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 [email protected]
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
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