109
Local Assistance Division (LAD) New Project Coordinator Training
Local Assistance Division (LAD)New Project Coordinator Training
Project Coordinator TrainingAgenda
bull General Overview of LAD amp LAPrsquos ndash Russ Dudleybull Differences in Project Coordinator and Project Manager Duties ndash
Todd Halacybull Challenges to the LAP Program ndash Todd Halacybull VDOT Guidance LAD Support ndash Clark Woodsbull VDOT and Locality Support Resources ndash Russ Dudleybull Risk Based Approach to Local Projects ndash Russ Dudleybull Using the LAP Manual ndash Bernie Schmelzbull Project Administration Agreements ndash Bernie Schmelzbull Project Development ndash Winky Chenaultbull Other LAD Initiatives ndash Winky Chenault
2
Russ DudleyLocal Administered Projects Program ManagerRussDudleyVdotVirginiagov804-786-6663
Overview of LAD Programs
LAD Organizational Chart
4
Carol WestAdmin Support
804 - 786 - 1091
Jeanette (Jenny) EpesIntern
804-786-9816
Sandy ManleyFiscal Technician
804-786-2585
Penny ForrestSpecial AssignmentsPart-Time Position
804 - 786-9810
Project Delivery - George RogersonEnvironmental - Chip RayRight-of-Way - Les Griggs
Civil Rights - Tammy MancinelliOperations - Larry Trachy
Construction - Richard BrittonProcurement Review - Fred Hoover
Structures - James Fariss PEMaterials - Thomas Schinkel PE
Internal Audit - Bradley GalesFinance - Yolanda Newton
Design Build - Shailendra Patel
Local Partnership TeamNo ERL Associated
With LAD
Cynthia (Cindy) ClarkCertificationCompliance
804 - 371 - 6289
Bernard (Bernie) SchmelzCulp-NOVA-Salem-Staunt
804 -786-2595
Clark WoodsBrist-Fburg-HRds-Lynch-Rich
804-692-0565
District LAPProject Coordinators
Russ DudleyLocally Administered
Programs804-786-6663
Sharon McGheeLocal FinancePayments
804 -225-4466
District Local Liaisons
Todd Halacy PELocal System PolicyUrban amp Secondary
804-786-3438
Todd HalacyActing Asst Division Administrator
SystemsProject Assistance804-786-3438
Fulton deLamortonAccess Programs
804-786 -2720
Deborah Webb-HowellsRevenue Sharing804 -786-1519
District Local Liaisons
William (Bill) DandridgeState Programs804-786 -2743
Pamela (Pam) ListonEnhancement Program
(CulpNOVAStn)804 - 786 -2734
Erica JeterScenic Byways
EN Assistance (BRRichSalem)804-786-9125
Ciara WilliamsFed Programs (PLHDFHARC)EN Assistance (LynchFredHR)
804 -786-7399
District EnhancementCoordinators
H (Winky) ChenaultFederal Programs
804 - 786-2264
Julie BrownAsst Division Administrator
ProgramsPolicies804 - 786 -7314
Bristol - Ken Brittle Culpeper - Brent Sprinkel PE
Fredericksburg - Jamie Brown PorterHampton Roads - Adam Jack PELynchburg - Robert Guercia PE
Northern Virginia - Renee HamiltonRichmond - Mark Riblett PE
Salem - Jane-Ellen HessStaunton - Terry Jackson PE
District Planning amp Investment ManagersNo ERL Associated
with LAD
Jennifer B DeBruhlActing Director804 -786-0334
5
LAD Programs
bull Revenue Sharing bull Access Road Programsbull Enhancements Scenic
Bywaysbull Other Special Federal
Funding Programs (Forest Highways Public Lands ARC)
bull Coal Severancebull Rural Rustic Roads
bull Locally Administered Projects
bull Local Compliancebull Secondary Policybull Devolutionbull Urban Construction
Initiative (1st Cities)bull Urban Construction
Programbull Locality Payments
6
Locally Administered Projects
bull Commissioners Policy on Local Projects and Programsbull Commissioner issued Department Policy Memorandum 8-7
(March 2008)
bull Reaffirmation of policy direction and focus with VDOT Executive Team (Summer 2011)
bull The Policy commits VDOT to develop programs and processes that
bull Provide local governments tools to successfully administer transportation programs
bull Provide a consistent approach to VDOT stewardship and oversight across districts and divisions and
bull Promote efficient and effective local project and program delivery
bull Link to Policy httpwwwvirginiadotorgbusinessresourcesCoGoUrMupdf
Revenue Sharing Program
bull Provides a 5050 match of state and local funds
