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Local Public Agency (LPA) Basic Certification Training 11-07-2013. 1. A Living Document Provides links to References and Resource People Defines the Process for: Project Development Letting Construction. LPA Guidance Document. 2. LPA Guidance Document. Critical Elements Fatal Flaws

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Presentation Transcript
lpa guidance document
A Living Document

Provides links to References and Resource People

Defines the Process for:

Project Development

Letting

Construction

LPA Guidance Document

2

lpa guidance document1
LPA Guidance Document
  • Critical Elements
  • Fatal Flaws
  • Documentable Proof

3

resources
Resources

INDOT Central Office:

Kathy Eaton-McKalip, Director LPA Certification Training

LPA & Grants Administration VACANT

Indiana Department of Transportation LPA Policy Coordinator

100 North Senate Avenue, Room N955 (317) 234-7930

Indianapolis, Indiana 46204

317-234-5142

kaeaton-mckalip@indot.in.gov

4

district local program directors
District Local Program Directors

Fort Wayne District Office

David Armstrong

Phone:  (260) 969-8277

Email: darmstrong@indot.in.gov

LaPorte District Office

Marcia Blansett

Phone:   (219) 325-7564

Email:mblansett@indot.in.gov

Vincennes District Office

Jaclyn Schmitt

Phone:   (812) 895-7393

Email: jschmitt@indot.in.gov

Crawfordsville District

Susan Kemp

Phone: (765) 361-5228

Email: skemp@indot.in.gov

Greenfield District Office

Kim Bowdell

Phone:   (317) 467-3440

Email: kbowdell@indot.in.gov

Seymour District Office

Debra Ault

Phone: (812) 524-3969

Email: dault@indot.in.gov

5

resources1
Resources

Any questions regarding the training, the LPA Guidance Document or conflict with other guidance materials and manuals, contact:

bfox@indot.in.gov

(until another LPA Policy Coordinator is assigned to the ERC Training)

6

federal highway administration fhwa
Federal Highway Administration (FHWA)
  • FHWA – Responsible for ensuring adequate and proper delivery of federal-aid projects.

9

indiana department of transportation indot
Indiana Department of Transportation (INDOT)
  • INDOT:

a. Provides technical assistance to the LPA

b. Accountable to FHWA to ensure all project elements comply with federal law and regulations

c. Ensures that local projects utilizing federal funds made available by INDOT are appropriately utilized in a timely manner and are in compliance with all federal and state regulations

10

local public agency lpa
Local Public Agency (LPA)
  • LPA:

a. Must have a certified Employee in Responsible Charge (ERC) before applying for federal-aid funds for a project.

  • The ERC role cannot be filled by a consultant or a contract employee hired by the LPA.
  • The ERC must be an employee of the LPA.
      • Because many smaller LPAs do not maintain full time staff, the ERC is not required to be a full time employee.”

11

erc cont
Responsibilities of the ERC:

Managerially responsible for project

Listed in Section 1-3.02 of the LPA Guidance Document

ERC (cont.)

12

erc cont1
ERC (cont.)

A few of the responsibilities of the ERC:

  • Submits electronic project application
  • Ensures the INDOT-LPA Project Coordination Contract is executed and returned to INDOT
  • Submits the Requests for Proposals to INDOT for a consultant
  • LPA’s ERC is responsible for attending Quarterly Tracking meetings and submitting required electronically Quarterly Reports detailing up-to-date cost estimates and schedules through project construction.

13

consultant project manager
Consultant Project Managers must attend LPA Project Development Training and become certified prior to working on an active project.

Must earn 6 LPA Program related credits (PDHs/CEUs) each year thereafter to maintain certification.

The consulting firm must be on INDOT’s pre-qualified consultant list.

Consultant Project Manager

14

mpo coordination
MPO Coordination

http://indianampo.com/PDF/MPOs.pdf

19

understanding mpos
Understanding MPOs

Metropolitan Planning Organization (MPO)Maps showing the urban area boundary for each MPO:http://dotmaps.indot.in.gov/apps/PlanningDataViewer/FC_Maps/FC_listing.asp

20

mpo coordination1
MPO Coordination
  • LPAs outside of the Urbanized Area (UZA), but inside the Metropolitan Planning Area Boundary (MPA), should submit their projects to the MPO for concurrence.
  • All Indiana MPOs conduct Quarterly Tracking meetings. The flow of information should be bi-directional.

MPO_INDOT Cooperative Operations Manual

www.in.gov/indot/files/LPA_MPOManual.pdf

Indiana MPO Council Website

www.indianampo.com

21

mpo coordination2
Most LPA Surface Transportation (STP) funded projects located within an Urbanized Area are funded by the Metropolitan Planning Organization (MPO) using selection criteria established by the MPO’s Policy Committee.

LPAs must notify the MPO of any change in project scope, project phase costs, project/phase timelines, funding sources, etc. so the MPO can appropriately modify or amend its TIP.

LPAs must familiarize themselves with the MPO’s established Change Order Policy and comply with that policy.

MPO Coordination

22

slide23

PROJECT PROGRAMMING

CHAPTER FIVE

23

early coordination meeting
Early Coordination meeting

Project Development Process

Consultant Selection Process

LPA-Consulting Contract

INDOT-LPA Contract

Funding phases

Environmental Process

Right-of-Way Acquisition Process

Schedule and Budget

Responsibilities of the Local Public Agency

Early Coordination Meeting

24

indot lpa contract
The District Local Program Director will contact the LPA & Grant Administration Office for the INDOT-LPA Contract after the Early Coordination meeting.

1 contract covering all phases

TIP (if applicable) and STIP

FMIS approval

INDOT-LPA Contract

25

indot lpa contract contract terms
INDOT-LPA Contract Terms:

Funding Window

LPA’s responsibilities

INDOT’s responsibilities

Maximum amount of federal funds, including credits, for the project.

INDOT-LPA Contract – Contract Terms

26

indot lpa contract cont
INDOT-LPA Contract (cont.)

Supplemental INDOT-LPA Contracts:

  • Changes in the scope
  • Changes in the federal funding
  • Changes in funding sources
  • Additional award
  • Move to a different letting

27

indot lpa contract cont1
INDOT-LPA Contract (cont.)

Supplemental LPA-Consulting Contracts:

When the LPA and Consultant execute a supplemental contract between them, is it okay to continue working on the project?

28

indot lpa contract cont2
INDOT-LPA Contract (cont.)

Executed INDOT-LPA Contract returned to District Local Program Director

  • Executed contract must be returned within 6 months of receipt of contract

29

indot lpa contract1
Signature process of the INDOT-LPA Contract:

Required signatures

1. INDOT – Contract Administration Division and Chief of Staff

2. Indiana Department of Administration

3. State Budget Agency

4. Attorney General’s Office.

INDOT-LPA Contract

30

request for federal funds
Fiscal Management Information System (FMIS)

FMIS: federal authorization for the use of Federal-aid funds on a specific project phase

Every project phase must have FMIS Authorization before any work begins.

The ERC must request FMIS authorization for the Right-of-Way phase in writing after the environmental document has been approved.

