LPA Basic Project Development Training

Britni SaundersLPA Training, Policy & Guidance, INDOT

March 27, 2014

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.

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.

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” http://www.fhwa.dot.gov/federal-aidesse

ntials/catmod.cfm?category=overview

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.

Getting Started- Federal Aid Watch video:

“Funding: Funding Basics & Eligibility”

http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=44

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.

Getting Started: Guidance Document

Travis KohlLocal Project Manager, Crawfordsville, INDOT

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 LPAQuestions@indot.in.gov

Getting Started- Guidance Document

Where is it? Last version posted on INDOT’s website in

August 2013 Document posted on website at:

http://www.in.gov/indot/files/LPA_GuidanceDocument_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

Getting Started: Other Tools & Resources

Joe SheedyLocal Project Manager, Greenfield, INDOT

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: http://www.fhwa.dot.gov/

Other Tools & Resources How do I use it?

Other Tools & Resources Federal Aid Essentials Library

Visit it at: http://www.fhwa.dot.gov/federal-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 GovDelivery

What is it? The world's leading free email 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 e-mail and wireless alerts. 

New communication system for INDOT LPA Benefits Consistency with majority of state

government communication systems

Roles & Responsibilities

Jennifer BeckLocal Project Manager, Indianapolis, INDOT

Stakeholders

LPA

Consultant

FHWAINDOT

MPO

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.

Project Development Process (PDP)

Mike WinkLocal Project Engineer, Crawfordsville, INDOT

Project Development Process What does it look like step by

step? Watch video: “Project Delivery: A Process from

Cradle to Grave” http://www.fhwa.dot.gov/federal-aidesse

ntials/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 WayStep 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 WayStep 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

Being an ERC: Your First Steps

AJ WortkoetterLocal Project Engineer, Greenfield, INDOT

Your First Steps ITAP

What is it?

Your First Steps Call for Projects Process

What is it?

Being an ERC: Your First Steps: Consultant Selection

Susie KempDistrict Local Program Director, Crawfordsville,

INDOT

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

Top 10 Keys to Success

Marcy JeffersLocal Project Manager, Crawfordsville/Greenfield,

INDOT

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