Welcome Local Public Agency LPA Certification Training Local

Welcome Local Public Agency (LPA) Certification Training (Local Public Agency (LPA) Certification Training Course: Version 1, 3/10/11) 1

Course Objective: This training will provide an overview of INDOT’s LPA Project Development Procedures (PDP) as defined by the INDOT LPA Process Guidance Document. The course is not intended to teach every aspect of the PDP but will provide in-depth guidance and practical instructions to LPA’s, Civil Engineers of LPA’s, Consultant Engineers, INDOT and FHWA Engineers and others on the engineering requirements needed to develop plans for the repair or replacement of Local Public Roads, Bridges and Transportation Enhancement Projects in Indiana while meeting all State and Federal-aid requirements. Full attendance at this course earns 6 C. E. U hours 2

Policy and Quality Assurance Chapters 1 and 10 3

Introduction to the Process New Philosophy New Policy New Process Overview of the Process: Project Development Process (PDP), Letting, Construction & Project Close-out LPA Process Guidance Document 4

New Philosophy / New Policy New Philosophy • Improve the Process • Empower the LPA • Reduce the Development Time New Policy • Less Review during the PDP • Complete Processes Concurrently • Empowerment with Responsibility 5

Simplified LPA Initiative PDP/Schedule Updated 7 -2 -09 6

7

Overview of the (PDP) Who’s job is it anyway? üRoles üRequirements üResponsibilities 8

Roles INDOT will no longer approve specific elements of design, right-of-way acquisition, and other components of pre-construction project delivery. Delegates this responsibility to its LPA sub-recipients. Goal to Reduce Project Development time to 24 Months. INDOT is required to administer federal transportation funds and is ultimately accountable to FHWA to validate all project elements comply with federal law and regulations. 9

Requirements l l l l INDOT administers federal funds for LPA projects LPA accepts responsibility for following federal laws and regulations LPA is financially and managerially responsible for their projects LPA must have an adequate project delivery and accounting control systems LPA projects must be approved by Indiana licensed, registered professionals LPA will develop and maintain project documentation for 5 years after project close-out (How long for Bridges? ? ) INDOT will perform a final review and an auditing program to ensure compliance 10

Responsibilities Joint LPA and CONSULTANT Conform to all requirements as laid down in INDOT’s project development and construction manuals, operating procedures, State and federal laws, regulations, and directives. Meet project submission and reporting requirements as identified in each module. Meet certification requirements. CONSULTANT Keep the LPA informed and engaged at every phase. Perform their own quality control activities. LPA Maintain project documentation and records for 5 years after project close out. Designate an Employee in Responsible Charge (ERC) of the project. This employee will be responsible for and capable of making financial and managerial decisions that affect the project. 11

INDOT Responsibilities Ø Ø Ø Facilitate the project development process by providing Central Points of Contact to the LPA and consultant starting with the Early Coordination Meeting. Perform technical reviews on project submissions when requested. Audit the process to provide validation to FHWA. Provide training and certification. Administer the Quality Assurance Committee to improve and update procedures and the Guidance Document. 12

How do you pick your ERC? Lets take a look at their responsibilities. Then you decide! 13

ERC Oversight Responsibilities Maintain Level 1 Certification Aides in the preparation of the project application Secures project funding for the Local’s share Ensures the INDOT-LPA Contract is signed by the LPA and returned to INDOT Request Early Coordination meeting Ensure your project is in the Statewide Transportation Improvement Plan Prepare Request for Proposal to select a consultant Ensures and validates that the Consultant Selection Process was correctly followed Negotiate fees with the consultant Execute the LPA-Consultant Contract Request federal funds at each project phase 14

Not done yet! 15

ERC Oversight Responsibilities - continued Helps coordinate and attends the Public Hearing if needed Coordinate the completion of the Environmental Package with your consultant Affirm that Design Documentation and Pavement Design meets INDOT Design Manual Standards Oversee Utility and Railroad relocation work Ensure that Constitutional Rights of land owners are not violated Certifies the Land Acquisition Package Certify the completeness of Final Package Submission Documents Ensure project meets ALL State and federal laws Develop and retain project documentation Complete the INDOT / MPO Quarterly Project Reports 16

Guidance Document • A Living Document • Keeps Everyone on the Same Page • Provides References and Resource People • Lays out the PDP, Letting and Construction • Defines Quality Assurance • Quality Assurance Committee 17

Table of Contents CHAPTER 1 – POLICY STATEMENT CHAPTER 2 – FLOWCHARTS CHAPTER 3 – PROJECT PROGRAMMING CHAPTER 4 – INDOT-LPA CONTRACT CHAPTER 5 – CONSULTANT CONTRACTING CHAPTER 6 – ENVIRONMENTAL PROCESSING /PERMITTING CHAPTER 7 – PLAN PREPARATION CHAPTER 8 – UTILITIES/RAILROAD COORDINATION CHAPTER 9 – LAND ACQUISITION CHAPTER 10 – QUALITY ASSURANCE AND AUDIT REVIEW PROCEDURES CHAPTER 11 – PREPARATION FOR LETTING CHAPTER 12 - LETTING CHAPTER 13 - CONSTRUCTION & PROJECT CLOSE-OUT 18

Quality Assurance Reviews during Project Development There are specific project development activities and approvals, dictated by federal regulations, that must be conducted prior to the approval of federal funds. Project Reviews at Final Package Submission At the time the project is submitted by the LPA for final review INDOT will complete any final reviews needed, verify supporting documents and development certifications, and ensure all approvals are included. Audit Reviews Verify the process works and that all State and federal laws have been met. 19

What gets Reviewed? üCritical Elements - Any review item used to verify State and federal laws, regulations and directives have been met. üChecklist Reviews - Use checklists provided in chapter appendices to verify all the required actions have been completed. üPermits - Verify all necessary permits have been obtained. üFatal Flaw Review - Fatal Flaw - a violation of any State or federal law, or any action that compromises safety, rights of motoring public, and rights of property owners. 20