Request for Federal Funds

31

fmis authorization
Important revision to the LPA Guidance Document:

Before funds can be requested through FMIS:

The project phase must be in the TIP (if applicable) and the STIP.

FMIS Authorization

32

fmis authorization cont
FMIS Authorization (cont.)
  • INDOT must have a copy of the executed LPA-Consulting Contract.
  • The INDOT–LPA Contract must be approved by the Attorney General’s office.
  • A Purchase Order will be opened.
  • Notice to Proceed to the LPA is given by the District Local Program Director

33

notice to proceed
Notice to Proceed

What is the most important thing to remember before beginning work on a project phase?

34

fmis authorization cont1
FMIS Authorization (cont.)

ANSWER:

If you want reimbursed for any work your Consultant has done on a project, you must wait to receive INDOT’s written Notice to Proceed!

(Applies to original and supplemental contracts and also supplemental LPA-Consulting Contracts)

35

consultant contracting
Topics covered in this chapter include:

Applicability and LPA Responsibilities

Selection Process

Contract Scoping and Negotiation

Contract Administration

Errors and Omissions

Documentation

Consultant Contracting

37

consultant contracting1
Regulations

23 CFR Part 172 – “Administration of Engineering and Design Related Services Contracts”

Title 40 USC, Chapter 10, Subchapter VI “Brooks Act” – Qualifications Based Selection

Consultant Contracting

38

applicability and responsibility
When consultant services are to be funded with federal-aid dollars, or by credits used as a match for construction, the LPA must follow all Federal requirements.

When no Federal dollars are used to pay for services, the selection requirements of Chapter 7 do not apply, however; all services leading to federally funded construction must be performed by INDOT prequalified consultants.

Applicability and Responsibility

39

applicability and responsibility1
Federally funded consultant selection, contracting and contract administration activities shall be performed by or under the supervision of a certified Employee in Responsible Charge (ERC).Applicability and Responsibility

40

lpa consultant selection toolkit
http://www.in.gov/dot/div/legal/rfp/LPARFP/LPAConsultantSelectionToolkit.pdfhttp://www.in.gov/dot/div/legal/rfp/LPARFP/LPAConsultantSelectionToolkit.pdf

Links to all relevant documents are included in this Toolkit!!!

Prepare RFP

Request Past Performance Data and Verify Prequalification

Scoring

Ties and DBE Verification

LPA Selection Review Checklist

INDOT Selection Process Approval

LPA Consultant Selection Toolkit

41

lpa prepares request for proposal rfp
Use RFP Template

Identify Prequalification Requirements

Contact Economic Opportunity Division (EOD) for Disadvantaged Business Enterprise (DBE) goal

Include in request: Brief Description of Project; DES No.; Total Project Cost; Estimated Fee; Typical Sub-consulting Opportunities Associated with Type of Service; Copy of RFP; your e-mail

On-line: http://www.in.gov/indot/div/legal/dbe/dbegoalrequestform.htm

Email: DBEGoalRequest@indot.in.gov

LPA prepares Request for Proposal (RFP)

42

rfp advertisement
Submit RFP to INDOT District

INDOT posts RFP to website

LPA may also post locally

LPA receives Letter of Interest (LOI)

Minimum of 3 responses

RFP Advertisement

43

rfp responses received
LPA requests past performance scores from district

LPA verifies prequalification requirements met

LPA rates firms and ranks

LPA submits Affirmative Action Certification Form of top ranked firm to EOD for approval

LPA Selection Review Checklist

RFP Responses Received

44

verify prequalification requirements
! Verify INDOT Pre-qualification of firms who submitted LoIs

Prequalification information: http://www.in.gov/indot/2732.htm

The Prime Consultant is not required to be pre-qualified in every work type; however, either the Prime or the Sub-Consultants must be pre-qualified in every work type category listed in the RFP. The LPA must confirm the pre-qualifications for both.

Verify Prequalification Requirements

45

rating sheet certification
It is the responsibility of scorers to make every effort to identify the firm most capable of producing the highest quality deliverables in a timely and cost effective manner without regard to personal preference.

I certify that I do not have any conflicts of interest associated with this consultant as defined in 49CFR18.36.

I have thoroughly reviewed the letter of interest for this consultant and certify that the above scores represent my best judgment of this firm’s abilities.

Signature:_________________

Print Name:________________

Date:_________

Rating Sheet Certification

47

selection review checklist general information
General Information:

Number of Letters of Interest received __, if less than 3 attach documentation of recruitment efforts.

Number of teams that not meet prequalification requirements_____. Explain why teams did not meet qualifications. _______________________________

___________________________________________

If pre-screening was used, was it consistent with the process advertised in the RFP? (Yes)(No)_________.

Selection Review Checklist – General Information

50

selection review checklist score sheets
All scorers used the same score sheet as advertised in the RFP.

All scorers have scored all firms that met prequalification requirements.

All scorers used the values from the “Scale” column to populate the “Score” column.

The Location rating for the same firm has the same value applied on every score sheet.

Past Performance is applied consistently

(Only applicable if Past Performance is required) N/A

The calculations for weighted scores and weighted sub-totals are correct.

The Signature and Date of Scorer is on each score sheet.

Selection Review Checklist – Score Sheets

51

selection review checklist tabulation sheet
The signature of Scoring Team Leader and Date are on Tabulation Sheet.

All qualified firms are listed on the form.

The total scores at the bottom of each individual score sheet were correctly reflected on the Tabulation Form.

Highest ranked lead firm is INDOT prequalified.

(Applicable when INDOT Prequalification is required in RFP.)

The highest ranked team (Lead & Sub firms) is prequalified to perform all work types listed in the RFP.

Selection Review Checklist - Tabulation Sheet

52

approval of consultant selection
Approval of Consultant Selection
  • The LPA Selection Review Checklist should be signed by the ERC.
  • The LPA Selection Review Checklist is submitted to the District Local Program Director along with the following:
  • Advertised RFP
  • DBE Goal set email at ___ %
  • DBE Goal met email from EOD
  • Past Performance Data as provided by INDOT
  • Scoring Tabulation Sheet and Score Sheets
  • Affirmative Action Certification Form for the top ranked firm

53

approval of consultant selection1
Approval of Consultant Selection
  • The District reviews the consultant selection information.
  • If there are no errors that need correction, the District signs the LPA Selection Review Checklist.
  • The District emails a copy of the approved LPA Selection Review Checklist to the LPA, stating in the email the LPA may begin negotiations with their No. 1 ranked firm.

54

scoping meeting
Communicate project expectations

Answer questions

Set due date and requirements for proposal package

Scoping Meeting

55

slide56
Contract Compensation Methods
  • Lump Sum – Good method to use when the scope of work is well defined and when there is confidence in level of effort required. Not acceptable for construction inspection.

56

slide57
Contract Compensation Methods
  • Negotiated Labor Rate – Acceptable method to use when the scope is not well defined or when the consultant is not in control of the level of effort. Typically used for construction inspection.

