LPA Basic Project Development Training Summer 2014

Getting Started: What is the local federal-aid program?

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.

LPAs own and operate about 75 percent, or roughly 2.7 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. 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. Getting Started: Federal-Aid

Watch video: “Stewardship & Oversight” aidessentials/catmod.cfm?category=overview aidessentials/catmod.cfm?category=overview Getting Started: Federal-Aid

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

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.

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

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

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.

Watch video: “Funding: Funding Basics & Eligibility” aidessentials/catmod.cfm?id=44 aidessentials/catmod.cfm?id=44 Getting Started: Federal-Aid

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

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.

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.

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.

KEY TAKEAWAYS: 1. Stewardship/Oversight- INDOT has a responsibility via contract to be a good steward with FHWA’s money and oversee how the money is spent. 2. Funding- The program you are participating in is both a reimbursement and matching program. (EXAMPLE) 3. Non-compliance puts the LPA at risk of being required to refund a portion or all of the federal funds expended on a project. Getting Started: Federal-Aid

Getting Started: Guidance Document

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

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 Getting Started- Guidance Document

Where is it? Last version posted on INDOT’s website in August 2013 Document posted on website at: t_2013.pdf t_2013.pdf 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 Getting Started- Guidance Document

How do I use it? We will stop and show you real examples throughout the presentation on how to reference it. Use: Control + F How is it currently formatted? Critical Elements Fatal Flaws Documentable Proof Getting Started- Guidance Document

KEY TAKEAWAYS: 1. Your MAIN resource for GUIDANCE and ANSWERS. 2. Link found on INDOT’s LPA page 3. Look for an updated version Fall 2014 Getting Started- Guidance Document

Getting Started: Other Tools & Resources

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:

Other Tools & Resources How do I use it?

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

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

Other Tools & Resources INDOT website What is it? Where is it? Visit it at:

Other Tools & Resources INDOT website LPA & Grants Administration

Other Tools & Resources Look at LPA & Grant Administration site

Other Tools & Resources Look at LPA & Grant Administration site In the process of reformatting Multiple tools and resources

Other Tools & Resources Look at LPA & Grant Administration site Boilerplate contracts and forms are available for the LPA to use

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

Other Tools & Resources GovDelivery Where is it? How to sign up: our easy 10-step guide! How do I use it? State vs. district updates Example of how it will be used

Other Tools & Resources People & Contact Info See handout for most updated version of INDOT district contacts and INDOT Central Office personnel.

KEY TAKEAWAYS: 1. FHWA’s website- GREAT video library for general understanding of processes/procedures 2. INDOT’s LPA website- Access to many of the state provided resources you need! 3. GovDelivery- SIGN UP ASAP! Your main source of departmental updates/communication Other Tools & Resources

Roles & Responsibilities

Stakeholders LPA ConsultantFHWAINDOTMPO

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.

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 Roles Project Manager Program Director Real Estate Manager Utilities Manager Railroad Manager Environmental Manager *Please reference the attached contact sheet to see who fills these rolls for your district.

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 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)

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

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

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.

Roles & Responsibilities KEY TAKEAWAYS: 1. Several key stakeholders! 2. FHWA: build a great project and follow the rules 3. INDOT: appointed stewards who help by providing helpful oversight 4. LPA/ERC: it’s your money too! Successful projects have an informed and engaged ERC. 5. Consultant: hired by the LPA. If you hired someone to do work on your house, would you make sure the money was spent the right way?

Project Development Process (PDP)

Project Development Process What does it look like step by step? Watch video: “Project Delivery: A Process from Cradle to Grave” aidessentials/catmod.cfm?id=3 aidessentials/catmod.cfm?id=3

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

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

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

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 Always required

The PDP – The INDOT Way Step 6A: NEPA Document 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

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

The PDP- The INDOT Way Step 7: Final Tracings 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

The PDP – The INDOT Way Step 9: Construction 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

KEY TAKEAWAYS: 1. Several start/stop points in a project’s development 2. Know your design submittal milestones 3. Some parts of the project development process happen at the same time and some cannot begin until the preceding action has been completed. 4. Reach out to your PM or Program Director for help with anything you don’t understand! The PDP- The INDOT Way

Being an ERC: Your First Steps

Your First Steps ITAP How do I get started? When will I use it? Quarterly Reports Call For projects Who do I go to for help?

Your First Steps ITAP What is it?

Your First Steps

Call for Projects Process What is it?

Your First Steps Early Coordination Meeting What is it? When does it happen? Where is that at on the project delivery map? What can I expect? What do I prepare?

KEY TAKEAWAYS: 1. ITAP: the program you will use to communicate with INDOT 2. Call for Projects process: applying for funds! Also requires you to use ITAP. 3. Early Coordination Meeting: your first milestone meeting after receiving your award. Subject matter experts invited from INDOT that you will leverage throughout the project development process. Your First Steps

Being an ERC: Your First Steps: Consultant Selection

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)

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

How to Get Started

Consultant Selection KEY TAKEAWAYS: 1. If just one penny of federal-aid is used, you have to follow the rules! 2. Using the INDOT LPA site as a tool to find the resources you need 3. Don’t be scared! Contact your program director or PM if you need help. 4. You have the right to negotiate!

Being an ERC: Your First Steps: INDOT-LPA Contract

INDOT-LPA Contract What does this contract really say? Term & Schedule Documentation Requirements Understand FHWA Guidelines Attachments A – Project Description B – LPA’s Rights & Responsibilities C – INDOT’s Rights & Responsibilities D - Funding

INDOT-LPA Contract When does this happen and why? As soon as a project is awarded federal funds Prior to any work being done on the project To ensure all requirements to receive federal funds are understood by all parties When can I start my project? As soon as you receive a Notice to Proceed from INDOT

INDOT-LPA Contract Contract Execution Timeline LPA – 60 days INDOT – 60 days When is a Supplement required? Funding changes (increase or decrease) Scoping changes When in doubt, contact your Program Director

KEY TAKEAWAYS: 1. Understanding what’s in your contract is a basic way to represent your agency well 2. Meeting your schedule is IMPORTANT 3. Wait for the NOTICE TO PROCEED 4. Contact your Program Director if you have any contract questions INDOT-LPA Contract

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

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

Wrap Up Sign out, check address Certificate will be sent through Class Evaluation sheets Contact us at for feedback, questions, concerns Bridge Training will follow after lunch Upcoming webinars Thank you!