Remedies for Correcting Critical Element and Fatal Flaw Errors ü If the project has not passed a review, the District LPA Primary Contact will provide the LPA and their consultant with a detailed list of the required corrective measures. ü The LPA and their consultant will be required to address these issues before the project will be cleared for federal funding. ü The LPA may need to provide additional documentation verifying the corrective measures have been completed. ü If an additional review of the documentation is required, the District LPA Primary Contact will coordinate the review with the appropriate INDOT section. 21

Quality Assurance Committee Updates Guidance Document Conducts Project Development Training Monitors Certification Level 1 (Training) • Required for the LPA’s ERC to apply for a federal-aid project. • Required for the Prime Consultant Project Manager. (Not required of Sub-Consultants or ARRA projects) Level 2 (Reduced Review) • Required for the LPA and Consulting Firm to Qualify for future reviews conducted on a sample basis. 22

Certification - Level 1 (Training) - - - LPA - - - Ø LPA must designate an Employee in Responsible Charge of the project. Ø The employee in responsible charge must attend LPA Project Development Training prior to the time the LPA is approved for federal funds and must attend training a minimum of once every two years while the LPA has an active project. - - - Consultant - - - Ø The consulting firm must be on INDOT’s pre-qualified consultant list. Ø Consultant Project Managers must attend LPA Project Development Training and must attend training a minimum of once every two years while they are managing active LPA projects. 23

Policy and Quality Assurance Chapters 1 and 10 QUESTIONS? 24

Project Programming Getting funds and programming the project Chapter 3 25

Funding Options Surface Transportation l l Group I Cities: Population ≥ 200, 000 Group II Cities: 50, 000 ≥ Population < 200, 000 Group III Cities and Towns: 5, 000 ≥ Population < 50, 000 (outside urbanized area) Group IV Towns and Counties: Population < 5, 000 and ALL Counties (outside urbanized area) Local Transportation Enhancement Local Bridge National Historic Covered Bridge Safe Routes to School (SRTS) Highway Safety Improvement/High Risk Rural Roads (HSIP/HRRR) Indiana Byway Program 26

Understanding MPOs Metropolitan Planning Organization (MPO): Maps showing the urban area boundary for each MPO: http: //documents. indot. in. gov/apps/uab 27

Who’s Eligible? Group I and II – MPOs (within urbanized area) Group III and IV – only outside urbanized area Local Transportation Enhancement – Group I, III, and IV Local Bridge – Counties (outside urbanized area only) National Historic Covered Bridge – FHWA program Safe Routes to School - All Highway Safety Improvement/High Risk Rural Roads - All Indiana Byway Program – FHWA program Call for projects web site: http: //www. in. gov/indot/div/projects/LPASection/ 28

Project Selection INDOT districts select: l Group III, IV, Local Bridge and Local Transportation Enhancement Metropolitan Planning Organizations (MPOs) select: l Group I, II, Local Transportation Enhancement, and Highway Safety Improvement Program Other methods of selection for • Safe Routes to School, Safety, National Historic Covered bridge, etc… In all cases, good communication between all stakeholders is critical. • Air Quality non-attainment area • Jackson & Greene County’s Air Quality Conformity Determination must be made by INDOT. 29

So you got funds – now what? Early Coordination Meeting (request by local agency) l Funding phases l INDOT-LPA Contract l Consultant Selection Process Environmental Process Project Development Process Right of Way Acquisition Process Schedule and Budget l Responsibilities of the Local Agency l l 30

I have to TIP? What? TIP – Transportation Improvement Plan STIP– Statewide Transportation Improvement Plan If the project is within the Metropolitan Planning Area: l Project must have TIP approval from the MPO For all projects: l Project must have STIP approval from FHWA Note: Des # - INDOT’s Project Identification Number 31

FMIS Authorization l EVERY PROJECT AND PHASE MUST HAVE FMIS AUTHORIZATION (Financial Management Information System for FHWA) Note: The authorization date is the date that the local agency can begin incurring expenses. The local agency must have returned a signed INDOTLPA Contract. A purchase order will not be issued until a fully executed INDOT-LPA Contract is in place 32

33

Critical Elements Ø Ø Eligible Air Quality Conformity Determination l (non-attainment and maintenance) Ø TIP/STIP Ø Consultant Selection Ø Ø FMIS Authorization INDOT-LPA Contract 34

Documentation Requirements Level 1 Certification of LPA Project Application Air Quality Conformity (non-attainment and maintenance areas) Eligibility Verification Form (Group III, IV, Local Bridge, and TE) TIP/STIP Approval FMIS Authorization Quarterly Reports – Group III, IV, LB, TE, NSB, NHCB, HSIP, HRRR & SRTS (TE includes: MPO Selected TE) (National Scenic Byways, National Historic Covered Bridges, Highway Safety Improvement Program, High Risk Rural Roads, Safe Routes to School) 35

Project Programming Getting funds and programming the project Chapter 3 Questions? 36

INDOT-LPA CONTRACT Chapter 4 37

INDOT-LPA CONTRACT After project selection, INDOT will assign a Designation Number (Des. No. ) Ø Ø This number will be carried throughout the life of the project and is used for most references INDOT drafts INDOT-LPA Contract should be presented at Early Coordination meeting 38

INDOT-LPA CONTRACT Contract Terms 1. Maximum amount of federal funds, including credits, for the project. 2. Establishes the LPA’s window of opportunity for award of construction contract for the project. 3. LPA’s responsibilities. 4. INDOT’s responsibilities. 39

INDOT-LPA CONTRACT Sign Contract 1. Within 6 weeks, LPA signs and returns contract to District Local Programs Coordinator. 2. State (INDOT, Department of Administration, State Budget Agency, and Attorney General) signs contract. (Estimated time 6 weeks) 3. INDOT retains the original contract, and provides the LPA with a copy. 40