57

slide58
Contract Compensation Methods
  • Cost Plus Fixed Fee – Acceptable method to use when the scope is well defined but there is a lower degree of confidence in the level of effort required. Consultants must have full CPA Audit or Cognizant Audit prequalification financial approval to use this method.

58

slide59
Contract Compensation Methods
  • Unit Price – Good method for use with repetitive well defined units of work. Typically used for geotechnical and right-of-way (ROW) services. INDOT approved unit price rates for ROW services are available on the INDOT website.

59

slide60
Contract Compensation Methods
  • Advice about use of multiple methods. Lump sum and hourly compensation elements should not be mixed in a contract unless the methods would be applied during different defined time periods or unless there is no overlap in the staffing who will be performing the work elements.

60

lpa consulting contract
Always use current “Boilerplate” LPA-Consulting Contract posted on INDOT’s website at: http://www.in.gov/indot/2390.htm

LPA and Consultant MUST use this contract to be eligible for consultant expenses

LPA – Consulting Contract

61

lpa consulting contract1
Project specific issues can be addressed within these contracts by amending the appropriate Appendices

Appendix A – Services to be Furnished by the Consultant

Appendix B – Information and Services to be Furnished by the LPA

Appendix C – Schedule

Appendix D – Compensation

LPA – Consulting Contract

62

proposal package
Scope of Work formatted for contract

Fee Proposal

Detailed person-hour breakdown by task

Overhead rate

Profit rate

Computation of total costs

Overhead Rate Documentation

Proposal Package

63

fee proposal review
Review task list and hours

Verify overhead rate

Review escalation - INDOT posts Employment Cost Index rate from Bureau of Labor & Statistics - http://www.in.gov/indot/files/DBWI_ProposalsContracts_EscalationRates.pdf

Review profit rate

See INDOT Profit Rate Matrix - http://www.in.gov/indot/files/ProfitMatrix.pdf

Fee Proposal Review

64

submit draft contract for indot review
Signed LPA-Consultant Contract Review Checklist

Contract Review Checklist

http://www.in.gov/dot/div/legal/rfp/LPARFP/LPA-ConsultantContractReviewChecklist.pdf

Unsigned Draft LPA-Consulting Contract

Consultant Fee Proposal (manhours and fee justification)

Consultant Prequalification Letter

All LPA – Consulting Contracts and supplemental contracts must be reviewed by INDOT prior to beginning any work.

Submit Draft Contract for INDOT Review

66

submit for fmis authorization
LPA may not issue a Notice to Proceed to their consultant prior to receiving the Notice to Proceed from INDOT. Expenses incurred prior to the Notice to Proceed will not be eligible for FHWA participation.

Invoices must be reviewed to verify consistency with the contract

Submit for FMIS Authorization

67

errors and omissions
INDOT expects Consultants to deliver technical accuracy and quality work; however, project errors and/or omissions (E&O) may occur.

Refer to INDOT’s Professional Services Contract Administration Manual for instructions.

Errors and Omissions

68

critical elements fatal flaws
Certified ERC

Advertised RFP

DBE Goal

Prequalified Consultant and/or Team

Proper Procedures followed including Scoring and Ranking

Use of Standard Boilerplate LPA-Consulting Contract

Contract Reviewed by INDOT

NO Work performed prior to INDOT’s Notice to Proceed

Critical Elements & Fatal Flaws

69

slide70

PLAN PREPARATION

Chapter 9

70

roles and responsibilities
The District Project Manager (PM) is the first contact.

The District will coordinate with Central Office as needed.

The LPA and their Consultant are responsible for uploading plans and documents to ERMS.

*When documents and plans are uploaded into ERMS, it is critical that the District ERMS Coordinator is copied. See Guidance Document for specific communication standards and contact information.

The LPA and their Consultant are responsible for maintaining the schedule and timeliness in getting the project to letting.

Roles and Responsibilities

(ERMS – Electronic Reporting Management System)

71

section v term and schedule
SECTION V TERM AND SCHEDULE

SECTION VTERM AND SCHEDULE.

A. If the LPA has the plans, special provisions, and cost estimate (list of pay items, quantities, and unit prices) for the Project ready such that federal funds can be obligated (INDOT obligates the funds about 7 weeks before the date bids are opened for the construction contract) between July 1, and June 30, , INDOT will make the federal funds shown in section I.A. and/or I.B. of Attachment D available for the Project, provided the Project is eligible.

B. In the event that federal funds for the Project are not obligated during the period listed in section V.A., the federal funds allocated to the Project will lapse.

72

responsibility for design and qc qa
The LPA and their consultant are responsible for the preparation of:

All Plan Sheets

Design Computations

Quantity Computations

Final Package/Tracings Documents

Engineer’s Estimate

All other Pertinent Project Documents necessary to certify the project is ready for construction.

The LPA and their consultant are responsible for quality control and quality assurance with detailed documentation.

Responsibility for Design and QC/QA

73

plan development process
Plan development begins at the inception of the project

Performed concurrently with other activities

Stage 3 Plans are required for INDOT review

Stage 1 Plans are required if there are Level 1 Design Exceptions

LPA may request Stage 1 and Stage 2 reviews

Plan Development Process

74

design criteria
Projects must be designed in accordance with the Indiana Design Manual (IDM), FHWA and AASHTO requirements.

Level 1 Design Criteria

Critical to safety and serviceability

Design exception required if not all Level 1 criteria are met

Requires a Stage 1 Review Submission

Level 2 Design Criteria

Important to safety and serviceability

Exceptions concurred with by LPA

Level 3 Design Criteria

Any item not listed as Level 1 or Level 2

Design Criteria

75

conformance level 1 design exception criteria
Conformance: Level 1 Design Exception Criteria
  • Design Speed
  • Lane Width
  • Shoulder Width
  • Bridge Width
  • Structural Capacity
  • Horizontal Curvature
  • Superelevation Transition
  • Stopping Sight Distance
  • Maximum Grade
  • Travel Lane Cross Slope
  • Superelevation Rate
  • Minimum Vertical Clearance
  • American Disabilities Act (ADA)
  • Bridge Railing Safety

76

plans preparation process
STEP 1:

FIELD SURVEY

Required on almost all projects

Gather data on existing topography

Initial utility survey

STEP 2:

HYDRAULIC DESIGN APPROVAL

Drainage system adequacy

Water quality

Waterway opening for bridges

Plans Preparation Process

77

plans preparation process1
Plans Preparation Process

STEP 3:

FIELD CHECKS

Preliminary field check is required on most projects

An opportunity for involved parties to review the plans

STEP 4:

GEOTECHNICAL INVESTIGATION

Evaluate subsurface conditions

78

plans preparation process2
STEP 5:

PAVEMENT DESIGN SUBMISSION

Designer is responsible for design

Compliance with IDM Chapter 52

Design stamped with Pavement Designer’s PE stamp

Checked by second PE

Reviewed by the ERC

Submitted by the Designer in ERMS, with copy to:

ERC

INDOT District Pavement Engineer

District Project Manager

Plans Preparation Process

79

alternate pavement bid
Alternate Pavement Designs are required for:

New pavement

Pavement replacement

Major rehabilitation with mainline pavement more than 10,000 yd²

Life Cycle Cost Analysis (LCCA)

If within a 10% Cost difference, then an Alternative Pavement Bid is required.

