Local Public Agency LPA Basic Certification Training 11

Local Public Agency (LPA) Basic Certification Training 11 -07 -2013 1

LPA Guidance Document § A Living Document § Provides links to References and Resource People § Defines the Process for: § Project Development § Letting § Construction 2

LPA Guidance Document § Critical Elements § Fatal Flaws § Documentable Proof 3

Resources INDOT Central Office: Kathy Eaton-Mc. Kalip, Director LPA & Grants Administration Indiana Department of Transportation 100 North Senate Avenue, Room N 955 Indianapolis, Indiana 46204 317 -234 -5142 kaeaton-mckalip@indot. in. gov LPA Certification Training VACANT LPA Policy Coordinator (317) 234 -7930 4

District Local Program Directors 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 Fort Wayne District Office David Armstrong Phone: (260) 969 -8277 Email: darmstrong@indot. in. gov La. Porte District Office Marcia Blansett Phone: (219) 325 -7564 Email: mblansett@indot. in. gov Seymour District Office Debra Ault Phone: (812) 524 -3969 Email: dault@indot. in. gov Vincennes District Office Jaclyn Schmitt Phone: (812) 895 -7393 Email: jschmitt@indot. in. gov 5

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

PROGRAM INTRODUCTION CHAPTER ONE 7

ROLES AND RESPONSIBILITIES 8

Federal Highway Administration (FHWA) n FHWA – Responsible for ensuring adequate and proper delivery of federal-aid projects. 9

Indiana Department of Transportation (INDOT) n 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) n LPA: a. Must have a certified Employee in Responsible Charge (ERC) before applying for federal-aid funds for a project. ü The ERC role cannot be filled by a consultant or a contract employee hired by the LPA. ü The ERC must be an employee of the LPA. ü 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 12

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 prequalified consultant list. 14

METROPOLITAN PLANNING ORGANIZATION (MPO) COORDINATION Chapter Six 15

Metropolitan Planning Organization (MPO) What is a MPO? 16

Transportation Improvement Program (TIP) What is a TIP? 17

Statewide Transportation Improvement Program (STIP) What is a STIP? 18

MPO Coordination http: //indianampo. com/PDF/MPOs. p df 19

Understanding MPOs Metropolitan Planning Organization (MPO) Maps showing the urban area boundary for each MPO: http: //dotmaps. indot. in. gov/apps/Planning. Data. Viewer/FC_Maps/FC_listing. asp 20

MPO Coordination n n 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 bidirectional. MPO_INDOT Cooperative Operations Manual www. in. gov/indot/files/LPA_MPOManual. pdf Indiana MPO Council Website www. indianampo. com 21

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. 22

PROJECT PROGRAMMING CHAPTER FIVE 23

Early Coordination Meeting Early Coordination meeting n Project Development Process n Consultant Selection Process n LPA-Consulting Contract n INDOT-LPA Contract n Funding phases n Environmental Process n Right-of-Way Acquisition Process n Schedule and Budget n Responsibilities of the Local Public Agency 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 25

INDOT-LPA Contract – Contract Terms INDOT-LPA Contract Terms: n n Funding Window LPA’s responsibilities INDOT’s responsibilities Maximum amount of federal funds, including credits, for the project. 26

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 (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 (cont. ) Executed INDOT-LPA Contract returned to District Local Program Director n Executed contract must be returned within 6 months of receipt of contract 29

INDOT-LPA Contract Signature process of the INDOT-LPA Contract: n 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. 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. 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. 32

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 What is the most important thing to remember before beginning work on a project phase? 34

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 LPAConsulting Contracts) 35

CONSULTANT CONTRACTING Chapter 7 36

Consultant Contracting Topics covered in this chapter include: n n n Applicability and LPA Responsibilities Selection Process Contract Scoping and Negotiation Contract Administration Errors and Omissions Documentation 37

Consultant Contracting Regulations n n 23 CFR Part 172 – “Administration of Engineering and Design Related Services Contracts” Title 40 USC, Chapter 10, Subchapter VI “Brooks Act” – Qualifications Based Selection 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. 39

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). 40

LPA Consultant Selection Toolkit http: //www. in. gov/dot/div/legal/rfp/LPARFP/LPAConsultant. Selection. Toolkit. pdf Links to all relevant documents are included in this Toolkit!!! n Prepare RFP n Request Past Performance Data and Verify Prequalification n Scoring n Ties and DBE Verification n LPA Selection Review Checklist n INDOT Selection Process Approval 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/dbegoalrequestform. htm Email: DBEGoal. Request@indot. in. gov 42