INDOT-LPA CONTRACT Eligible Costs Work is eligible for federal funds or credits for a phase (preliminary engineering, right-of-way, or construction) after FHWA authorizes (approves FMIS) federal funds for the project phase. 41

INDOT-LPA CONTRACT Potential Fatal Flaws 1. Work done before FHWA authorizes federal funds for the project phase will NOT be eligible for federal funds or credits. 2. LPA does not have the project ready such that federal funds can be obligated (authorized) within the “window of opportunity” listed in the INDOT – LPA contract for the project. 42

INDOT-LPA CONTRACT References LPA Guidance Document Resource Persons INDOT District Local Programs Coordinator INDOT Central Office Contract Specialist 43

INDOT-LPA CONTRACT Chapter 4 Questions? 44

CONSULTANT CONTRACTING Chapter 5 45

Consultant Selection Process Ø “Architectural and Engineering Firm Selection Process for Local Public Agencies” http: //www. in. gov/dot/div/legal/rfp/LPASection/information/ Consultant. Selection/Consultant%20 Selection%20 index. h tm Ø “Fatal Flaw” activity l Must have consultant selection approved to obtain FMIS authorization to begin PE 46

Consultant Selection Process Ø Qualifications Based l l l Title 40 USC, Chapter 10, Subchapter VI “Brooks Act” 23 CFR Part 172 – “Administration of Engineering and Design Related Services Contracts” Price cannot be a consideration USC - U. S. Code CFR – Code of Federal Regulations 47

Request for Proposals (RFP) Ø LPA prepares RFP l l Uses RFP template Project and scope of services descriptions Prequalification Requirements Identified Contacts Economic Opportunity Division (EOD) for DBE goal via email tmulligan@indot. in. gov l l 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 Submits to district LPA receives Letter of Interest (LOI) Minimum of 3 responses (DBE – Disadvantaged Business Enterprise) 48

Prequalification Requirements Ø Ø Ø The LPA shall utilize Option 1 from the selection process manual and choose a firm that is Prequalified with INDOT. The Primary Consultant or a Sub-Consultant must be pre-qualified for each work type category listed in the RFP. l Primary Consultant PM must be Level 1 Certified l Sub-Consultant not required to be Level 1 Certified Prequalification Information l http: //www. in. gov/indot/6813. htm 49

DBE FACTS üA Disadvantaged Business Enterprise (DBE) is a for-profit small business concern that is at least 51% owned and controlled by one or more socially and economically disadvantaged individuals üOwner is typically a minority or female and may not have a personal net worth that exceeds $750, 000 (excluding primary residence and equity interest in DBE firm) üBusiness may not have gross receipts that exceed US DOT and/or Small Business Administration limits 50

DBE Goals on RFPs Ø Ø Governed by Federal regulations, 49 CFR Part 26 Specifically for transportation-related contracts that contain federal funds M/WBE Programs cannot apply if federal dollars are used DBE goals are set by INDOT and are contract specific M/WBE – Minority/Women Business Enterprise 51

Evaluation of Proposals l l l l LPA requests past performance scores from district LPA confirms prequalification Prescreening problems must be in RFP LPA rates firms and ranks LPA submits Affirmative Action Certification Form of top ranked firm to EOD for approval LPA submits all information to district District reviews checklist and approves 52

Selection Rating Sheet 53

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: _____ 54

Ranking Tabulation Form 55

Selection Review Checklist Documentation Required: q Request for Proposal (RFP) Advertisement q Scoring Tabulation Form and Score Sheets q DBE Goal Set e-mail - at % q Affirmative Action Certification Form q DBE Goal Met e-mail, if applicable q Past Performance Data as provided by INDOT, if applicable General Information: Ø Number of Letters of Interest received __, if less than 3 attach documentation of recruitment efforts. Ø Ø Number of teams who did not meet prequalification requirements. Explain why firms did not meet qualifications. ___________________________ Was pre-screening used in the selection process (Yes)(No)______. If yes, what process was used? 56

Selection Review Checklist (Cont’d) Score Sheets q The scorers used the same score sheet as was advertised in the RFP. q All Scorers have scored all firms that met prequalification requirements. q All scorers used the values from the “Scale” column to populate the “Score” column. q The Location rating for the same firm has the same value applied on every score sheet. q Past Performance is applied consistently (Only applicable if Past Performance is required) N/A q The calculations for each section & the weighted sub-totals are correct. q The Signature and Date of Scorer is on each score sheet. 57

Selection Review Checklist (Cont’d) Tabulation Sheet q The Signature of Scoring Team Leader and Date are on Tabulation Sheet. q All qualified firms are listed on the form. q The total scores at the bottom of each individual score sheet were correctly reflected on the Tabulation Form. q Highest ranked lead firm is INDOT prequalified. (Applicable when INDOT Prequalification is required in RFP. ) q The highest ranked team (Lead & Sub firms) is prequalified to perform all work types listed in the RFP. 58

Consultant Contract Negotiation Ø Ø LPA negotiates fees as defined in Scope of Work Consultant prepares LPA-Consultant Contract l Ø Ø Ø This shall be the boilerplate as posted on the web LPA executes contract LPA forwards contract to district District updates SPMS with Contract information The LPA is required to make a FMIS request for each phase of the project, i. e. preliminary engineering, environment, right-of-way, and construction CO-LCM modifies FMIS request if necessary to match contract Once FMIS authorization is complete district notifies LPA and LPA may issue Notice to Proceed to Consultant (LPA may issue prior to authorization but expenses will NOT be eligible) 59

LPA-Consultant Contract Ø Ø Ø “Boilerplate” Contract LPA and Consultant MUST use this contract to be eligible for consultant expenses Project specific issues can be addressed within these contracts by amending the appropriate Appendices. 60