bull For Construction Reconstruction and Improvement Projects
bull Program increased to allow up to $10 million per locality annually
bull Annual Allocation Min $50 million Max $200 million
bull Deallocation process currently underway
bull Applications Due for FY13bull November 1 2011 Full application due to LAD (Debbi Webb-Howells)
7
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Coordinator TrainingAgenda
bull General Overview of LAD amp LAPrsquos ndash Russ Dudleybull Differences in Project Coordinator and Project Manager Duties ndash
Todd Halacybull Challenges to the LAP Program ndash Todd Halacybull VDOT Guidance LAD Support ndash Clark Woodsbull VDOT and Locality Support Resources ndash Russ Dudleybull Risk Based Approach to Local Projects ndash Russ Dudleybull Using the LAP Manual ndash Bernie Schmelzbull Project Administration Agreements ndash Bernie Schmelzbull Project Development ndash Winky Chenaultbull Other LAD Initiatives ndash Winky Chenault
2
Russ DudleyLocal Administered Projects Program ManagerRussDudleyVdotVirginiagov804-786-6663
Overview of LAD Programs
LAD Organizational Chart
4
Carol WestAdmin Support
804 - 786 - 1091
Jeanette (Jenny) EpesIntern
804-786-9816
Sandy ManleyFiscal Technician
804-786-2585
Penny ForrestSpecial AssignmentsPart-Time Position
804 - 786-9810
Project Delivery - George RogersonEnvironmental - Chip RayRight-of-Way - Les Griggs
Civil Rights - Tammy MancinelliOperations - Larry Trachy
Construction - Richard BrittonProcurement Review - Fred Hoover
Structures - James Fariss PEMaterials - Thomas Schinkel PE
Internal Audit - Bradley GalesFinance - Yolanda Newton
Design Build - Shailendra Patel
Local Partnership TeamNo ERL Associated
With LAD
Cynthia (Cindy) ClarkCertificationCompliance
804 - 371 - 6289
Bernard (Bernie) SchmelzCulp-NOVA-Salem-Staunt
804 -786-2595
Clark WoodsBrist-Fburg-HRds-Lynch-Rich
804-692-0565
District LAPProject Coordinators
Russ DudleyLocally Administered
Programs804-786-6663
Sharon McGheeLocal FinancePayments
804 -225-4466
District Local Liaisons
Todd Halacy PELocal System PolicyUrban amp Secondary
804-786-3438
Todd HalacyActing Asst Division Administrator
SystemsProject Assistance804-786-3438
Fulton deLamortonAccess Programs
804-786 -2720
Deborah Webb-HowellsRevenue Sharing804 -786-1519
District Local Liaisons
William (Bill) DandridgeState Programs804-786 -2743
Pamela (Pam) ListonEnhancement Program
(CulpNOVAStn)804 - 786 -2734
Erica JeterScenic Byways
EN Assistance (BRRichSalem)804-786-9125
Ciara WilliamsFed Programs (PLHDFHARC)EN Assistance (LynchFredHR)
804 -786-7399
District EnhancementCoordinators
H (Winky) ChenaultFederal Programs
804 - 786-2264
Julie BrownAsst Division Administrator
ProgramsPolicies804 - 786 -7314
Bristol - Ken Brittle Culpeper - Brent Sprinkel PE
Fredericksburg - Jamie Brown PorterHampton Roads - Adam Jack PELynchburg - Robert Guercia PE
Northern Virginia - Renee HamiltonRichmond - Mark Riblett PE
Salem - Jane-Ellen HessStaunton - Terry Jackson PE
District Planning amp Investment ManagersNo ERL Associated
with LAD
Jennifer B DeBruhlActing Director804 -786-0334
5
LAD Programs
bull Revenue Sharing bull Access Road Programsbull Enhancements Scenic
Bywaysbull Other Special Federal
Funding Programs (Forest Highways Public Lands ARC)
bull Coal Severancebull Rural Rustic Roads
bull Locally Administered Projects
bull Local Compliancebull Secondary Policybull Devolutionbull Urban Construction
Initiative (1st Cities)bull Urban Construction
Programbull Locality Payments
6
Locally Administered Projects
bull Commissioners Policy on Local Projects and Programsbull Commissioner issued Department Policy Memorandum 8-7
(March 2008)
bull Reaffirmation of policy direction and focus with VDOT Executive Team (Summer 2011)
bull The Policy commits VDOT to develop programs and processes that
bull Provide local governments tools to successfully administer transportation programs
bull Provide a consistent approach to VDOT stewardship and oversight across districts and divisions and
