LPA Basic Project Development Training Summer 2014

1. LPA Basic Project Development Training Summer 2014

2. Getting Started: What is the local federal-aid program?

3. Getting Started: Federal-Aid • The local federal aid program is a mechanism whereby the Federal-Aid Highway Program provides financial assistance for the construction, maintenance, and operations of the Nation's local highway network.

4. Getting Started: Federal-Aid • LPAs own and operate about 75 percent, or roughly 2.7 million miles, of the Nation's highway network. • LPAs build and maintain this network using a variety of funding sources, including the Federal-aid Highway Program.

5. Getting Started: Federal-Aid • Stewardship– exercising sound judgment and good decision-making while managing Federal funds. • Oversight – ensuring that highway projects approved for Federal funding are consistent with applicable laws, regulations, and policies.

6. Getting Started: Federal-Aid • Watch video: “Stewardship & Oversight” • http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?category=overview

7. Getting Started- Federal Aid • FHWA is still responsible for ensuring compliance with Federal requirements in the delivery of the Federal Aid program. • State DOTs act on behalf of the FHWA and take on responsibilities such as: • Project development • Administer construction and inspection

8. Getting Started- Federal Aid • Stewardship/OversightAgreement – a formal written agreement between the FHWA and the State DOT with regard to the use of Federal-aid dollars. The State DOT is expected to exercise and make judgments similar to the FHWA.

9. Oversight • Oversight Responsibilities – exercise judgments similar to FHWA based on Federal laws, regulations, and policies. • Transportation planning activities • Assessing environmental impacts • Project design requirements • Civil rights protections • Purchasing right-of-way • Administering construction projects • Maintenance activities

10. Oversight • State DOTs are accountable to FHWA to ensure all project elements comply with federal law & regulations.

11. Funding • State DOTs ensure that local projects utilizing federal funds made available by the state are appropriately used in a timely manner and in compliance with all federal and state regulations.

12. Getting Started: Federal-Aid • Watch video: “Funding: Funding Basics & Eligibility” • http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=44

13. Funding • Two important characteristics of Federal–aid are that it is both: • Reimbursable Program • Matching Program

14. Funding • Reimbursable Program • FHWA pays the actual expenses incurred on a progress payment basis. • Money is not provided in advance. • A State DOT or LPA must initially finance the project.

15. Funding • Matching Program • Federal funds are matched with State or local resources to cover the total project cost. • Federal funds typically cover 80% of the project’s eligible cost. • The remaining 20% is provided (or matched) by the State or local agency funding.

16. Funding • By accepting federal funding, Local Public Agencies accept their responsibility for ensuring each local federal aid project complies with all federal laws and regulations. Failure to comply puts the LPA at risk of being required to refund a portion or all of the federal funds expended on the project.

17. Getting Started: Federal-Aid • KEY TAKEAWAYS: • Stewardship/Oversight- INDOT has a responsibility via contract to be a good steward with FHWA’s money and oversee how the money is spent. • Funding- The program you are participating in is both a reimbursement and matching program. (EXAMPLE) • Non-compliance puts the LPA at risk of being required to refund a portion or all of the federal funds expended on a project.

18. Getting Started: Guidance Document

19. Getting Started- Guidance Document • What is it? • INDOT’s guidance manual for local federal aid projects; aids in completion & understanding • Provides linkable resources to material throughout the document • Most links have needed to be updated due to IT changes, will be resolved in next update due shortly

20. Getting Started- Guidance Document • What is it? • Provides information to help all parties involved • Ensures full understanding of the requirements of a federal aid project • Ensures accurate understanding and compliance • ADVICE: Look it up before calling  • Contact District Offices or LPAQuestions@indot.in.gov

21. Getting Started- Guidance Document • Where is it? • Last version posted on INDOT’s website in August 2013 • Document posted on website at: http://www.in.gov/indot/files/LPA_GuidanceDocument_2013.pdf • Document formatting is being revised and information left out of August 2013 version is being added • In the future, documents will be reposted to INDOT site when changes are made • Most changes will come from an upcoming April meeting, should be able to post shortly after • Knowledge of revisions will come through GovDelivery

22. Getting Started- Guidance Document • How do I use it? • We will stop and show you real examples throughout the presentation on how to reference it. • Use: Control + F • How is it currently formatted? • Critical Elements • Fatal Flaws • Documentable Proof

23. Getting Started- Guidance Document • KEY TAKEAWAYS: • Your MAIN resource for GUIDANCE and ANSWERS. • Link found on INDOT’s LPA page • Look for an updated version Fall 2014

24. Getting Started: Other Tools & Resources

25. Other Tools & Resources • FHWA website • What is it? The Federal Highway Administration (FHWA) provides stewardship over the construction, maintenance and preservation of the Nation’s highways, bridges and tunnels. FHWA also conducts research and provides technical assistance to state and local agencies in an effort to improve safety, mobility, and livability, and to encourage innovation • Where is it? • Visit it at: http://www.fhwa.dot.gov/

