lpa basic project development training summer 2014

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LPA Basic Project Development Training Summer 2014

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Page 1: LPA Basic Project Development Training Summer 2014

LPA Basic Project Development Training

Summer 2014

Page 2: LPA Basic Project Development Training Summer 2014

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

Page 3: LPA Basic Project Development Training Summer 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.

Page 4: LPA Basic Project Development Training Summer 2014

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

Page 5: LPA Basic Project Development Training Summer 2014

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

Page 6: LPA Basic Project Development Training Summer 2014

Watch video: “Stewardship & Oversight”

http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=overview

Getting Started: Federal-Aid

Page 7: LPA Basic Project Development Training Summer 2014

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

Page 8: LPA Basic Project Development Training Summer 2014

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.

Page 9: LPA Basic Project Development Training Summer 2014

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

Page 10: LPA Basic Project Development Training Summer 2014

Oversight State DOTs are accountable to FHWA

to ensure all project elements comply with federal law & regulations.

Page 11: LPA Basic Project Development Training Summer 2014

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.

Page 12: LPA Basic Project Development Training Summer 2014

Watch video: “Funding: Funding Basics &

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

ntials/catmod.cfm?id=44

Getting Started: Federal-Aid

Page 13: LPA Basic Project Development Training Summer 2014

Funding Two important characteristics of

Federal–aid are that it is both: Reimbursable Program Matching Program

Page 14: LPA Basic Project Development Training Summer 2014

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.

Page 15: LPA Basic Project Development Training Summer 2014

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.

Page 16: LPA Basic Project Development Training Summer 2014

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.

Page 17: LPA Basic Project Development Training Summer 2014

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

Page 18: LPA Basic Project Development Training Summer 2014

Getting Started: Guidance Document

Page 19: LPA Basic Project Development Training Summer 2014

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

Page 20: LPA Basic Project Development Training Summer 2014

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

Page 21: LPA Basic Project Development Training Summer 2014

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

Page 22: LPA Basic Project Development Training Summer 2014

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

Page 23: LPA Basic Project Development Training Summer 2014

KEY TAKEAWAYS:1. Your MAIN resource for GUIDANCE and

ANSWERS.2. Link found on INDOT’s LPA page3. Look for an updated version Fall 2014

Getting Started- Guidance Document

Page 24: LPA Basic Project Development Training Summer 2014

Getting Started: Other Tools & Resources

Page 25: LPA Basic Project Development Training Summer 2014

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/

Page 26: LPA Basic Project Development Training Summer 2014

Other Tools & Resources How do I use it?

Page 27: LPA Basic Project Development Training Summer 2014

Other Tools & Resources Federal Aid Essentials Library

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

Page 28: LPA Basic Project Development Training Summer 2014

Other Tools & Resources Federal Aid Essentials Library

Federal Aid Overview Finance Environment Right of Way Civil Rights Project development Project Construction and Contract

Administration

Page 29: LPA Basic Project Development Training Summer 2014

Other Tools & Resources INDOT website

What is it? Where is it?

Visit it at: http://www.in.gov/indot/index.htm

Page 30: LPA Basic Project Development Training Summer 2014

Other Tools & Resources INDOT website

LPA & Grants Administration

Page 31: LPA Basic Project Development Training Summer 2014

Other Tools & Resources Look at LPA & Grant Administration

site

Page 32: LPA Basic Project Development Training Summer 2014

Other Tools & Resources Look at LPA & Grant Administration

site In the process of reformatting Multiple tools and resources

Page 33: LPA Basic Project Development Training Summer 2014

Other Tools & Resources Look at LPA & Grant Administration

site Boilerplate contracts and forms are available for the LPA to

use

Page 34: LPA Basic Project Development Training Summer 2014

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

Page 35: LPA Basic Project Development Training Summer 2014

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

Page 36: LPA Basic Project Development Training Summer 2014

Other Tools & Resources People & Contact Info

See handout for most updated version of INDOT district contacts and INDOT Central Office personnel.

Page 37: LPA Basic Project Development Training Summer 2014

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

Page 38: LPA Basic Project Development Training Summer 2014

Roles & Responsibilities

Page 39: LPA Basic Project Development Training Summer 2014

Stakeholders

LPA

Consultant

FHWAINDOT

MPO

Page 40: LPA Basic Project Development Training Summer 2014

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.