bull Promote efficient and effective local project and program delivery
bull Link to Policy httpwwwvirginiadotorgbusinessresourcesCoGoUrMupdf
Revenue Sharing Program
bull Provides a 5050 match of state and local funds
bull For Construction Reconstruction and Improvement Projects
bull Program increased to allow up to $10 million per locality annually
bull Annual Allocation Min $50 million Max $200 million
bull Deallocation process currently underway
bull Applications Due for FY13bull November 1 2011 Full application due to LAD (Debbi Webb-Howells)
7
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Russ DudleyLocal Administered Projects Program ManagerRussDudleyVdotVirginiagov804-786-6663
Overview of LAD Programs
LAD Organizational Chart
4
Carol WestAdmin Support
804 - 786 - 1091
Jeanette (Jenny) EpesIntern
804-786-9816
Sandy ManleyFiscal Technician
804-786-2585
Penny ForrestSpecial AssignmentsPart-Time Position
804 - 786-9810
Project Delivery - George RogersonEnvironmental - Chip RayRight-of-Way - Les Griggs
Civil Rights - Tammy MancinelliOperations - Larry Trachy
Construction - Richard BrittonProcurement Review - Fred Hoover
Structures - James Fariss PEMaterials - Thomas Schinkel PE
Internal Audit - Bradley GalesFinance - Yolanda Newton
Design Build - Shailendra Patel
Local Partnership TeamNo ERL Associated
With LAD
Cynthia (Cindy) ClarkCertificationCompliance
804 - 371 - 6289
Bernard (Bernie) SchmelzCulp-NOVA-Salem-Staunt
804 -786-2595
Clark WoodsBrist-Fburg-HRds-Lynch-Rich
804-692-0565
District LAPProject Coordinators
Russ DudleyLocally Administered
Programs804-786-6663
Sharon McGheeLocal FinancePayments
804 -225-4466
District Local Liaisons
Todd Halacy PELocal System PolicyUrban amp Secondary
804-786-3438
Todd HalacyActing Asst Division Administrator
SystemsProject Assistance804-786-3438
Fulton deLamortonAccess Programs
804-786 -2720
Deborah Webb-HowellsRevenue Sharing804 -786-1519
District Local Liaisons
William (Bill) DandridgeState Programs804-786 -2743
Pamela (Pam) ListonEnhancement Program
(CulpNOVAStn)804 - 786 -2734
Erica JeterScenic Byways
EN Assistance (BRRichSalem)804-786-9125
Ciara WilliamsFed Programs (PLHDFHARC)EN Assistance (LynchFredHR)
804 -786-7399
District EnhancementCoordinators
H (Winky) ChenaultFederal Programs
804 - 786-2264
Julie BrownAsst Division Administrator
ProgramsPolicies804 - 786 -7314
Bristol - Ken Brittle Culpeper - Brent Sprinkel PE
Fredericksburg - Jamie Brown PorterHampton Roads - Adam Jack PELynchburg - Robert Guercia PE
Northern Virginia - Renee HamiltonRichmond - Mark Riblett PE
Salem - Jane-Ellen HessStaunton - Terry Jackson PE
District Planning amp Investment ManagersNo ERL Associated
with LAD
Jennifer B DeBruhlActing Director804 -786-0334
5
LAD Programs
bull Revenue Sharing bull Access Road Programsbull Enhancements Scenic
Bywaysbull Other Special Federal
Funding Programs (Forest Highways Public Lands ARC)
bull Coal Severancebull Rural Rustic Roads
bull Locally Administered Projects
bull Local Compliancebull Secondary Policybull Devolutionbull Urban Construction
Initiative (1st Cities)bull Urban Construction
Programbull Locality Payments
6
Locally Administered Projects
bull Commissioners Policy on Local Projects and Programsbull Commissioner issued Department Policy Memorandum 8-7
(March 2008)
bull Reaffirmation of policy direction and focus with VDOT Executive Team (Summer 2011)
bull The Policy commits VDOT to develop programs and processes that
bull Provide local governments tools to successfully administer transportation programs
bull Provide a consistent approach to VDOT stewardship and oversight across districts and divisions and
bull Promote efficient and effective local project and program delivery
bull Link to Policy httpwwwvirginiadotorgbusinessresourcesCoGoUrMupdf
Revenue Sharing Program
bull Provides a 5050 match of state and local funds
bull For Construction Reconstruction and Improvement Projects
bull Program increased to allow up to $10 million per locality annually
bull Annual Allocation Min $50 million Max $200 million