Alternate Pavement Bid

80

plans preparation process3
STEP 6:

PROPRIETARY MATERIALS

Single source materials

Approval must be obtained for FHWA to participate in cost

Plans Preparation Process

81

plans preparation process4
STEP 7:

UNIQUE PAY ITEMS AND SPECIAL PROVISIONS

Must be approved prior to Stage 3 Review Submission and reviewed by Estimates Manager and Specification Engineer

Non-participating items

100% Local funds

Plans Preparation Process

82

plans preparation process5
STEP 8:

STAGE 3 SUBMISSION REVIEW

Submitted at least 75 days prior to RFC date

30 day review period

Reviewed for conformance with IDM and for Fatal Flaws

Reviewer comments must be addressed

Plans Preparation Process

83

plans preparation process6
Plans Preparation Process

STEP 9:

FINAL TRACINGS SUBMISSION

After Stage 3 and 30 days prior to RFC date

District reviews for conformance

STEP 10:

CONTRACT REVISONS PRIOR TO LETTING

Approved by District Construction Engineer Up to 1 week prior to letting

84

the design file
The Design File

All documents related to the project design must be maintained by the LPA for 5 years after project close out and final audit:

  • Design criteria
  • ADA – Americans with Disabilities Act
  • Maintenance of traffic
  • Design exceptions
  • Proprietary materials
    • Stage 1, 2 and 3 Plans
    • Geotechnical report
    • Permits

See the Guidance Document for a complete list

85

critical elements
Field Check

Geotechnical Investigation - (If not needed, waiver required)

Pavement Design

Construction Time Set

Engineer’s Estimate

Proprietary Material Approval (Min. 3 vendors)

Shop Drawing Review (Done by designer)

Design Documentation (Must be complete)

Critical Elements

86

americans with disabilities act
Keep in mind that a properly designed pedestrian facility, i.e., designed according to PROWAG or ADAAG,

If constructed or installed improperly, may:

Not achieve the intended goal of accessibility

Violate the Americans with Disabilities Act of 1990, as amended (42 U.S.C. Sec. 12101 et seq.)

Americans with Disabilities Act

ADAAG - American Disabilities Act Accessibility Guidelines

Handout Provided on Detectable Warning Surfaces

PROWAG - Public Right of Way Accessibility Guidelines

87

slide88

ENVIRONMENTAL

PROCESSING/PERMITTING

Chapter 8

88

introduction
The LPA and their Consultant are responsible to ensure the environmental document and approval covers all of the applicable federal regulatory requirements and is consistent with the plans.

The current “Indiana Categorical Exclusion Manual” and “Procedural Manual for Preparing Environmental Documents” will be used to document all impacts to the natural and human environment, with the following supplemental guidance specific to LPA projects.

INDOT’s Environmental Services (ES) should be contacted to resolve any disagreement between manuals.

Request clarification prior to submittal of the NEPA document.

Introduction

89

environmental document types
Categorical Exclusions (CE)

Programmatic CE

Minor Projects, No Permits Needed, No R/W, Uses Section 106 MPPA

CE-1

Minor Projects, <0.5 acre R/W, No Substantial Impacts, Water Impacts Not Likely to Need Mitigation.

CE-2

<10 acres R/W, Minor Impacts to Historical Resources, Water Impacts Will Likely Need Mitigation.

CE-3

>10 acres R/W, Substantial Changes to Existing Roads or Noise Levels

CE-4

Federal Involvement – Section 106 of NHPA, Section 4(f) of DOT Act, Section 7 of ESA, Impacts to Ground Water

Environmental Document Types

90

environmental document types1
Environmental Document Types

Environmental Assessments (EA)

  • EA’s are used to document that large projects would have impacts similar to a CE with no Significant Impacts.
  • EA’s can have two outcomes
    • FONSI (Finding of No Significant Impact) – NEPA is satisfied/complete
    • No FONSI Issued – An EIS will need to be prepared. This scenario is very uncommon.

Environmental Impact Statements (EIS)

  • Projects which expect significant environmental impacts or public controversy

Coordination With INDOT/FHWA Will Determine Which is Needed

  • Coordination should be conducted as early as possible, when a project substantially exceed the CE-4 Thresholds.

93

process steps
Notice to Proceed – Check for NEPA Prequalification

Red Flag Investigation

Preliminary Field Reconnaissance

Environmental Early Coordination – Two Types, Both May Be Needed

Standard Agency Coordination

Section 106 Coordination

Additional Studies

Submittal to INDOT

Draft CE release for Public Involvement

Public Involvement

Approved CE

Process Steps

CE - Categorical Exclusion

94

slide95

Environmental Early Coordination

  • Project details and description of environmental resources are sent to resource agencies for feedback. This is known as early coordination.
  • Level of early coordination is project dependent.
  • Agencies have 30 days to respond. Some agencies may not respond - others are required:
    • Fish and Wildlife Service
    • State Historic Preservation Officer
  • Include INDOT’s Office of Public Involvement and the relevant MPO, if applicable.

95

slide96

Water Resources and Mitigation

  • Identification of water resources is needed for NEPA document.
    • CE-1: < 300 linear feet stream impacts and
    • < 0.1 acre wetland impacts
    • CE-2: > 300 linear feet stream impacts and
    • < 1 acre wetland impacts
    • CE-4: ≥ 1 acre wetland impacts
  • Mitigation may be needed when CE-1 stream or wetland thresholds are exceeded.
  • A Waters of the U.S. Report is strongly recommended with the NEPA Submission.

96

slide97

Permits

  • LPA’s and their consultants are responsible for their own permits, as well as any technical studies.
  • Schedule Time for Permits and Mitigation
    • USACE 404 IP ~ 12 to 18 months (mitigation?)
    • USACE RGP/IDEM 401 IP ~ 4 to 7 months (mitigation?)
    • USACE NWP/IDEM 401 RGP ~ 3 to 4 months
    • IDNR CIF ~ 9 months
    • IDEM Rule 5 ~ 4 months
    • All required permits must be in hand prior to Final Tracings Submission.

97

slide98

Cultural Resources

Includes review for archaeological sites and above ground resources.

Use of a Qualified Professional is required.

DNR’s Qualified Professionals Roster is available on DNR’s website at:

http://www.in.gov/dnr/historic/3675.htm

98

slide99

Cultural Resources

  • Assessments by Qualified Professionals are reviewed by INDOT/FHWA and a “finding” is issued:
        • No Historic Properties Affected
        • No Adverse Effect
        • Adverse Effect – Mitigation Required through a Memorandum of Agreement (MOA)
  • Multiple mandatory review periods by stakeholders.
      • Typically, a minimum of two 30-day review periods.

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Cultural Resources

  • The following items may be combined and submitted to save time in the coordination stage:
      • Early Coordination
      • Area of Potential Effect
      • Historic Properties Report
      • Archeological Summary
      • Preliminary Finding of Effect
  • Legal Notice/Public Comment periods may also be combined if it suits the project schedule.

