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LPA Basic Project Development Training Britni Saunders LPA Training, Policy & Guidance, INDOT March 27, 2014. Getting Started- Federal Aid.

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LPA Basic Project Development Training

Britni Saunders

LPA Training, Policy & Guidance, INDOT

March 27, 2014

getting started federal aid
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 aid1
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 aid2
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 aid3
Getting Started- Federal Aid
  • Watch video:

“Stewardship & Oversight”

    • http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=overview
getting started federal aid4
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 aid5
Getting Started- Federal Aid
  • Stewardship/OversightAgreement – 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
  • 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
oversight1
Oversight
  • State DOTs are accountable to FHWA to ensure all project elements comply with federal law & regulations.
funding
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 aid6
Getting Started- Federal Aid
  • Watch video:

“Funding: Funding Basics & Eligibility”

    • http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=44
funding1
Funding
  • Two important characteristics of Federal–aid are that it is both:
    • Reimbursable Program
    • Matching Program
funding2
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.
funding3
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.
funding4
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.

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Getting Started: Guidance Document

Travis Kohl

Local Project Manager, Crawfordsville, INDOT

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
getting started guidance document1
Getting Started- Guidance Document
  • 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 
getting started guidance document2
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
slide20
Getting Started: Other Tools & Resources

Joe Sheedy

Local Project Manager, Greenfield, INDOT

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: http://www.fhwa.dot.gov/
other tools resources1
Other Tools & Resources
  • How do I use it?
other tools resources2
Other Tools & Resources
  • Federal Aid Essentials Library
      • Visit it at: http://www.fhwa.dot.gov/federal-aidessentials/
other tools resources3
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 resources4
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
slide26
Roles & Responsibilities

Jennifer Beck

Local Project Manager, Indianapolis, INDOT

federal highway administration fhwa
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
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
INDOT Roles

*Please reference the attached contact sheet to see who fills these rolls for your district.

  • Project Manager
  • Program Director
  • Real Estate Manager
  • Utilities Manager
  • Railroad Manager
  • Environmental Manager
metropolitan planning organization mpo
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.
slide32
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
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
slide34
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
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.
slide36
Project Development Process (PDP)

Mike Wink

Local Project Engineer, Crawfordsville, INDOT

project development process
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-aidessentials/catmod.cfm?id=3
the pdp the indot way
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 way1
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 way2
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 way3
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 way4
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 way5
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 way6
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 way7
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
slide46
Being an ERC: Your First Steps

AJ Wortkoetter

Local Project Engineer, Greenfield, INDOT

your first steps
Your First Steps
  • ITAP
    • What is it?
your first steps1
Your First Steps
  • Call for Projects Process
    • What is it?
slide49
Being an ERC: Your First Steps: Consultant Selection

Susie Kemp

District Local Program Director, Crawfordsville, INDOT

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
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
slide52
Top 10 Keys to Success

Marcy Jeffers

Local Project Manager, Crawfordsville/Greenfield, INDOT

top 10 keys to success
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 success1
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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