bull Deallocation process currently underway
bull Applications Due for FY13bull November 1 2011 Full application due to LAD (Debbi Webb-Howells)
7
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
LAD Organizational Chart
4
Carol WestAdmin Support
804 - 786 - 1091
Jeanette (Jenny) EpesIntern
804-786-9816
Sandy ManleyFiscal Technician
804-786-2585
Penny ForrestSpecial AssignmentsPart-Time Position
804 - 786-9810
Project Delivery - George RogersonEnvironmental - Chip RayRight-of-Way - Les Griggs
Civil Rights - Tammy MancinelliOperations - Larry Trachy
Construction - Richard BrittonProcurement Review - Fred Hoover
Structures - James Fariss PEMaterials - Thomas Schinkel PE
Internal Audit - Bradley GalesFinance - Yolanda Newton
Design Build - Shailendra Patel
Local Partnership TeamNo ERL Associated
With LAD
Cynthia (Cindy) ClarkCertificationCompliance
804 - 371 - 6289
Bernard (Bernie) SchmelzCulp-NOVA-Salem-Staunt
804 -786-2595
Clark WoodsBrist-Fburg-HRds-Lynch-Rich
804-692-0565
District LAPProject Coordinators
Russ DudleyLocally Administered
Programs804-786-6663
Sharon McGheeLocal FinancePayments
804 -225-4466
District Local Liaisons
Todd Halacy PELocal System PolicyUrban amp Secondary
804-786-3438
Todd HalacyActing Asst Division Administrator
SystemsProject Assistance804-786-3438
Fulton deLamortonAccess Programs
804-786 -2720
Deborah Webb-HowellsRevenue Sharing804 -786-1519
District Local Liaisons
William (Bill) DandridgeState Programs804-786 -2743
Pamela (Pam) ListonEnhancement Program
(CulpNOVAStn)804 - 786 -2734
Erica JeterScenic Byways
EN Assistance (BRRichSalem)804-786-9125
Ciara WilliamsFed Programs (PLHDFHARC)EN Assistance (LynchFredHR)
804 -786-7399
District EnhancementCoordinators
H (Winky) ChenaultFederal Programs
804 - 786-2264
Julie BrownAsst Division Administrator
ProgramsPolicies804 - 786 -7314
Bristol - Ken Brittle Culpeper - Brent Sprinkel PE
Fredericksburg - Jamie Brown PorterHampton Roads - Adam Jack PELynchburg - Robert Guercia PE
Northern Virginia - Renee HamiltonRichmond - Mark Riblett PE
Salem - Jane-Ellen HessStaunton - Terry Jackson PE
District Planning amp Investment ManagersNo ERL Associated
with LAD
Jennifer B DeBruhlActing Director804 -786-0334
5
LAD Programs
bull Revenue Sharing bull Access Road Programsbull Enhancements Scenic
Bywaysbull Other Special Federal
Funding Programs (Forest Highways Public Lands ARC)
bull Coal Severancebull Rural Rustic Roads
bull Locally Administered Projects
bull Local Compliancebull Secondary Policybull Devolutionbull Urban Construction
Initiative (1st Cities)bull Urban Construction
Programbull Locality Payments
6
Locally Administered Projects
bull Commissioners Policy on Local Projects and Programsbull Commissioner issued Department Policy Memorandum 8-7
(March 2008)
bull Reaffirmation of policy direction and focus with VDOT Executive Team (Summer 2011)
bull The Policy commits VDOT to develop programs and processes that
bull Provide local governments tools to successfully administer transportation programs
bull Provide a consistent approach to VDOT stewardship and oversight across districts and divisions and
bull Promote efficient and effective local project and program delivery
bull Link to Policy httpwwwvirginiadotorgbusinessresourcesCoGoUrMupdf
Revenue Sharing Program
bull Provides a 5050 match of state and local funds
bull For Construction Reconstruction and Improvement Projects
bull Program increased to allow up to $10 million per locality annually
bull Annual Allocation Min $50 million Max $200 million
bull Deallocation process currently underway
bull Applications Due for FY13bull November 1 2011 Full application due to LAD (Debbi Webb-Howells)
7
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
5
LAD Programs
bull Revenue Sharing bull Access Road Programsbull Enhancements Scenic
Bywaysbull Other Special Federal
Funding Programs (Forest Highways Public Lands ARC)
bull Coal Severancebull Rural Rustic Roads
bull Locally Administered Projects