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Threatened and Endangered Species

  • Most projects require informal consultation with resource agencies.
      • Standard coordination with US Fish and Wildlife Service (USFWS) (or 1993 MOU) and Indiana Department of Natural Resources (IDNR) Fish & Wildlife.
  • Agencies often request project changes based on anticipated permit conditions.
      • These are included as project commitments.
  • If agency response is “Likely to adversely affect” any federally listed species or critical habitat, contact INDOT to begin formal consultation.

101

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Noise Analysis

Required for new interchanges, any travel lane addition, and projects with a significant horizontal/vertical grade change.

INDOT reviews all noise analyses for technical adequacy but does not approve LPA barrier decisions. The review is conducted during review/approval of the NEPA document.

Submission Change: The noise study must now be completed and submitted prior to review and approval of the NEPA Document

102

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Hazardous Waste and Regulated Substances

      • Red Flag Investigation
        • Should be conducted early in NEPA process.
        • Reviews numerous resources – not only for Hazardous Materials
      • Phase I – Initial Site Assessment (ISA)
        • Purpose is to identify presence of contamination sites
        • Field review, interviews with property owners, and review of IDEM/other files
      • Phase II – Preliminary Site Investigation (PSI)
        • Purpose is to find the boundary of contamination sites
        • Soil Bores are analyzed for contaminants
  • INDOT reviews Red Flag Investigation for technical adequacy with the environmental document submittal, but does not approve.

103

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Summary of Commitments

  • The INDOT process to track project Commitments must be followed by LPAs/Consultant as well.
  • The required method is submittal of an electronic spreadsheet.
  • If permitting agencies have not responded to early coordination, a general statement should be used that the sponsor will comply with permit conditions.

104

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Public Involvement

  • What spurs the need for Public Involvement?
    • > 0.5 acre of permanent R/W acquisition
    • Substantial changes to layout/function of roads
    • Substantial impacts to the local public or economy, abutting properties, or environmental resources
    • If FHWA determines that a hearing is warranted

105

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Public Involvement

  • The level of public involvement varies with size/complexity of project.
  • After INDOT/FHWA have reviewed the document, it will be released for public involvement.
  • The environmental document will not be approved until completion of any required public involvement activities.

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Public Involvement

  • The LPA and their Consultant are responsible for the preparation and submittal of the legal notice to the newspaper. Public should be instructed to submit comments to the LPA or its consultant.
  • If a hearing will be held, the LPA must coordinate with the Office of Public Involvement.
  • An INDOT employee must attend the hearing.
  • A checklist is included to assist the LPA and their Consultant in completing the public hearing requirements.

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Environmental Document Approval

Once public involvement is completed, submit updated environmental document to the district for approval.

Larger projects require additional signatories:

CE-1 INDOT District

CE-2 INDOT District

CE-3 INDOT District and Central Office

CE-4 INDOT District, Central Office and Federal Highway

108

common causes of delay
Common Causes Of Delay

Project not in the TIP or STIP

Unforeseen adverse effects

Know the impacts to water resources

Identify resources of concern on the plans and reduce impacts/prevent scope-creep near these resources

Environmental document does not match the plans

Additional Information Addendum (AI) may be needed

AI documents can be time consuming

Failure to plan for permitting timeframe

Mitigation required prior or with project to obtain permit

Off-site mitigation often requires it’s own CE

109

environmental consultation form
Environmental Consultation Form

The Environmental Consultation Form is required to provide quality assurance and demonstrate compliance.

Shows that:

Plans match the environmental document

Public Involvement has been completed

Permits have been obtained

Form is submitted with Stage 3 Plans and Final Tracings.

110

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Utility & Railroad

Coordination

Chapter 10

112

presentation overview
Utility Coordination

The primary objective is to proactively engage the Utility partners so that improvements to the infrastructure can be accomplished.

Reference Material/Documents

A Model of Utility Coordination

105 IAC 13 Utility Relocation Guidance

Railroad Coordination

Railroad Coordination activities are handled by INDOT District Railroad Coordinators.

Determine if there is Railroad Involvement1

PE Phase, CN Phase

Presentation Overview

113

utility references
Utility Coordination on all projects must follow rules:

* 105 Indiana Administrative Code (IAC) 13

Formal procedure for process

* Federal regulations for utilities:

http://www.fhwa.dot.gov/programadmin/utility.cfm

* Utility Accommodation Policy as applicable

* INDOT Design and LPA Manuals

Utility References

114

a new paradigm
A New Paradigm
  • Survey
  • Bring Utilities To The Table
  • Avoid Utility Impacts Whenever Feasible
  • Establish A Preliminary Plan For Right Of Way

“Everyone knows where everyone goes!”

  • Determine The Team Who Will Acquire Right-Of-Way
  • Establish The Critical Path For The Project
  • Provide Our Geo-tech Reports
  • Build In Contract Whenever Feasible
  • Conduct Constructability Reviews At Project Specific Intervals!

115

a new paradigm cont
A New Paradigm (cont.)
  • Complete Design Through Tracings
  • Before Letting, Thoroughly Review:
      • Utility Work Plans And Schedules
      • Right Of Way Status
      • Write Accurate Special Provisions
  • Construct The Project
  • Maintain Utility Coordination Efforts

116

managing risk monitoring accurate placement
Managing Risk: Monitoring Accurate Placement

Constructability reviews point out the “risk points” within Right of Way where we need to monitor placement during construction:

  • In-House
  • Consultant
  • Contractor

Link to the Constructability Manual:

http://www.in.gov/indot/2697.htm

117

managing risk monitoring accurate placement contd
Managing Risk: Monitoring Accurate Placement (contd)

Factors to consider when deciding how to proceed:

  • Schedule
  • Project complexity
  • Project type (i.e., urban, rural, design-build)
  • Number of utility relocations
  • Right of Way Space

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Managing Risk: Monitoring Accurate Placement (contd)

Additional Factors:

  • Relocations included in INDOT contract
  • Legal possession of all Right-of-Way
  • Advance clearing contract
  • Budget
  • Level of oversight required (i.e., Right-of-Way space, amount of utilities inside of easements)

119

benefits to this approach
Benefits To This Approach
  • The Utility Needs Are Known Earlier
  • All Right-of-Way Needs Are Understood
  • One Presentation To The Land Owner
  • The LPA Team Controls The Schedule
  • Control costs of Right of Way, Design, and Construction, and Avoid Delays
  • Contractors-Utilities-and Project Managers are in full partnership throughout the process

120

utility coordination steps
1. Utility Research

(To find names of utilities in area of project)

This is done prior to survey!

-Permit Files

-Reviewing Past Project Plans

-Field Check

-Indiana 811

-Contacting Local Officials (5 to 10 days)

For each utility, document the contact person, address, and phone number.

Utility Coordination Steps

121

utility coordination steps1
2. Initial Notice

Letter is sent to each utility to inform them of project and get type and locations of facilities from them.Prior to survey! (30 days)

3. Survey

Survey is done using information gathered to make sure all utility facilities are picked up.

Watch out for unknown underground and overhead utilities.