Consultant Contracts Ø LPA is required to administer contract in accordance with INDOT and FHWA approved written procedures. Ø Execution of the contract is the responsibility of the LPA. 61

CONSULTANT CONTRACTING Critical Elements Ø Advertised RFP l Include Project Elements Ø DBE Goal Ø Pre-qualified Consultant and/or Team Ø Proper Scoring and Ranking Ø Boilerplate LPA-Consultant Contract 62

CONSULTANT CONTRACTING Chapter 5 Questions? 63

Environmental Processing / Permitting Chapter 6 64

Introduction Chapter 6 describes the procedures of the environmental process for LPA projects that differ from the process for INDOT projects……… - and –. . emphasizes the need for the LPA / Consultant to be responsible to ensure that the environmental document and approval covers all of the applicable federal regulatory requirements and is consistent with the plans. 65

Chapter Development Activities 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. 66

Environmental Document Types ► Categorical Exclusions CE-1 CE-2 CE-3 CE-4 ► Environmental Assessments (EA) EA / FONSI (Finding of No Significant Impact) ► Environmental Impact Statements (EIS) 67

Process Steps ► Notice to Proceed ► Environmental Early Coordination ► Additional Studies ► Submittal to INDOT ► Draft CE release for Public Involvement ► Approved CE 68

Environmental Early Coordination ► Project details are sent to resource Agencies for feedback. This is known as early coordination. ► 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 Communication 69

Cultural Resources ►Includes review for archaeological sites and above-ground resources. ►Use of a Qualified Professional is required - a listing is available on DNR’s website. 70

Cultural Resources ►Assessments by Qualified Professionals are reviewed by INDOT/FHWA and a “finding” is issued: No Historic Properties Affected No Adverse Effect ►Multiple mandatory review periods by stakeholders. 71

Cultural Resources ►Submittals may be combined to save time: 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. 72

Threatened and Endangered Species ► Most projects require informal consultation with resource agencies. ►Agencies often request project changes based on anticipated permit conditions. ►If agency response is “Likely to adversely affect” any federally listed species or critical habitat, contact INDOT to begin formal consultation. 73

Karst ►Special geological features found in the south-central part of Indiana- special protection is required. ► INDOT/FHWA have an agreement to manage projects in the area, but LPAs are not signatories. ► LPAs are not bound by the agreement’s requirement, but must still identify features and ensure they are protected. 74

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 no longer approves LPA barrier decisions. 75

Hazardous Waste and Regulated Substances ► Multiple types: Red Flag Survey Phase II ► INDOT reviews Red Flag Survey for technical adequacy at environmental document submittal stage, but does not approve. 76

Permits ► LPA / Consultant responsible for their own permits, as well as any required technical studies. ► All required permits must be inhand prior to Final Package Submission. 77

Summary of Commitments ► The INDOT process to track project Commitments must be followed by LPAs/consultant as well. ► The required method is submittal of 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. 78

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 may not be approved until completion of Public Involvement activities. 79

80

Public Involvement ► The LPA / Consultant is responsible for the preparation and submittal of the legal notice to the newspaper. ► Notification of the public hearing date is required to be made with the Public Hearings Section, INDOT Central Office. ► A checklist is included to assist the LPA / Consultant in completing the public hearing requirements. 81

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 District Central Office Federal Highway 82

Typical Completion Times Level of CE Average Completion Time CE Level 1 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 83

Critical Elements Critical elements for success: ► Start with a good scope. ► Coordinate with all key agencies. ► Provide adequate information in early coordination. ► Allow adequate time for resources investigations and reviews (especially cultural resources). 84

Potential Fatal Flaws Common causes of delay: ► Project not in the TIP/STIP ► Unforeseen adverse effects ► Environmental document does not match the plans ► Failure to plan for permitting timeframes 85

Additional Documentation 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 86

Checklist Review The following checklists are included in Chapter 6 appendix: ► Public Hearing Checklist ► Environmental Consultation Form 87

References and Resource People Ben Lawrence, Environmental Policy Manager Laura Hilden, Environmental Services Director Staffan Peterson, Cultural Resources Manager Nathan Saxe, Ecology and Permitting Manager Environmental Services INDOT, Room 642 100 N. Senate Indianapolis, IN 46204 Environmental Services Webpage: http: //www. in. gov/indot/7287. htm 88

District Environmental Scoping Managers Mike Eubank Environmental Scoping Manager INDOT – Crawfordsville District Office 41 W 300 N Crawfordsville, IN 47933 Mike Miltz Environmental Scoping Manager INDOT - La. Porte District Office PO Box 429 La. Porte, IN 46350 Aaron Lawson Acting Environmental Scoping Manager INDOT – Greenfield District Office 32 S Broadway Street Greenfield, IN 46140 -2247 89

Environmental Scoping Managers (cont. ) Jason Kaiser Environmental Scoping Manager INDOT – Fort Wayne District Office 5333 Hatfield Road Fort Wayne, IN 46808 David Dye Environmental Scoping manager INDOT – Seymour District Office 185 Agrico Lane Seymour, IN 47274 Brittney Smith Acting Environmental Scoping Manager INDOT – Vincennes District Office 3536 US 41 South Vincennes, IN 47591 90

Public Hearings Section Rickie Clark Public Hearings Manager INDOT, Government Center, Room N 642 Indianapolis, IN 46204 INDOT Public Involvement Procedures http: //www. fhwa. dot. gov/indiv/pinvproc. htm#_Toc 519050479 91

Environmental Processing / Permitting Chapter 6 Questions? 92

Plan Preparation Chapter 7 93

Project Development & Design Introduction Ø Ø Ø Emphasizes the design and QC/QA responsibility of the LPA and Design Consultant. Lays out the Plan Development Process Establishes the design criteria to be followed. Establishes the review process Defines roles and responsibilities 94

Design and QC/QA Responsibility of the LPA and Design Consultant • The LPA and its consultant will be responsible for the preparation of; a) all plan sheets, b) design computations, c) quantity computations, d) contract documents, e) engineer’s estimate, f) and other pertinent project documents necessary to certify the project is ready for construction. • The LPA and its consultant are responsible for quality control and quality assurance with detailed documentation. • INDOT is not approving the plans, just an added resource for quality.