bull Local Compliancebull Secondary Policybull Devolutionbull Urban Construction
Initiative (1st Cities)bull Urban Construction
Programbull Locality Payments
6
Locally Administered Projects
bull Commissioners Policy on Local Projects and Programsbull Commissioner issued Department Policy Memorandum 8-7
(March 2008)
bull Reaffirmation of policy direction and focus with VDOT Executive Team (Summer 2011)
bull The Policy commits VDOT to develop programs and processes that
bull Provide local governments tools to successfully administer transportation programs
bull Provide a consistent approach to VDOT stewardship and oversight across districts and divisions and
bull Promote efficient and effective local project and program delivery
bull Link to Policy httpwwwvirginiadotorgbusinessresourcesCoGoUrMupdf
Revenue Sharing Program
bull Provides a 5050 match of state and local funds
bull For Construction Reconstruction and Improvement Projects
bull Program increased to allow up to $10 million per locality annually
bull Annual Allocation Min $50 million Max $200 million
bull Deallocation process currently underway
bull Applications Due for FY13bull November 1 2011 Full application due to LAD (Debbi Webb-Howells)
7
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
6
Locally Administered Projects
bull Commissioners Policy on Local Projects and Programsbull Commissioner issued Department Policy Memorandum 8-7
(March 2008)
bull Reaffirmation of policy direction and focus with VDOT Executive Team (Summer 2011)
bull The Policy commits VDOT to develop programs and processes that
bull Provide local governments tools to successfully administer transportation programs
bull Provide a consistent approach to VDOT stewardship and oversight across districts and divisions and
bull Promote efficient and effective local project and program delivery
bull Link to Policy httpwwwvirginiadotorgbusinessresourcesCoGoUrMupdf
Revenue Sharing Program
bull Provides a 5050 match of state and local funds
bull For Construction Reconstruction and Improvement Projects
bull Program increased to allow up to $10 million per locality annually
bull Annual Allocation Min $50 million Max $200 million
bull Deallocation process currently underway
bull Applications Due for FY13bull November 1 2011 Full application due to LAD (Debbi Webb-Howells)
7
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Revenue Sharing Program
bull Provides a 5050 match of state and local funds
bull For Construction Reconstruction and Improvement Projects
bull Program increased to allow up to $10 million per locality annually
bull Annual Allocation Min $50 million Max $200 million
bull Deallocation process currently underway
bull Applications Due for FY13bull November 1 2011 Full application due to LAD (Debbi Webb-Howells)
7
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Access Road Programs
bull Economic Development bull Provides funding for adequate access to qualifying development sitesbull May improve existing roadway construct new roadway or combinationbull Funding maximum is $650000 ($500000 unmatched amp $150000 matched)
bull Recreational Accessbull Provides funding for access to public recreational or historic areas owned by
the state or a local governmentbull Roads ndash Funding Maximums
State facility $400000Local facility $350000 ($250000 unmatched amp $100000 matched)
bull Bikeways ndash Funding MaximumsState facility $75000 Local facility $75000 (60000 unmatched amp $15000 matched)
bull Airport Accessbull Provides funding for adequate access to licensed public-use airportsbull Funding maximum is $450000 ($300000 unmatched amp $150000
matched) 8
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Enhancement Program
bull Provides funding for non traditional projects that Enhancement travel experience (ex sidewalks bike lanes and the conversion of abandoned railroad corridors into trails)
bull Many communities also use the program to acquire restore and preserve scenic or historic sites
bull Applications due on November 1st 2011 (Annual process)