Utility Coordination Steps

122

utility coordination steps2
4. Verification

Letter along with plan sheets are sent to each utility so they can verify that their facilities are shown accurately and completely on the plans. (30 days)

5. Preliminary Plans

Letter along with plans are sent for utility review. Gives utilities a chance to point out conflicts and possible solutions to avoid relocations. (30 days minor/60 days major)

Utility Coordination Steps

123

utility coordination steps3
6. Preliminary Final Plans

Letter along with plans are sent to each utility so they can develop work plan/relocation plan (60 days minor/120 days major – 180 max.)

Try to accomplish this step in 60 days max, often there isn’t 180 days to work through this step.

Utility Coordination Steps

124

utility coordination steps4
Utility Coordination Steps

7. Reimbursable Agreements

Send agreements to the District for review prior to signing in order to verify what the LPA is offering to reimburse using federal money is eligible.

- Replace in kind

- Use agreement provided in Manual

- Document the property interest

Ensure federal funds have been approved (FMIS Authorization) through the District before you give utility Notice to Proceed (NTP).

125

utility coordination steps5
Utility Coordination Steps

8. Work Plan Approval /Permit

(Send the permit, and have them complete pre-construction activities)

9. When the required items in the work plan necessary to begin have been accomplished, issue the notice to proceed.

(constructability reviews determine the sequence)

126

post letting efforts
Post Letting Efforts
  • Coordinator stays “on point”
  • Manages schedule
  • Adjust to field conditions
  • Monitor cost overruns
  • Issue acknowledgement of completed work plan, voucher summary, final bill reminder

127

lpa documentation requirements
Project information must be maintained for 5 years after project close-out and final audit. Remember this includes all utility and railroad documentation.

Remember to follow all steps of IAC and keep the correspondence documented.

LPA Documentation Requirements

128

lpa documentation requirements1
LPA Documentation Requirements
  • Audit for reimbursable work – the invoices have to match the estimates
  • Federal funds can only be spent with prior authorization,
  • If the estimates must include unit costs and quantity

129

is there railroad involvement
Is There Railroad Involvement?
  • Railroad within project limits?
  • Does project impact any railroad facilities or operations?

If yes, contact District Railroad Coordinator to help determine the extent of railroad coordination needed.

131

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Railroad Coordination Activities

  • Preliminary Phase (PE):
  • INDOT requests LPA letter of understanding
  • INDOT applies for FMIS for PE funding
  • After FMIS approved, LPA invoiced by INDOT for PE funding
  • Once PE funding is in place, INDOT issues a Purchase Order and Notice To Proceed to RR

132

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Railroad Coordination Activities

  • Construction Phase:
  • After INDOT receives Force Account Estimate (FAE) from RR, INDOT forwards to LPA for approval
  • INDOT prepares the Agreement between LPA and RR
  • INDOT applies for FMIS for RR CN funding
  • After Agreement has been fully executed and FMIS approved, LPA invoiced by INDOT for CN funding
  • Once CN funding is in place, INDOT issues a Purchase Order and Construction Authorization to the RR
  • INDOT performs inspection of the work by the RR

133

requirements
Good News – Districts generally handle it for federally funded projects

Bad News – It costs. It takes a long time and does not start until you have plans

You have to pay for railroad engineers and their workers

Codes: IC 8-23-5-2

FHWA 23 CFR 646.214

Requirements

IC – Indiana Code

CFR - Code of Federal Regulations

134

resource people rr and utility
Resource People – RR and Utility

Central Office Crawfordsville

Utility/RRUtility and Railroad

Kenny Franklin George Moffat

(317) 232-5007 (765) 361-5271

kfranklin@indot.in.gov gmoffat@indot.in.gov

Utility Fort Wayne

Joe Gundersen Utility

(317) 234-5199 Chuck Carson

jgundersen@indot.in.gov (260) 399-7329

ccarson@indot.in.gov

Railroad

Tom Rueschhoff Railroad

(317) 233-2065 Tom Imbimbo

trueschhoff@indot.in.gov (260) 969-8292

timbimbo@indot.in.gov

135

resource people rr utility
Resource People - RR & Utility

GreenfieldSeymour

Utility Utility

Lavon Marshall Matt Harding

(317) 467-3475 (812) 524-3972

lmarsh@indot.in.govmaharding@indot.in.gov

Railroad Railroad

Michelle Loveall Tom Dunbar

(317) 467-3438 (812) 524-3954

mloveall@indot.in.govtdunbar@indot.in.gov

LaPorteVincennes

Utility and Railroad Utility and Railroad

Ken Martin Shawn Will

(219) 325-7441 (812) 895-7358

kmartin@indot.in.govshwill@indot.in.gov

136

slide137

LAND ACQUISITION

Chapter 11

137

legal references
Legal References

Importance of Land Acquisition Process

The Fifth Amendment of the U.S. Constitution

Just Compensation

49 CFR 24.201(d)

Uniform Act

Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and amended it in 1987

Coordination with NEPA

23 CFR Part 771

138

land acquisition process steps
Land Acquisition Process Steps

Assurance Letter

49 CFR 24.4

Land Acquisition (Right-of-Way) Management

23 CFR Part 710

Title Research (Abstracting)

23 CFR 710

Right-of-Way Engineering (Plats and Legal Descriptions)

Indiana IAC Title 865 – INDOT R/W Engineering Manual

Scope of Work and Appraisal Problem Analysis (APA)

Uniform Act Section 301 49 CFR 24.104

139

slide140
Appraising (Opinion of Just Compensation)

ROW Appraisers must be on certified list

Buying /Negotiations & Relocation Agents

ROW Buyers & Relocation Agents must be on certified list

Relocation

Condemnation

Every property owner has the right to go through condemnation

Property Management

Right-of-Way Certification

Land Acquisition Process Steps

140

critical elements1
Critical Elements

Assurance Letter 49 CFR 24.4

Public Hearing Certification 23 CFR 710.305

Environmental Approval 23 CFR 771.117

FMIS Authorization

Completed Parcel Packet for all parcels

Certification Letter signed by an ERC of the LPA and the consultant if one is involved 23 CFR 635.309

141

fatal flaws
Fatal Flaws

Assurance Letter not completed

Property owners not properly informed of acquisition procedures

Incorrect Right-of-Way Engineering

Incorrect Method of establishing just compensation (Appraising)

Conducting appraisals and making offers before Environmental Document certified

142

fatal flaws1
Fatal Flaws

Appraisal before environmental approval

Relocation must be approved at Central Office

Relocation Assistance not handled properly

Parcel Packets not completed

Lack of Certification Letter signed by LPA

False Information

143

activity completion time frame
Activity Completion Time Frame

Total duration less than < one year to < two years from the Preliminary Field Check (< 20 parcels)

Relocation (approximately 180-day duration, concurrent with buying)

Condemnation (approximately six months to one year)

Right-of-Way Certification (approximately 75 days)

144

checklist review
Checklist Review

Project Documentation for Certification

Parcel Packet Documentation for Certification (Secured Parcel)

Parcel Packet Documentation for Certification (Donated Parcel)

Parcel Packet Documentation for Certification (Condemned Parcel)

145

compliance documentable proof
Compliance – Documentable Proof

Assurance Letter 49 CFR 24.4

Public Hearing Certification 23 CFR 710.305

Environmental Approval 23 CFR 771.117

FMIS Authorization

Project and all Parcel Certification Checklists

Completed Parcel Packet for all parcels

Certification Letter signed by an ERC of the LPA and the Consultant, if a consultant is involved

146

slide149

Quality Control

The LPA and/or their Consultant needs to review their parcel packets prior to submission to the District.