Plan Development Process This chapter establishes the plan development process for federal-aid LPA projects. This includes; 1) 2) 3) 4) 5) 6) 7) Field survey Road Plans Bridge Plans Trail Plans Traffic Plans Pavement Design Geotechnical analysis

Plan Development • • Projects must be designed using the IDM. Plans are to be developed using Chapter 14. Design Exceptions, refer to Chapter 40 Stage 1 plans (required only if Level 1 design exception is needed) Stage 2 plans (optional on all projects) Stage 3 plans (required for all projects), must be submitted 45 days prior to RFC. Projects will be reviewed in the order they are received. Review time is 30 days or less

Legal Requirements 23 USC 106(g)(4) Responsibility of the states (A) In general – the states shall be responsible for determining that sub-recipients of Federal funds under this title have (i) Adequate project delivery systems for projects under this section 23 CFR 625 Part – Design Standards for Highways Supplement to 23 CFR 625 Application of Design Standards, Uniform Federal Accessibility Standards, and Bridges

Design Criteria to be followed Ø Indiana Design Manual a) Standard Drawings b) Standard Specifications c) Recurring Special Provisions d) Design Memorandums e) Special Provision Technical Advisories Ø Ø MUTCD (Manual on Unified Traffic Control Devices) If there is no information found in the above references, then the appropriate FHWA or AASHTO guidance material should be used. 99

Review Process Ø Projects fall into two basic categories: 1) Projects that meet all Level 1 Design Criteria (Stage 3 Final Plan submissions will be reviewed for Level 1 conformance. ) 2) Projects that do not meet all require Level 1 Design Criteria (LPA projects shall be designed to adhere to INDOT’s Level 1 and 2 controlling design criteria as described in Section 40 -8. 02 of the IDM – this may not always be practical. When this happens a design exception is required. ) 100

Projects that meet all Level 1 Design Criteria Ø Ø Requires only a Stage 3 submittal üMust be submitted 45 days before the Ready for Contracts Date. Review Responsibilities üINDOT is not approving the plans üPlans Reviewed to ensure compliance with the IDM and Federal Regulations üINDOT still has the obligation to reject plans on FHWA’s behalf. 101

Projects that do not meet all require Level 1 Design Criteria Ø Requires a Stage 1 and Stage 3 Submittal üIf you have a Level 1 Design Exception, you must submit the design exception along with the Stage 1 submittal. üLevel 1 Design Exceptions require approval from INDOT to meet Federal Regulations. üStage 3 must be submitted 45 days before the ready for Contracts Date. Ø Review Responsibilities (same as previous slide) 102

Pavement Design Ø Ø Ø Pavement Designs must meet IDM chapter 52 Requirements Pavement Design should be submitted after the Geotechnical Report is completed. Submit as soon as possible. INDOT is no longer approving pavement design submittals but will notify the LPA that their pavement design meets or does not meet IDM chapter 52 requirements

Review Options for the LPAs. Ø You can submit plans at all 3 stages if you choose. Stage 1 Stage 2 (always optional) Stage 3 Final Tracings Ø Ø INDOT will provide a technical review and evaluation of plans when requested. If a Technical Review is completed close to the Stage 3 (Final Plan submission), INDOT will determine the level of additional review to ensure no scope changes have taken place at Final Package submission. 104

What is INDOT Reviewing Critical Elements Any review item used to verify state and federal laws, regulations and directives have been met. Fatal Flaws A fatal flaw is a violation of any state or federal law, or any action that compromises safety, rights of the motoring public and rights of property owners. Fatal flaws may be identified at any stage of the project development process.

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)

Potential Fatal Flaws • Level 1 Design Exception missed • Actions or Design compromising public safety • Actions or Design compromising property rights

What is INDOT Reviewing? Level 1 Conformance – Critical Elements 1. 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) Stopping Sight Distance, 9) Maximum Grade, 10) Travel Lane Cross Slope, 11) Superelevation Rate, 12) Minimum Vertical Clearance, 13) American Disabilities Act (ADA), 14) Bridge Railing Safety. 108

What is INDOT Reviewing? cont. For Potential Fatal Flaws 2 Level 2 Design Exception Criteria a) Roadside Safety Elements – CZ, OFZ b) Intersection Sight Distance 3 Actions or Design compromising public safety a) bridge structure foundation b) bridge structural review plan c) bridge load rating failure d) culvert hydraulics e) bridge hydraulics 4 Actions or Design features that compromise property rights ( ex. drainage design that can cause flooding) (CZ- Clear Zone, OFZ- Obstruction Free Zone) 109

What is INDOT Reviewing for Comment? Ø Ø Ø What about other mistakes on the plans? Does the Designer have to correct all the markups? What else is INDOT doing? 1)Full Reviews 2)Element Reviews 3)Cross Reviews Ø Ø Critical Elements can delay the project. Fatal Flaws must be fixed. 110

Americans with Disabilities Act (ADA) Accessibility • Problems with Detectable Warning Surfaces. 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; § Violates the Americans with Disabilities Act of 1990, as amended (42 U. S. C. Sec. 12101 et seq. ) PROWAG - Public Right of Way Accessibility Guidelines ADAAG - American Disabilities Act Accessibility Guidelines Handout Provided on Detectable Warning Surfaces 111

