local public agency (lpa) basic certification training 11-07-2013
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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 - PowerPoint PPT PresentationTRANSCRIPT
Local Public Agency (LPA)Basic Certification Training
11-07-2013
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A Living Document Provides links to References and
Resource People Defines the Process for:
Project Development Letting Construction
LPA Guidance Document
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LPA Guidance Document
Critical Elements Fatal Flaws Documentable Proof
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Resources
INDOT Central Office:Kathy Eaton-McKalip, Director LPA
Certification Training LPA & Grants Administration VACANTIndiana Department of Transportation LPA
Policy Coordinator100 North Senate Avenue, Room N955
(317) 234-7930Indianapolis, Indiana [email protected]
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District Local Program DirectorsCrawfordsville DistrictSusan KempPhone: (765) 361-5228Email: [email protected]
Greenfield District OfficeKim BowdellPhone: (317) 467-3440Email: [email protected]
Seymour District OfficeDebra AultPhone: (812) 524-3969Email: [email protected]
Fort Wayne District OfficeDavid ArmstrongPhone: (260) 969-8277Email: [email protected] LaPorte District OfficeMarcia BlansettPhone: (219) 325-7564Email: [email protected] Vincennes District OfficeJaclyn SchmittPhone: (812) 895-7393Email: [email protected]
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Resources
Any questions regarding the training, the LPA Guidance Document or conflict with other guidance materials and manuals, contact:
(until another LPA Policy Coordinator is assigned to the ERC Training)
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PROGRAM INTRODUCTION
CHAPTER ONE
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ROLES AND RESPONSIBILITIES
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Federal Highway Administration (FHWA)
FHWA – Responsible for ensuring adequate and proper delivery of federal-aid projects.
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Indiana Department of Transportation (INDOT)
INDOT:a. Provides technical assistance to the
LPAb. 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
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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.”
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ERC (cont.)Responsibilities of the ERC:
Managerially responsible for project
Listed in Section 1-3.02 of the LPA Guidance Document
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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.
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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.
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METROPOLITAN PLANNING ORGANIZATION (MPO)
COORDINATIONChapter Six
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Metropolitan Planning Organization (MPO)
What is a MPO?
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Transportation Improvement Program (TIP)
What is a TIP?
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Statewide Transportation Improvement Program (STIP)
What is a STIP?
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MPO Coordination
http://indianampo.com/PDF/MPOs.pdf
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Understanding MPOsMetropolitan Planning Organization (MPO)Maps showing the urban area boundary for each MPO:http://dotmaps.indot.in.gov/apps/PlanningDataViewer/FC_Maps/FC_listing.asp
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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
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MPO Coordination 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.
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PROJECT PROGRAMMINGCHAPTER FIVE
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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
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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
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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
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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
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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?
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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
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Signature process of the INDOT-LPA Contract:
Required signatures1. INDOT – Contract Administration
Division and Chief of Staff2. Indiana Department of Administration3. State Budget Agency4. Attorney General’s Office.
INDOT-LPA Contract
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Request for Federal FundsFiscal 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.
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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.
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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
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Notice to Proceed
What is the most important thing to remember before beginning work on a project phase?
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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)
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CONSULTANT CONTRACTINGChapter 7
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Consultant Contracting
Topics covered in this chapter include: Applicability and LPA Responsibilities Selection Process Contract Scoping and Negotiation Contract Administration Errors and Omissions Documentation
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Consultant ContractingRegulations
23 CFR Part 172 – “Administration of Engineering and Design Related Services Contracts”
Title 40 USC, Chapter 10, Subchapter VI “Brooks Act” – Qualifications Based Selection
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Applicability and ResponsibilityWhen 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.
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Applicability and Responsibility
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).
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LPA Consultant Selection Toolkithttp://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
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LPA prepares Request for Proposal (RFP) Use RFP Template Identify Prequalification Requirements Contact Economic Opportunity Division
(EOD) for Disadvantaged Business Enterprise (DBE) goalInclude 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: [email protected]
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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
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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
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Verify Prequalification Requirements! Verify INDOT Pre-qualification of firms who
submitted LoIsPrequalification 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.