Page 41: LPA Basic Project Development Training Summer 2014

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)

Page 42: LPA Basic Project Development Training Summer 2014

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.

Page 43: LPA Basic Project Development Training Summer 2014

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.

Page 44: LPA Basic Project Development Training Summer 2014

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)

Page 45: LPA Basic Project Development Training Summer 2014

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

Page 46: LPA Basic Project Development Training Summer 2014

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

Page 47: LPA Basic Project Development Training Summer 2014

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.

Page 48: LPA Basic Project Development Training Summer 2014

Roles & Responsibilities KEY TAKEAWAYS:

1. Several key stakeholders! 2. FHWA: build a great project and follow the

rules3. INDOT: appointed stewards who help by

providing helpful oversight4. 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?

Page 49: LPA Basic Project Development Training Summer 2014

Project Development Process (PDP)

Page 50: LPA Basic Project Development Training Summer 2014

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

Page 51: LPA Basic Project Development Training Summer 2014

The PDP- The INDOT Way

Step 1: Define your project Location Scope of work Total cost (Design + ROW +

Utility/Railroad + Construction + Construction Inspection)

Page 52: LPA Basic Project Development Training Summer 2014

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

Page 53: LPA Basic Project Development Training Summer 2014

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

Page 54: LPA Basic Project Development Training Summer 2014

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

Page 55: LPA Basic Project Development Training Summer 2014

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

Page 56: LPA Basic Project Development Training Summer 2014

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

Page 57: LPA Basic Project Development Training Summer 2014

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

Page 58: LPA Basic Project Development Training Summer 2014

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

Page 59: LPA Basic Project Development Training Summer 2014

KEY TAKEAWAYS:1. Several start/stop points in a project’s

development2. Know your design submittal milestones3. 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

Page 60: LPA Basic Project Development Training Summer 2014

Being an ERC: Your First Steps

Page 61: LPA Basic Project Development Training Summer 2014

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?

Page 62: LPA Basic Project Development Training Summer 2014

Your First Steps ITAP

What is it?

Page 63: LPA Basic Project Development Training Summer 2014

Your First Steps

Page 64: LPA Basic Project Development Training Summer 2014

Your First Steps

Page 65: LPA Basic Project Development Training Summer 2014

Your First Steps

Page 66: LPA Basic Project Development Training Summer 2014

Your First Steps

Page 67: LPA Basic Project Development Training Summer 2014

Your First Steps Call for Projects Process

What is it?

Page 68: LPA Basic Project Development Training Summer 2014

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?

Page 69: LPA Basic Project Development Training Summer 2014

KEY TAKEAWAYS:1. ITAP: the program you will use to

communicate with INDOT2. 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

Page 70: LPA Basic Project Development Training Summer 2014

Being an ERC: Your First Steps: Consultant Selection

Page 71: LPA Basic Project Development Training Summer 2014

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)

Page 72: LPA Basic Project Development Training Summer 2014

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

Page 73: LPA Basic Project Development Training Summer 2014

How to Get Started

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

Page 74: LPA Basic Project Development Training Summer 2014

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!

Page 75: LPA Basic Project Development Training Summer 2014

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

Page 76: LPA Basic Project Development Training Summer 2014

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

Page 77: LPA Basic Project Development Training Summer 2014

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

Page 78: LPA Basic Project Development Training Summer 2014

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

Page 79: LPA Basic Project Development Training Summer 2014

KEY TAKEAWAYS:1. Understanding what’s in your contract

is a basic way to represent your agency well

2. Meeting your schedule is IMPORTANT3. Wait for the NOTICE TO PROCEED4. Contact your Program Director if you

have any contract questions

INDOT-LPA Contract

Page 80: LPA Basic Project Development Training Summer 2014

Top 10 Keys to Success

Page 81: LPA Basic Project Development Training Summer 2014

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

Page 82: LPA Basic Project Development Training Summer 2014

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

Page 83: LPA Basic Project Development Training Summer 2014

Wrap Up Sign out, check email address Certificate will be sent through

email Class Evaluation sheets Contact us at

[email protected] for feedback, questions, concerns

Bridge Training will follow after lunch

Upcoming webinarsThank you!