RFP Advertisement n Submit RFP to INDOT District n INDOT posts RFP to website n LPA may also post locally n LPA receives Letter of Interest (LOI) n Minimum of 3 responses 43

RFP Responses Received n LPA requests past performance scores from district n LPA verifies prequalification requirements met n LPA rates firms and ranks n n LPA submits Affirmative Action Certification Form of top ranked firm to EOD for approval LPA Selection Review Checklist 44

Verify Prequalification Requirements ! Verify INDOT Pre-qualification of firms who submitted Lo. Is Prequalification information: http: //www. in. gov/indot/2732. htm n The Prime Consultant is not required to be prequalified 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. 45

Selection Rating Sheet 46

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 49 CFR 18. 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: _____ 47

Ranking Tabulation Form 48

LPA Selection Review Checklist 49

Selection Review Checklist – 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)_____. 50

Selection Review Checklist – Score Sheets n n n 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 n n n (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. 51

Selection Review Checklist - Tabulation Sheet n n 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. ) n The highest ranked team (Lead & Sub firms) is prequalified to perform all work types listed in the RFP. 52

Approval of Consultant Selection n n 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: n Advertised RFP n DBE Goal set email at ___ % n DBE Goal met email from EOD n Past Performance Data as provided by INDOT n Scoring Tabulation Sheet and Score Sheets n Affirmative Action Certification Form for the top ranked firm 53

Approval of Consultant Selection n 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 55

Contract Compensation Methods n 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

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

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

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

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” LPAConsulting 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 61

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 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 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_Proposals. Contracts _Escalation. Rates. pdf § Review profit rate § See INDOT Profit Rate Matrix - http: //www. in. gov/indot/files/Profit. Matrix. pdf 64

Contract Review Checklist 65

Submit Draft Contract for INDOT Review § Signed LPA-Consultant Contract Review Checklist http: //www. in. gov/dot/div/legal/rfp/LPARFP/LPA-Consultant. Contract. Review. Checklist. 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. 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 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. 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 § § § 69

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. (ERMS – Electronic Reporting Management System) 71

SECTION 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. 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. 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 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 75

Conformance: Level 1 Design Exception Criteria 1. Design Speed 2. Lane Width 3. Shoulder Width 4. Bridge Width 5. Structural Capacity 6. Horizontal Curvature 7. Superelevation Transition 8. 9. 10. 11. 12. Stopping Sight Distance Maximum Grade Travel Lane Cross Slope Superelevation Rate Minimum Vertical Clearance 13. American Disabilities Act (ADA) 14. Bridge Railing Safety 76

Plans Preparation Process STEP 1: FIELD SURVEY n n n Required on almost all projects Gather data on existing topography Initial utility survey STEP 2: HYDRAULIC DESIGN APPROVAL n n n Drainage system adequacy Water quality Waterway opening for bridges 77

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 Process 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 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. 80

Plans Preparation Process STEP 6: PROPRIETARY MATERIALS n Single source materials n Approval must be obtained for FHWA to participate in cost 81

Plans Preparation Process STEP 7: UNIQUE PAY ITEMS AND SPECIAL PROVISIONS n Must be approved prior to Stage 3 Review Submission and reviewed by Estimates Manager and Specification Engineer Non-participating items 100% Local funds 82

Plans Preparation Process STEP 8: STAGE 3 SUBMISSION REVIEW n Submitted at least 75 days prior to RFC date n 30 day review period n n Reviewed for conformance with IDM and for Fatal Flaws Reviewer comments must be addressed 83

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 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) 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: n Not achieve the intended goal of accessibility n 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 Surfaces PROWAG - Public Right of Way Accessibility Guidelines 87

ENVIRONMENTAL PROCESSING/PERMITTING Chapter 8 88

Introduction n n 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. n n 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 Types Categorical Exclusions (CE) Programmatic CE n Minor Projects, No Permits Needed, No R/W, Uses Section 106 MPPA CE-1 n Minor Projects, <0. 5 acre R/W, No Substantial Impacts, Water Impacts Not Likely to Need Mitigation. CE-2 n <10 acres R/W, Minor Impacts to Historical Resources, Water Impacts Will Likely Need Mitigation. CE-3 n >10 acres R/W, Substantial Changes to Existing Roads or Noise Levels CE-4 n Federal Involvement – Section 106 of NHPA, Section 4(f) of DOT Act, Section 7 of ESA, Impacts to Ground Water 90