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Selection Rating Sheet (City, County, Town, etc.) - or - (Local Public Agency)
Evaluation Criteria to be Rated by ScorersCategory Scoring Criteria Scale Score Weight Weighted
ScorePerformance evaluation score averages from historical performance data.
Quality score for similar work from performance database. 1.2 6 7.2Schedule score from performance database. 0.1 3 0.3
Responsiveness score from performance database. 1.1 1 1.1Evaluation of the team's personnel and equipment to perform the project on time.
Availability of more than adequate capacity that results in added value to INDOT. 1Adequate capacity to meet the schedule. 0
Insufficient available capacity to meet the schedule. -3Technical expertise: Unique Resources that yield a relevant added value or efficiency to the deliverable.
Demonstrated outstanding expertise and resources identified for required services for value added benefit. 2
Demonstrated high level of expertise and resources identified for required services for value added benefit. 1Expertise and resources at appropriate level. 0
Insufficient expertise and/or resources. -3Predicted ability to manage the project, based on: experience in size,complexity, type, subs, documentation skills.
Demonstrated outstanding experience in similar type and complexity. 2Demonstrated high level of experience in similar type and complexity. 1
Experience in similar type and complexity shown in resume. 0Experience in different type or lower complexity. -1
Insufficient experience. -3Project Understanding and Innovation that provides cost and/or time savings.
1High level of understanding and viable innovative ideas proposed. 2High level of understanding of the project. 1
Basic understanding of the project. 0Lack of project understanding. -3
Location of assigned staff office relative to project.Within 50 mi. 151 to 150 mi. 0
151 to 500 mi. -1Greater than 500 mi. -2
63.6
Signature:
Print Name:
Title:
0 5 0
Location
Team's Demonstrated Qualifications
RFP Selection Rating for __________________________________ Des. No. ____________
Approach to Project
2
Consultant Name: _________________________ Services Description: __________________________
1
200
1
Project Manager
Past Performance
15 30
15 15
10 10
0
Capacity of Team to do Work
Weighted Sub-Total:
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.
_______________________________
_______________________________
_______________________________
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Rating Sheet CertificationIt 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:_________
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Ranking Tabulation Form
Consultants Bob Smith
Ran
k Becky Jones R
ank Richard
Williams Ran
k Henry Robinson R
ank Member 5
Name Ran
k Rank Totals
Firm Ranking
A Engineers, Inc. 80 1 70 2 80 1 80 1 5 1E Architects & Engineers 80 1 70 2 60 2 70 2 7 2C and Associates 70 3 80 1 60 2 60 3 9 3B Consultants 40 4 40 5 50 4 30 4 17 4D Consulting Engineers 30 5 50 4 40 5 30 4 18 5
0000000
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LPA Selection Review Checklist
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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)_________.
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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.
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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
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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 firm53
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.
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Scoping Meeting
Communicate project expectations
Answer questions
Set due date and requirements for proposal package
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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.
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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.
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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.
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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.
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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.
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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
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LPA – Consulting Contract 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
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Proposal Package Scope of Work formatted for
contract Fee Proposal
Detailed person-hour breakdown by task
Overhead rateProfit rateComputation of total costs
Overhead Rate Documentation63
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
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Contract Review Checklist
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Submit Draft Contract for INDOT Review Signed LPA-Consultant Contract Review Checklist
Contract Review Checklisthttp://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.
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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
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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.
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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
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PLAN PREPARATIONChapter 9
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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. (ERMS – Electronic Reporting Management
System)71
SECTION V TERM AND SCHEDULESECTION V TERM 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.
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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.
