The Consultant will also provide an adequate number of qualified Construction Inspectors. If a consultant is used for Construction Inspection/Engineering the LPA ERC will review, approve and submit all consultant invoices. 164

134 Project Engineer/Supervisor (PE/S) Each project must be assigned a Project Engineer/Supervisor (PE/S). The PE/S must be trained and certified through INDOT Certified Construction Technician Training and the INDOT Quality Assurance Training Programs. The PE/S should also have demonstrable experience. This means they must be able to use SiteManager effectively. The PE/S will be approved by the District Construction Area Engineer after the LPA-Consulting Contract for CE is signed and a copy submitted to the District Local Program Director, and before the RFC date. 166

135 Project Engineer/Supervisor (PE/S) The PE/S will oversee and provide:  Inspection  Testing (performed by Qualified Technician)  Documentation of all construction activities  Daily reports  Testing reports  Progress Estimates  Change Orders  Ensure the project is constructed in accordance with the contract documents and INDOT specifications  Final Construction Record (within 45 days of Acceptance) 167

136 PE/S and Change Orders  The PE/S will document all communications that involve change orders, time extensions, or claims.  The PE/S must maintain communication with and obtain approvals of both the LPA ERC and the INDOT Area Engineer and the relevant MPO if the project is located with a Metropolitan Planning Area (MPA) for all change orders.  The PE/S will be provided the amount of federal funds available for construction from INDOT. The PE/S must use this to maintain a running total of all contract costs showing how much is left of the federal allocation - spreadsheet to track. Current Change Order policy effective: January Cap on Federal funds available at: 168

137 Construction Chapter 14 1

138 “Notice to Proceed” - Now What?  The Contract Administration Office will send the Notice to Proceed to:  INDOT District Construction  LPA  Contractor  INDOT Project Manager  INDOT is charged with overall responsibility of the construction phase 185

139 The Pre-Construction Conference  INDDOT’s Contractor will coordinate with the District Area Engineer to schedule the conference.  District Construction will provide a checklist of items to be covered at the conference. In order to be eligible for reimbursement, the Pre-Construction Conference should not be held until INDOT has issued Notice to Proceed to the LPA for Construction Inspection. 186

140 Shop Drawings & Falsework - Review  Review of all project shop drawings will be the responsibility of the LPA & their Designer  Follow IDM (07) 187

141 Final Construction Record – PE/S Responsibilities  Maintain all documentation throughout the life of the project and 5 years after final audit.  Form IC-639 (Report of Final Inspection & Recommendation for Acceptance) will be sent to the LPA and shall be signed and returned by the LPA within 10 business days to District Construction.  Complete the final construction record within 45 days of acceptance of the project.  Ensure all monies due the contractor are paid with the exception of disputed quantities.  Follow-up all unresolved issues until completed. 188

142 Final Construction Record  Failure to complete Final Construction Record tasks could impact the LPA  All contracts will be audited by the Audit, Agency Results and Revenue Forecasting Division.  Final Audit balances all claims, invoices, billings, etc., between INDOT and the LPA 189


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