26. Other Tools & Resources • How do I use it?

27. Other Tools & Resources • Federal Aid Essentials Library • Visit it at: http://www.fhwa.dot.gov/federal-aidessentials/

28. Other Tools & Resources • Federal Aid Essentials Library • Federal Aid Overview • Finance • Environment • Right of Way • Civil Rights • Project development • Project Construction and Contract Administration

29. Other Tools & Resources • INDOT website • What is it? • Where is it? • Visit it at: http://www.in.gov/indot/index.htm

30. Other Tools & Resources • INDOT website • LPA & Grants Administration

31. Other Tools & Resources • Look at LPA & Grant Administration site

32. Other Tools & Resources • Look at LPA & Grant Administration site • In the process of reformatting • Multiple tools and resources

33. Other Tools & Resources • Look at LPA & Grant Administration site • Boilerplate contracts and forms are available for the LPA to use

34. Other Tools & Resources • GovDelivery • What is it? • The world's leading free email subscription management system designed specifically for the public sector. It empowers organizations to provide citizens with better service and access to relevant information by proactively delivering new information through e-mail and wireless alerts.  • New communication system for INDOT LPA • Benefits • Consistency with majority of state government communication systems

35. Other Tools & Resources • GovDelivery • Where is it? • How to sign up: our easy 10-step guide! • How do I use it? • State vs. district updates • Example of how it will be used

36. Other Tools & Resources • People & Contact Info • See handout for most updated version of INDOT district contacts and INDOT Central Office personnel.

37. Other Tools & Resources • KEY TAKEAWAYS: • FHWA’s website- GREAT video library for general understanding of processes/procedures • INDOT’s LPA website- Access to many of the state provided resources you need! • GovDelivery- SIGN UP ASAP! Your main source of departmental updates/communication

38. Roles & Responsibilities

39. Stakeholders

40. Federal Highway Administration (FHWA) • Responsible for ensuring adequate and proper delivery of federal-aid projects. • This responsibility is delegated to the State through legislation. • FHWA has the final say with regards to financial participation.

41. Indiana Department of Transportation (INDOT) • Responsible for… • Providing technical assistance to the LPA • Ensuring all project elements comply with FHWA regulations • Ensuring federal funds are appropriately utilized for local projects in a timely manner • Maintaining the Statewide Transportation Improvement Program (STIP)

42. INDOT Roles *Please reference the attached contact sheet to see who fills these rolls for your district. • Project Manager • Program Director • Real Estate Manager • Utilities Manager • Railroad Manager • Environmental Manager

43. Metropolitan Planning Organization (MPO) • Responsible for transportation planning in their Urbanized Areas. • An MPO has multiple boundaries. • Urbanized Areas • Metropolitan Planning Area (MPA) • Includes area anticipated to be urbanized in the next 20 years.

44. MPO • Responsible for maintaining the Transportation Improvement Program (TIP) • This is a 4 year planning document specific to an MPO • The TIP shows projects in that period with all funded phases in the year and amount of funds those will be obligated • TIP Phases are Preliminary Engineering (PE), Right of Way (ROW) and Construction (CN)

45. Local Public Agency (LPA) • Responsible for.. • Timely Project Delivery • Financial Management • Following State and Federal guidelines • Must have a certified Employee in Responsible Charge (ERC) before applying for federal-aid funds for a project. • Point of Contact for LPA, acts as a Project Manager • Must have attended required training sessions

46. ERC • A few key responsibilities of an ERC.. • Submit electronic project application • Ensures the INDOT-LPA Contract is executed • Submits Requests for Proposals (RFPs) for consultant selection to INDOT • Attends Quarterly Tracking Meetings • Submits Quarterly Reports prior to Tracking Meeting • Submits Invoice-Voucher forms for federal reimbursement

47. Consultant • Responsible for.. • Abiding by the LPA-Consultant Contract. • Keeping the ERC informed on the project status. • Consulting Firm must be on INDOT’s Pre-Qualified Consultant list. • Consultant must have a Certified Project Manager prior to working on an active project.

48. Roles & Responsibilities • KEY TAKEAWAYS: • Several key stakeholders! • FHWA: build a great project and follow the rules • INDOT: appointed stewards who help by providing helpful oversight • LPA/ERC: it’s your money too! Successful projects have an informed and engaged ERC. • Consultant: hired by the LPA. If you hired someone to do work on your house, would you make sure the money was spent the right way?

49. Project Development Process (PDP)

50. Project Development Process • What does it look like step by step? • Watch video: “Project Delivery: A Process from Cradle to Grave” • http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=3