Potential Problems on LPA Projects 1) Not addressing scour problems 2) Unique special provisions a) submit early for review. b) use spec book whenever possible. 3) Proprietary Materials a) submit early for review b) are there three manufacturers available (don’t say approved or equal, unless you have three or more vendors) c) use the web page form d) be prepared if the request is denied e) put in as a Z item & have the LPA pay for it f) INDOT is taking a tighter stance on proprietary approvals 4) Special pay items

Potential Problems on Trail Projects Project Description - Scope not Clear Environmental – segmentation of route, project had federal piece as trail and bridges to be fixed by locals. Engineering a) not enough survey, b) no cross sections, c) risk of overruns high, d) pavement design (new Recurring Special Provision) e) bridge design adequate f) bridge railings adequate (54”), g) non skid bridges (broom finish), h) constructability (can you get material to the sections without damaging the bridges) 113

Review Checklists • Stage 1 Checklist • Hydraulic Modeling Checklist • Stage 3 Checklist • Final Tracing Checklist • Contract Preparation Documents to • Contract Administration Checklist Design Documentation Certification

Project Development & Design Activity Completion - Time Frame Plan Development Activity Field Survey Field Check Design Geotechnical Investigation Pavement Design Final Tracings Review INDOT Letting Process Contractor Notice to Proceed Average Completion Time Two months Five months Three months One month Six months One month Three months One month 115

Roles and Responsibilities Ø Roles and Responsibilities ü INDOT District Project Manager (PM) is the first contact. ü The district will coordinate with Central Office as needed. ü The LPA and its consultant are responsible for uploading plans and documents in to ERMS. ü The LPA and its consultant are responsible for contract quality and timeliness in getting the project to letting. (ERMS – Electronic Reporting Management System)

Identification of Resource People Deputy Commissioner of Hwy Management – David Holtz Roadway Services – John Wright Structural Services – Anne Rearick Geotechnical Engineering – Athar Khan Contracting Administration – Bob Cales Estimating – Mike Beuchel Construction Costs – Dan Stickney Specifications – Scott Trammel Hydraulics Engineering – Merril Dougherty Pavement Engineering – Dave Andrewski

Summary • Design process has not changed, always use the Indiana Design Manual for Guidance • Review process has changed, always submit Stage 3 plans (min. 45 days before RFC), might have to submit Stage 1 plans, stage 2 plans are optional. Normal review time is 30 days. • INDOT is not approving the plans, we are a resource for quality. • Roles and Responsibilities - INDOT District PM is the first contact. The District will coordinate with Central Office as needed.

Plan Preparation Chapter 7 Questions? 119

Utility/Railroad Coordination Chapter 8 120

Presentation Overview Utility Coordination • Reference Material/Documents • Process Steps Railroad Coordination • Determine if there is Railroad Involvement • Legal Requirements • What the LPA needs to do Questions? 121

Utility References - Utility Coordination on all projects must now follow rules: 105 Indiana Administrative Code (IAC) 13 – Formal procedure for process. - Federal regulations for utilities: http: //www. fhwa. dot. gov/programadmin/utility. cfm - Chapter 10 -3. 0 of Design Manual (Utility Accommodation Policy) IAC rules have replaced 10 -1. 0 and 10 -2. 0 122

Manual Documents l l l 105 IAC 13 (link in manual) Guidance Document on how to perform steps Example letters for each step Example Work Plan Reimbursable Agreement Flowchart of Process (will be in manual) 123

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) 124

Utility Coordination Steps - (continued) 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. 125

Utility Coordination Steps - (continued) 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) 126

Utility Coordination Steps - (continued) 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. ) 7. Reimbursable Agreements Send in for district review prior to signing to verify what the LPA is offering to reimburse using federal money. -Replace in kind -Use agreement provided in Manual -Easement documentation Make sure federal funds are approved through district before you give utility notice to proceed. 8. Work Plan Approval – Notice to Proceed (Permit) (30 days prior to implementing work plan) 127

LPA Documentation Requirements üProject information must be maintained for 5 years after project close-out. Remember that this includes the utility and railroad work as well. üRemember to follow all steps of IAC and keep the documentation generated. 128

Railroad Coordination 129

How to determine if there is Railroad involvement At the scoping stage you need to answer the following questions: Do you have an active track in or near the terminus of the project? Ø Is there old Railroad R/W on each side of the crossing? Ø Is there an out of service line in or near the terminus of the project? If the answer to any of the questions is yes, chances are you have Railroad involvement. Ø 130

Legal Requirements IC 8 -23 -5 -2 FHWA 23 CFR 646. 214 (IC – Indiana Code) (CFR - Code of Federal Regulations) 131

I have Railroad Involvement – What Do I Do? Ø Ø Ø Notify the INDOT LPA Project Manager INDOT Project Manager will notify the District Real Estate Manager. LPA responsibilities are to provide funding at the appropriate times to pay for PE and their share of construction. District Real Estate Section will handle coordination with Railroad. They will secure/cause to secure federal funding and pay bills. Make sure that federal funds are approved through district before you give railroad notice to proceed. 132

Resource People for both Railroad and Utility District LPA Coordinator District Real Estate Manager 133

Utility/Railroad Coordination Chapter 8 Questions? 134

Land Acquisition Chapter 9 135

Introduction 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, Frequently Used Terms 136

Chapter Development Activities 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. 104 137

Chapter Development Activities (continued) l l Appraising (Opinion of Just Compensation) l ROW Appraisers must be on certified list Buying / Negotiations Relocation Condemnation l Every property owner has the right to go through condemnation l Property Management l Right-of-Way Certification 138

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 LPA official 23 CFR 635. 309 139

Potential Fatal Flaws Letting with Exception ü Approval required from FHWA 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 Public Hearing Certification completed Appraisal before environmental approval Relocation must be approved at Central Office 140