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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
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Design CriteriaProjects 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
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Conformance: Level 1 Design Exception Criteria
1. Design Speed 2. Lane Width3. Shoulder Width 4. Bridge Width 5. Structural Capacity6. Horizontal Curvature 7. Superelevation
Transition
8. Stopping Sight Distance
9. Maximum Grade 10. Travel Lane Cross
Slope11. Superelevation Rate12. Minimum Vertical
Clearance 13. American Disabilities
Act (ADA)14. Bridge Railing Safety
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Plans Preparation ProcessSTEP 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
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Plans Preparation ProcessSTEP 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
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Plans Preparation ProcessSTEP 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
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Alternate Pavement BidAlternate Pavement Designs are required
for: New pavement Pavement replacement Major rehabilitation with mainline
pavement more than 10,000 yd²Life Cycle Cost Analysis (LCCA)
If within a 10% Cost difference, then an Alternative Pavement Bid is required.
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Plans Preparation Process
STEP 6:PROPRIETARY MATERIALS
Single source materials Approval must be obtained for FHWA to
participate in cost
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Plans Preparation ProcessSTEP 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 items100% Local funds
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Plans Preparation ProcessSTEP 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
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Plans Preparation ProcessSTEP 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
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The Design FileAll 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
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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)
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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.)
ADAAG - American Disabilities Act Accessibility Guidelines Handout Provided on Detectable Warning SurfacesPROWAG - Public Right of Way Accessibility Guidelines 87
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.
89
Environmental Document TypesCategorical 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 LevelsCE-4
Federal Involvement – Section 106 of NHPA, Section 4(f) of DOT Act, Section 7 of ESA, Impacts to Ground Water
90
CE Level ThresholdsCE 1 CE 2 CE 3 CE 4
Relocations None ≤ 2 > 2 > 10Right of Way1 < 0.5 acre < 10 acres ≥ 10 acres ≥ 10 acresLength of added through lane None < 1 mile ≥ 1 mile ≥ 1 mile
Permanent Traffic pattern alteration None None Yes Yes
New alignment None None < 1 mile ≥ 1 mile2
Wetlands < 0.1 acre < 1 acre < 1 acre ≥ 1 mile
Stream Impacts≤ 300 linear feet of stream
impacts, no work beyond 75 feet from pavement
> 300 linear feet impacts or work
beyond 75 feet from pavement
> 1 acre > 1 acre
Section 4(f) None None None Any ImpactsSection 6(f) None None Any Impacts Any Impacts
Section 106*
“No Historic Properties Affected” or falls within
guidelines of Minor Projects PA
“No Adverse Effect” or “Adverse Effect” N/A If ACHP involved or
Historic Bridge
Noise Analysis Required No No Yes3 Yes3
Threatened/Endangered Species
“No likely to Adversely Effect” or falls within
USFWS 9/8/93 Programmatic Response
N/A N/A “Likely to Adversely Affect”5
Sole Source Aquifer Groundwater Assessment
Detailed Assessment Not Required
Detailed Assessment Not Required
Detailed Assessment Not Required
Detailed Assessment Required
91
Typical Completion TimesLevel of CE Average Completion
TimeProgrammatic CECE Level 1
~1 Day 6-8 Weeks
CE Level 2 4-6 Months
CE Level 3 5-8 Months
CE Level 4 6-12 Months
EA/FONSI and EIS 12-36 Months
92
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
CE - Categorical Exclusion 94
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.
Environmental Early Coordination
95
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
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
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
Cultural Resources
98
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.
Cultural Resources
99
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.
Cultural Resources
100
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.
Threatened and Endangered Species
101
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
Noise Analysis
102
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.
Hazardous Waste and Regulated Substances
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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.
Summary of Commitments
104
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
Public Involvement
105
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.
Public Involvement
106
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.
Public Involvement
107
Once public involvement is completed, submit updated environmental document to the district for approval.