In what order do the parcel packets need to be in at the time of submission?

What needs to be on top?

149

buyer s reports

Discussion Questions - Quality

Buyer’s Reports

What kind of information should be included in the Contact log between the buyer and property owner?

150

slide151

Discussion Questions - Condemnation

In condemnation - what does it mean to have a parcel secured?What does possession mean?What does the court need to do before they transfer the property?

151

primary steps in preparing for letting
Review of Contract Documents

Engineer’s Estimate Determination

Plans, Specifications, and Estimate (PS&E) Approval

Equal Employment Opportunity (EEO) Goal Setting

Contract Information Book Preparation (CIB)

Construction Inspection / Consultant Selection

Primary Steps in Preparing For Letting

154

determination of engineer s estimate
Designer submits an Estimate with the Final Tracings Submission

An INDOT Estimator processes the information into “TRNS∙PORT” the INDOT bidding software

INDOT prepares a preliminary detail estimate

Determination of Engineer’s Estimate

155

plans specifications and estimate ps e
Plans, Specifications and Estimate (PS&E)
  • INDOT prepares the PS&E letter and sends to FHWA for authorization.
  • The PS&E letter contains:
  • The PS&E letter is certified by the Contract Administration Division’s Estimating Administrator.

156

draft contract information book cib
The Draft CIB is compiled by INDOT.

An electronic version of the CIB is sent to the ERC, the Consultant Contact, and a Backup Contact for certification.

These individuals have 2 business days for review and comment / response

If no response, job is removed from letting.

INDOT no longer prints the CIB

Draft Contract Information Book (CIB)

157

checklist review1
Checklist Review

Project Documentation for Certification

Parcel Packet Documentation for Certification (Secured Parcel)

Parcel Packet Documentation for Certification (Donated Parcel)

Parcel Packet Documentation for Certification (Condemned Parcel)

158

slide159

CONSTRUCTION INSPECTION/

CONSTRUCTION ENGINEERING

Chapter 14

159

construction inspection construction engineering
Construction Inspection/Construction Engineering
  • Construction Inspection is required on ALL Federal aid projects.
  • The RFP for a consultant for Construction Inspection must be advertised on INDOT’s website 6 months priorto the Ready for Contracts (RFC) date.

Prior to the RFC date:

  • Letters of Interest must be scored and ranked
  • Consultant selection must be approved by INDOT
  • The draft LPA-Consulting Contract, manhours, fee justification and Engineer Assignment letter must be submitted to the INDOT District for review.
  • The Executed LPA-Consulting Contract must be received by the INDOT District.
  • Utilize Boilerplate Consultant Contract located at: http://www.in.gov/indot/2390.htm

160

construction inspection construction engineering1
Construction Inspection/Construction Engineering
  • The LPA must submit a copy of the signed LPA-Consulting Contract to the District Local Program Director prior to the RFC date.
    • This is done to avoid any delays or time extensions once the project is awarded to a contractor
    • CE / Inspection work is billed based on an hourly rate; the contract can be signed based on the project estimate
  • The federal-aid “not to exceed amount” for Construction Inspection is set by INDOT based on the final construction amount.

161

construction inspection construction engineering2
Construction Inspection/Construction Engineering
  • A FMIS request is done for Construction and Construction Engineering approximately seven (7) weeks prior to letting.
  • After the INDOT letting has taken place and the apparent low bid is determined, a FMIS request for CE based on the apparent low bid will be prepared. A Purchase Order will be opened for that amount.

162

construction inspection construction engineering3
Construction Inspection/Construction Engineering
  • When the bid award is deemed official, non-participating items (if any) are deducted from the contract, and the Local’s match has been calculated, INDOT Finance will adjust the Purchase Order accordingly.
  • The District Local Program Director will then issue Notice to Proceed (NTP) to the LPA. The LPA can then issue NTP to their consultant for construction inspection.
  • Any Construction Inspection costs incurred prior to the date of the NTP, arenot eligible for federal reimbursement.

163

consultant construction inspection
Consultant – Construction Inspection
  • Consultants must be prequalified.
  • The LPA will submit an Engineer Assignment letter with the draft LPA-Consulting contract. The Engineer will be reviewed and approved by the Construction section at the District. The Construction Inspector acts as the LPA’s representative and administers the project on a day-to-day basis.
  • The Consultant will also provide an adequate number of qualified Construction Inspectors.
  • If a consultant is used for Construction Inspection/Engineering the LPA ERC will review, approve and submit all consultant invoices.

164

consultant construction inspection1
Consultant – Construction Inspection
  • Assigned Consultant employee/s performing as Project Engineer/Supervisor (PE/S) must meet all INDOT requirements and certifications required for those roles.
  • The employee/s assigned shall be submitted to the District Construction Director and receive approval before the RFC date.
  • Any changes to the assignment shall also be submitted and approved before the change or as soon as they are known.

165

project engineer supervisor pe s
Project Engineer/Supervisor (PE/S)
  • Each project must be assigned a Project Engineer/Supervisor (PE/S).
  • The PE/S must be trained and certified through INDOT Certified Construction Technician Training and the INDOT Quality Assurance Training Programs.
  • The PE/S should also have demonstrable experience. This means they must be able to use SiteManager effectively.
  • The PE/S will be approved by the District Construction Area Engineer after the LPA-Consulting Contract for CE is signed and a copy submitted to the District Local Program Director, and before the RFC date.

166

project engineer supervisor pe s1
Project Engineer/Supervisor (PE/S)

The PE/S will oversee and provide:

  • Inspection
  • Testing (performed by Qualified Technician)
  • Documentation of all construction activities
  • Daily reports
  • Testing reports
  • Progress Estimates
  • Change Orders
  • Ensure the project is constructed in accordance with the contract documents and INDOT specifications
  • Final Construction Record (within 45 days of Acceptance)

167

pe s and change orders
PE/S and Change Orders
  • The PE/S will document all communications that involve change orders, time extensions, or claims.
  • The PE/S must maintain communication with and obtain approvals of both the LPA ERC and the INDOT Area Engineer and the relevant MPO if the project is located with a Metropolitan Planning Area (MPA) for all change orders.
  • The PE/S will be provided the amount of federal funds available for construction from INDOT. The PE/S must use this to maintain a running total of all contract costs showing how much is left of the federal allocation - spreadsheet to track.

Current Change Order policy effective: January 1 2010 http://www.in.gov/dot/div/contracts/conmemo/10-01.pdf

Cap on Federal funds available at: http://www.in.gov/indot/2390.htm

168

approval of subcontractors
Approval of Subcontractors
  • All Subcontractors must be approved by INDOT before performing any work. Complete the Request for Approval of Subcontractors Form (IC-730) for this approval.
  • Subcontractors should be approved by the RFC date.