Potential Fatal Flaws (continued) Relocation Assistance not handled properly Parcel Packets not completed Lack of Certification Letter signed by LPA False Information 141

Recent Indiana Cases Coercion Utility work took out sidewalks prior to ROW. LPA pursued donations of ROW. Refused to repair sidewalks unless donated. Violation of 49 CFR Part 24. 142

Recent Indiana Cases Local Officials = Holding Co. City Attorney, City Manager and City Board Member formed LLC & acquired property at “asking price”. Property was needed for a project. Attorney/Manager & Board Member sold to City at City’s appraised value (about $15, 000 more than LLC’s price). Violation of 49 CFR Part 24. 102 & 202. 143

Recent Indiana Cases No Relocation Payment/Services A Nonprofit via local sponsor acquired hotel for a women’s shelter. 5 tenants asked to vacate. No Rental Assistance or Moving Paid. No Advisory Services. Violation of 49 CFR Part 24. 202. 144

Recent Indiana Cases No Adequate Title Real Property Interest are required. MPO/LPAs had multiple trails planned that rely on revocable license rather than real interest (easement, lease, fee…). Therefore Federal $$ can not participate. Violation of 23 CFR Parts 1. 23(a) and 710. 201(e). 145

Recent Indiana Cases Excessive ROW 90 foot maintenance easement. Increased damage payment. 15 foot easement likely enough. A “Bonus” payment to the property owner Violates Reasonable & Necessary 23 CFR Parts 1. 23 & 710. 201. 146

Recent Indiana Cases “Friendly” Negotiations vs. Condemnation LPA thought that the property owner was a willing seller. Offer did not use appropriate condemnation language (state standard). Turns out that owner wasn’t friendly! LPA forced to use the open-checkbook approach to solve the problem rather than courts. 147

Activity Completion Time Frame Total duration less than < one year to < two years from the Preliminary Field Check (< 20 parcels) l l Initial Property Research and Property Line Determination (approximately 30 day duration) Abstracting (approximately 30 -day duration) 148

Activity Completion Time Frame (continued) Right-of-Way Engineering (approximately 45 -day duration) Scope of Work and Appraisal Problem Analysis (approximately 30 -day duration) Establishing Market Value, commonly referred to as appraising (approximately 120 -day duration) Buying (approximately 180 -day duration) 149

Activity Completion Time Frame (continued) Relocation (approximately 180 -day duration, concurrent with buying) Condemnation (approximately six months to one year) Right-of-Way Certification (approximately 60 days) (Asbestos Removal: LPA’s do not follow the State Property Management 10 day letter process. When there is a total take of a building any required asbestos removal must be in the scope of the project. ) 150

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) 151

References and Resource People http: //www. in. gov/indot//3018. htm l l l Right-of-Way Acquisition Procedure Manual for Local Public Agencies Appraisal Manual Buying Manual Relocation Manual Property Management Manual 152

References and Resource People (continued) http: //www. in. gov/indot/div/consultants/realestate-fee-schedules. htm l l Current Real Estate Fee Schedules At this time the following manuals are only available through the District Real Estate Manager. INDOT Right-of-Way Engineering Manual INDOT Real Estate Forms 153

References and Resource People (continued) FHWA Website http: //www. fhwa. dot. gov/realestate/index. htm The State of Indiana Code Website http: //www. in. gov/legislative/ic/code/title 32 154

References and Resource People (continued) La. Porte District Michael Mc. Guire 219. 325. 7527 mmcguire@indot. in. gov Crawfordsville District Bert Herron 765. 361. 5243 bherron@indot. in. gov Seymour District John Engleking 812. 524. 3735 jengleking@indot. in. gov Fort Wayne District Jeremy Mc. Manama 260. 969. 8316 jmcmanama@indot. in. gov Vincennes District Randy Carie 812. 895. 7368 rcarie@indot. in. gov Greenfield District Ron Raney 317. 467. 3499 rraney@indot. in. gov 155

LPA Documentation Requirements 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 LPA official 156

Land Acquisition Chapter 9 Questions? 157

CONSTRUCTION l. Preparation for Letting l. Construction and Project Close-out Chapters 11, 12 & 13 158

Let’s prepare 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 Ch. 11 159

Once the Draft CIB is Complete ü The Draft CIB is put together by INDOT ü An electronic version of the CIB is sent to the Consultant Contact and Backup Contact for certification and to the ERC for information ü These individuals have 2 business days for review and comment / response ü If no response, job is removed from letting Note: INDOT is no longer printing the CIB Ch. 11 160

Determination of Engineer’s Estimate • Estimate turned in with final package submission (see chapter 7) • INDOT assigns an Estimator and information is processed into INDOT bidding software (TRANSPORT) • INDOT prepares a preliminary detail estimate Ch. 11 161

Plans, Specifications, and Estimate (PS&E) • INDOT prepares the PS&E letter • The PS&E letter is certified by the INDOT’s Estimating Administrator and contains: • Funding Breakdown • Contract Description • Right of Way Certification • Environmental Information • Utility Information • Proprietary Materials Approvals • Other Information Ch. 11 162

FHWA Authorization of Funds ü INDOT creates the FMIS Request for Construction and Construction Inspection ü Necessary funding codes are included by INDOT Project Accounting ü The request is Transferred to FHWA for the Obligation of funds into FMIS ü Once authorized the project is ready for the Notice to Contractors (advertisement) Ch. 11 163

Construction Inspection / Construction Engineering • Required on all Federal aid projects • If performed by local forces must meet all INDOT Requirements and be approved • LPA Selects Consultant • Consultant selection must be certified by the INDOT • District LPA Coordinator Utilize boilerplate Consultant Contract located at: http: //www. in. gov/indot/div/projects/LPASection/pubs/LPAConsultant. Boilerplate. doc • FMIS Approval by Federal Highway • District Coordinator issues Notice of Authorization (NOA) • LPA may now begin incurring inspection costs Ch. 11 164