CE Level Thresholds CE 1 None < 0. 5 acre CE 2 ≤ 2 < 10 acres CE 3 >2 ≥ 10 acres CE 4 > 10 ≥ 10 acres Length of added through lane None < 1 mile ≥ 1 mile Permanent Traffic pattern alteration None Yes New alignment Wetlands None < 0. 1 acre < 1 mile < 1 acre ≥ 1 mile 2 ≥ 1 mile Stream Impacts ≤ 300 linear feet of stream impacts, no work beyond 75 feet from pavement > 1 acre None Any Impacts Relocations Right of Way 1 Section 4(f) None < 1 acre > 300 linear feet impacts or work beyond 75 feet from pavement None Section 6(f) None 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 Yes 3 Threatened/Endangered Species “No likely to Adversely Effect” or falls within USFWS 9/8/93 Programmatic Response N/A “Likely to Adversely Affect” 5 Sole Source Aquifer Groundwater Assessment Detailed Assessment Not Required Detailed Assessment Required 91

Typical Completion Times Level of CE Programmatic CE CE Level 1 Average Completion Time ~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) n EA’s are used to document that large projects would have impacts similar to a CE with no Significant Impacts. n 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) n 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 Approved CE CE - Categorical Exclusion 94

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

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

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

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. 99

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. 100

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

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

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

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

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

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. 106

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. 107

Environmental Document Approval Once public involvement is completed, submit updated environmental document to the district for approval. Larger projects require additional signatories: CE-1 CE-2 CE-3 CE-4 INDOT District and Central Office INDOT District, Central Office and Federal Highway 108

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 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

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 activities are handled by INDOT District Railroad Coordinators. § Determine if there is Railroad Involvement 1 § 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: n In-House n Consultant n 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: n Schedule n Project complexity n Project type (i. e. , urban, rural, design-build) n Number of utility relocations n Right of Way Space 118

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 § 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. 121

Utility Coordination Steps 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 is done using information gathered to make sure all utility facilities are picked up. Watch out for unknown underground and overhead utilities. 122

Utility Coordination Steps 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) 123

Utility Coordination Steps 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. 124

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 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 § 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? n n 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 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

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 IC – Indiana Code CFR - Code of Federal Regulations 134

Resource People – RR and Utility Central Office Utility/RR Kenny Franklin (317) 232 -5007 kfranklin@indot. in. gov Crawfordsville Utility Fort Wayne Joe Gundersen (317) 234 -5199 jgundersen@indot. in. gov Utility and Railroad George Moffat (765) 361 -5271 gmoffat@indot. in. gov Railroad Tom Rueschhoff (317) 233 -2065 trueschhoff@indot. in. gov Chuck Carson (260) 399 -7329 ccarson@indot. in. gov Railroad Tom Imbimbo (260) 969 -8292 timbimbo@indot. in. gov 135

Resource People - RR & Utility Greenfield Seymour Utility Lavon Marshall (317) 467 -3475 lmarsh@indot. in. gov Matt Harding (812) 524 -3972 maharding@indot. in. gov Railroad Michelle Loveall (317) 467 -3438 mloveall@indot. in. gov Tom Dunbar (812) 524 -3954 tdunbar@indot. in. gov La. Porte Utility and Railroad Ken Martin (219) 325 -7441 kmartin@indot. in. gov Vincennes Utility and Railroad Shawn Will (812) 895 -7358 shwill@indot. in. gov 136

LAND ACQUISITION Chapter 11 137

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 § 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

Land Acquisition Process Steps § 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 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

Discussion Questions What does “Right of Way Clear” mean in the Certification letter? 147

Discussion Questions What is the difference between: 1) Right of Way Engineering 2) Right of Way Services 148

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

Discussion Questions - Quality Buyer’s Reports What kind of information should be included in the Contact log between the buyer and property owner? 150

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

Discussion Questions Commitment Data Base – What information must be communicated to the Designer and the PM? 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: § Funding Breakdown § Utility Information § Contract Description § Permits § Right-of-Way Certification § Materials Approvals § Environmental Information § Other Project Information § 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 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 n n 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. n n n 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) n n 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 Site. Manager 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 n n 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 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) 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-ofway 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

CONSTRUCTION Chapter 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-730 191

Questions? Evaluations Thank you 192