169

slide170

LETTING

Chapter 13

170

ready for letting
Ready for Letting
  • Advertisement
  • Contract Questions and Answers
  • Revisions
  • Letting
  • Bid Evaluation and EEO Compliance
  • Award
  • LPA Match
  • Contractor Financial Liability Coordination
  • Notice to Proceed
  • Purchase Order

171

contract letting information
Contract Letting Information

http://www.in.gov/dot/div/contracts/letting/index.html

172

advertisement
Advertisement
  • Once a Contract has been approved in FMIS it is eligible for advertisement.
  • INDOT does the advertisement and bidding.
  • Bids are only accepted electronically.
  • All Bidders must be pre-qualified.
  • Bids must contain required information.
  • Bids will be publically read.

173

contract questions and answers
Contract Questions and Answers
  • The LPA and/or consultant shall not directly or indirectly answer pre-letting questions from Contractors
  • All questions start out going to a website
  • Questions that are contract specific are forwarded from District Construction to the LPA designer via e-mail
  • Designer contacts must be kept current
  • Questions need to be answered in a timely manner

174

contract revisions
Contract Revisions
  • Contract revisions are sometimes necessary
  • Requests for revisions can come from many sources
    • LPA
    • Contractor
    • INDOT
    • LPA Designer
    • Material Supplier
  • The Designer shall keep the ERC in the loop on these revisions
  • District Construction must endorse/submit the revision

175

after the bids are read
After the Bids are Read

INDOT will not let the contract if a LPA is more than 60 days past due on paying an INDOT bill

  • Evaluation of Bids Received and EEO Compliance
  • Post Letting Review of DBE Good Faith Efforts
  • Determine if Contract Awardable
    • The low bid is less than $1 million, or;
    • There are four or more bidders or;
    • The bids are within 15% of Engineers Estimate
    • Concurrence from District LPA Coordinators, the Programs Funds Manager and ERC
  • District contacts LPA-ERC to obtain their decision - approve and award or reject all bids

176

lpa funds for construction match
LPA Funds for Construction (Match)

Credits are allowed for certain LPA projects awarded prior to April 29, 2009

Credits:

    • LPA-ERC submits estimated credits at time of RFC
      • LPA shall submit invoices and proof of payment with a summary sheet listing all eligible design and right-of-way costs. A letter should accompany the invoices and be sent to the District Local Programs Director requesting that those credits be applied as a portion of the LPA match.
  • INDOT invoices the LPA

177

lpa funds for construction match1
LPA Funds for Construction (Match)
  • Notice to Proceed is issued to the Contractor by the Contract Administration Division, but will not be issued until INDOT receives match funds.(
  • If the LPA cannot provide match, the contract is canceled.
  • Funds need to be submitted in a timely manner.

178

procedures to reduce delay of lpa match
Procedures to Reduce Delay of LPA Match
  • LPA design engineer should estimate the amount of funds required before the RFC date.
  • The LPA should advertise the amount of funds needed for match prior to letting (based on the LPA’s policies and procedures).
  • After advertisement, the estimated funds should be approved prior to letting
  • As soon as the LPA receives the invoice for the match, submit funds for up to the preapproved amount

179

compliance documentable proof1
Compliance – Documentable Proof
  • Advertisement
  • Issued Revisions
  • Bid Analysis
  • Concurrence of Awards
  • Official Awards
  • Notice to Proceed (NTP) to LPA & Consultant
  • NTPLetter to Contractor

180

critical elements letting
Critical Elements - Letting
  • EEO Requirements
  • Advertisement
  • Timely Response to Revisions
  • Bid Opening
  • Bid Evaluation
  • Award
  • Submission of LPA Match
  • LPA Award Concurrence
  • Notice to Proceed

181

potential fatal flaws letting
Potential Fatal Flaws - Letting
  • Bid not advertised per FHWA guidelines
  • Questions answered outside of process
  • Contractor does not comply with EEO
  • Revisions not issued
  • Bids not awardable
  • No concurrence of award from LPA
  • Match funds from LPA not received by INDOT
  • Notice to Proceed not issued

182

documentation requirements
Documentation Requirements
  • PS&E Approval
  • DBE Interest Report
  • CIB Certification
  • Construction Inspection Notice to Proceed

183

slide184

CONSTRUCTION

Chapter 14

184

notice to proceed now what
“Notice to Proceed” - Now What?
  • The Contract Administration Office will send the Notice to Proceed to:
    • INDOT District Construction
    • LPA
    • Contractor
    • INDOT Project Manager
  • INDOT is charged with overall responsibility of the construction phase

185

the pre construction conference
The Pre-Construction Conference
  • The LPA ERC will coordinate with the District Area Engineer to schedule the conference.
  • District Construction will provide a checklist of items to be covered at the conference.

In order to be eligible for reimbursement, the Pre-Construction Conference should not be held until INDOT has issued Notice to Proceed to the LPA for Construction Inspection.

186

shop drawings falsework review
Shop Drawings & Falsework - Review
  • Review of all project shop drawings will be the responsibility of the LPA & their Designer
  • Follow IDM 14-1.02(07)

187

final construction record pe s responsibilities
Final Construction Record – PE/S Responsibilities
  • Maintain all documentation throughout the life of the project and 5 years after final audit.
  • Form IC-639 (Report of Final Inspection & Recommendation for Acceptance) will be sent to the LPA and shall be signed and returned by the LPA within 10 business days to District Construction.
  • Complete the final construction record within 45 days of acceptance of the project.
  • Ensure all monies due the contractor are paid with the exception of disputed quantities.
  • Follow-up all unresolved issues until completed.

188

final construction record
Final Construction Record
  • Failure to complete Final Construction Record tasks could impact the LPA
  • All contracts will be audited by the Audit, Agency Results and Revenue Forecasting Division.
  • Final Audit balances all claims, invoices, billings, etc., between INDOT and the LPA

189

critical elements construction
Critical Elements - Construction
  • Maintain Documentation
  • Maintain Accurate Records and Promptly Pay Estimates
  • Hold Pre-construction Conference
  • Provide Construction Inspection
  • Notify District Construction and LPA of Contract Changes
  • Track Funds and Increases
  • Prepare Change Orders in a Timely Manner
  • Maintain Documentation of Contractor Claims
  • Continuity of PE/S for Record Purposes
  • Schedule Pre-final and Final Inspections
  • Complete Final Construction Record

190

potential fatal flaws construction
Potential Fatal Flaws - Construction
  • Construction Inspection not present when needed
  • Authorizing material use that does not meet specifications
  • Authorizing work that does not comply with contract
  • Failing to maintain Daily Work Reports
  • Failing to process Estimates
  • Failing to complete the contract final record
  • Failing to maintain a project file
  • Not having funds available for added work
  • Allowing work before the Notice to Proceed is issued
  • Allowing subcontractors to work before approved IC-730

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Evaluations

Thank you

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