Construction Inspection / Construction Engineering cont. • LPA and/or Consultant must submit a copy of signed LPA-Consultant contract to the LPA Coordinator by the Friday before the scheduled letting or the project may be moved from the letting • 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 Ch. 11 165

Inspection Staff Requirements • Consultant must be prequalified • Employee must be certified for inspection • The person to be assigned shall be submitted to • • the District Construction Director before the Preconstruction Conference Any changes to the assignment shall also be submitted when known This is a reimbursement program, costs must be incurred before INDOT will make payment to the LPA Ch. 11 166

Documentation Requirements • • PS&E Approval DBE Interest Report CIB Certification Construction Inspection Notice of Authorization Ch. 11 167

Critical Elements / Preparation for Letting • • Documents Incomplete Pay Items/Cost Estimate Notice of Authorization for CE Copy of LPA-Consultant Contract prior to letting • Certified CIB • Unique and recurring special provisions match the pay quantities Ch. 11 168

Potential Fatal Flaws / Preparation for Letting • • DBE goal not identified or incorrect FMIS approval not made for CN and CE Consultant Selection not approved PS&E not Certified Ch. 11 169

So You’re Ready for Letting • • • Advertisement Contract Questions and Answers Revisions Bid Evaluation and EEO Compliance Award LPA Match Contractor Financial Liability Coordination Notice to Proceed Purchase Order Ch. 12 170

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 Ch. 12 171

Contract Questions and Answers üThe LPA and/or consultant shall not directly answer pre-letting questions from Contractors üAll questions start out going to a web site üQuestions that are contract specific are forwarded from District Construction to the LPA designer via e-mail üDesigner contacts must be kept current üQuestions need to be answered in a timely manner Ch. 12 172

Contract Revisions • Contract revisions are sometimes necessary • Requests for revisions can come from many sources • LPA • Contractor • INDOT • LPA Designer • Material Supplier • The ERC is integral to this process • District Construction must endorse the revision to INDOT’s Pre-bid Review Engineer for processing Ch. 12 173

After the Bids are Read Note: 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 award or reject all bids Ch. 12 174

LPA Funds for Construction (Match) (Credits allowed for certain LPA projects prior to April 29, 2009) • Credits • LPA ERC submits estimated credits at time of RFC • LPA shall submit a letter with summary of costs incurred • and the request that the credits be applied as a portion of the LPA match LPA must submit invoices showing amounts paid for services • INDOT invoices the LPA • Notice to Proceed to the contractor will not be • • issued until INDOT receives funds If LPA cannot provide match, the contract is canceled Funds need to be submitted in timely manner Ch. 12 175

Recommended Procedures to Reduce Delay of LPA Match üLPA design engineer should estimate the amount of funds required before RFC üThe LPA should advertise the amount of funds needed for match prior to letting üAfter advertisement, the estimated funds should be approved prior to letting üAs soon as the LPA receives the invoice for the match, submit funds for up to the preapproved amount Ch. 12 176

Documentation Required • • Advertisement Issued Revisions Bid Analysis Concurrence of Awards Official Awards Notice to Proceed to LPA & Consultant NTP Letter to Contractor Ch. 12 177

Critical Elements / Letting • • EEO Requirements Advertisement Timely response to revisions Bid opening Bid Evaluation Award Submission of LPA Match Notice to Proceed Ch. 12 178

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 Ch. 12 179

You have the Notice to Proceed. Now What? • INDOT is charged with overall responsibility • Each project must be assigned a Project • • Engineer/Supervisor (PE/S) Adequate inspectors must be provided If a consultant is used the LPA ERC will review and approve consultant invoices and submit • The Notice to Proceed will be sent to: • The District office • LPA & Consultant • Contractor Ch. 13 180

The Pre-Construction Conference üThe LPA ERC will coordinate with the District Area Engineer to schedule the conference üThe LPA Representative will send out invitations üThe Prime Contractor will notify sub-contractors üDistrict Construction will provide a checklist of items to be covered at the conference üThe LPA will provide the agenda and prepare the minutes of the meeting, including attendance Ch. 13 181

Contract Administration • 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 Final Construction Record (within 45 days of Acceptance) Ch. 13 182

Change Orders (Current Change Order policy effective: January 1 2010 http: //www. in. gov/dot/div/contracts/conmemo/10 -01. pdf ) • PS/E should document all communications that involve change orders, time extensions, or claims • PS/E must maintain communication with and obtain • approvals of both the LPA ERC and the INDOT AE for all change orders PE/S will be provided the amount of federal funds available for construction from INDOT, the PS/E must use this to maintain a running total of all contract costs showing how much is left of the federal allocation - spreadsheet to track Cap on Federal funds available at: http: //www. in. gov/indot/div/projects/LPASection/ Ch. 13 183

Final Construction Record PS/E Responsibilities üMaintain all documentation throughout the life of the project üComplete the final construction record within 45 days of acceptance of the project üEnsure all monies due the contractor are paid with the exception of disputed quantities üFollow-up all unresolved issues until completed Ch. 13 184

Final Audit • Failure to complete Final Construction • • Record tasks could impact the LPA and Consultant Level 2 certification All contracts will be audited by the INDOT Finance Office Final audit balances all claims, invoices, billings, etc. , between INDOT and the LPA Ch. 13 185

Critical Elements / Construction • • • Maintain documentation Maintain accurate records and promptly pay estimates Hold pre-construction conference Provide 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 Ch. 13 186

Potential Fatal Flaws / Construction • • • Inspection not present when needed Authorizing material use that do 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 Ch. 13 187

Chapter 11, 12, 13 Questions 188

Training Wrap-up A course evaluation will be sent to you via e -mail, please take 5 minutes to answer it and provide your feed back on the training. Please sign-out and pick up your certificate. Thank you for attending! 189