Larger projects require additional signatories:CE-1 INDOT DistrictCE-2 INDOT DistrictCE-3 INDOT District and Central OfficeCE-4 INDOT District, Central Office and Federal Highway
Environmental Document Approval
108
Common Causes Of DelayProject not in the TIP or STIPUnforeseen 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 consumingFailure to plan for permitting timeframe
Mitigation required prior or with project to obtain permit
Off-site mitigation often requires it’s own CE109
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.
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Lunch Break
111
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
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
114
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.) 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
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)
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
118
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)
Managing Risk: Monitoring Accurate Placement (contd)
119
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.
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Utility Coordination Steps2. 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. SurveySurvey is done using information
gathered to make sure all utility facilities are picked up.
Watch out for unknown underground and overhead utilities.
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Utility Coordination Steps4. 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 PlansLetter along with plans are sent for utility
review. Gives utilities a chance to point out conflicts and possible solutions to avoidrelocations. (30 days minor/60 days major)
123
Utility Coordination Steps6. 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.
124
Utility Coordination Steps7. 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
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)
Utility Coordination Steps
126
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.
128
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
Railroad Coordination
130
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
Railroad Coordination ActivitiesPreliminary 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
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
Railroad Coordination Activities
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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 8-23-5-2FHWA 23 CFR 646.214
IC – Indiana CodeCFR - Code of Federal Regulations
134
Resource People – RR and UtilityCentral Office Crawfordsville
Utility/RR Utility and Railroad Kenny Franklin George Moffat (317) 232-5007 (765) 361-5271 [email protected] [email protected]
Utility Fort Wayne Joe Gundersen Utility (317) 234-5199 Chuck Carson [email protected] (260) 399-7329
[email protected] Railroad Tom Rueschhoff Railroad(317) 233-2065 Tom Imbimbo [email protected] (260) 969-8292
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Resource People - RR & UtilityGreenfield Seymour
Utility UtilityLavon Marshall Matt Harding(317) 467-3475 (812) [email protected] [email protected]
Railroad RailroadMichelle Loveall Tom Dunbar(317) 467-3438 (812) [email protected] [email protected]
LaPorte VincennesUtility and Railroad Utility and RailroadKen MartinShawn Will(219) 325-7441 (812) [email protected] [email protected]
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LAND ACQUISITIONChapter 11
137
Legal ReferencesImportance 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 Assurance Letter
49 CFR 24.4Land Acquisition (Right-of-Way) Management
23 CFR Part 710Title 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
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 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
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 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 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 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
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
What does “Right of Way Clear” mean in the Certification letter?
Discussion Questions
147
What is the difference between: 1) Right of Way Engineering2) Right of Way Services
Discussion Questions
148
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?
Quality Control
149
Buyer’s ReportsWhat kind of information should be included in the Contact log between the buyer and property owner?
Discussion Questions - Quality
150
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?
Discussion Questions - Condemnation
151
Commitment Data Base –
What information must be communicated to the Designer and the PM?
Discussion Questions
152
PREPARATION FOR LETTING
Chapter 12
153
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
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
155
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.
Funding Breakdown Utility Information
Contract Description Permits
Right-of-Way Certification
Materials Approvals
Environmental Information
Other Project Information
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
157
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
CONSTRUCTION INSPECTION/CONSTRUCTION ENGINEERING
Chapter 14
159
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 prior to 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 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 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 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, are not eligible for federal reimbursement.
163
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 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) 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/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 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 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
LETTING
Chapter 13
170
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
http://www.in.gov/dot/div/contracts/letting/index.html
172
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 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 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 ReadINDOT 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)Credits are allowed for certain LPA projects awarded prior to April 29, 2009Credits: 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 (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 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 Proof Advertisement Issued Revisions Bid Analysis Concurrence of Awards Official Awards Notice to Proceed (NTP) to LPA &
Consultant NTP Letter to Contractor
180
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
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
PS&E Approval DBE Interest Report CIB Certification Construction Inspection Notice to Proceed
183
CONSTRUCTIONChapter 14
184
“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 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
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 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 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 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 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-730191
Questions?EvaluationsThank you
192