bull Project Sponsor and Applicant workshops typically offered 3-5 locations each year
9
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Scenic Byways
bull Distinctive routes with outstanding archeological cultural historic natural recreational and scenic value
bull Approximately 3500 miles of roads
bull Provides National Scenic Byway Grants for projects along these corridors
10
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Rural Rustic Roads
bull Practical approach to paving Virginiarsquos low-volume roads
bull Improves the road surface within the current right-of-way
bull Funding from same sources as traditional unpaved road projects
bull Traffic volumes must be less than 1500 VPD
11
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Urban Program
bull 81 Cities and Towns (plus 3 more July 1st 2012)
bull Urban Construction Programbull Urban allocations allocated based on code (formula funds)bull Projects prioritized annually
bull Urban Maintenance Programbull Maintenance funds allocated annually ($364 million annually)bull Allocated based on moving lane milesbull Broken into two functional categories (Arterials CollectorsLocals)
12
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Urban Construction Initiative (UCI)
bull UCI Programsbull Applies to 13 CitiesTowns
bull Localities administer entire construction program
bull Programmatic Agreement (Project Agreement only for specially funded projects)
bull Other project development streamlining opportunities
bull UCI Guide into LAP and Urban Manual
bull Certification
13
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Secondary Six-Year Program
bull Program adopted by the County BOS annually
bull Funding amounts dictated by the financial climate
bull The Secondary Six-Year Plan is based on estimated funding
bull LAD currently working on a Secondary Policy Manual
14
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Devolution
bull Virginia is one of only a few states where state government has maintenance operational and construction responsibilities for local roads
bull Except in Arlington and Henrico counties VDOT assumes all maintenance operational and construction responsibilities on the secondary roads in the commonwealthrsquos counties
bull In 2001 the General Assembly enacted what is commonly known as the ldquoDevolution Statuterdquo
bull Resumption of responsibility for secondary highways by counties
bull Code of Virginia sect331-841 bull Allows the Commissioner of Highways to enter into an agreement with any
county to resume responsibility over all or any portion of the state secondary system of highways within such countys boundaries
bull Various Devolution Studies conducted
15
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Other Special Federal Funding Programs (LAD)
bull Forest Highways Programbull Forest Highways are public roads that are owned by state or local agencies
serve the National Forest system
bull Provides money for the improvement of Forest Highways
bull The funds available to Virginia from this program vary from year to year but are approximately $15 million
bull Public Lands Highways Discretionary Programbull Provides funding for improvements to roads that are open to public travel
and serve federal property such as National Forests National Parks nontaxable Indian lands military installations or other Federal reservations
bull Program is entirely discretionary in nature and there is no minimum level of funding for projects in Virginia
16
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Other Special Federal Funding Programs (LAD) (Continued)
bull Appalachian Regional Commission (ARC)bull Aims to better link the Regionrsquos businesses communities and residents to
the Appalachian Development Highway System (ADHS)
bull The ARC gives State Governors the option of using up to $500000 plus 5 of their annual ADHS apportionment (not to exceed $1 million each year)
17
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Other Federal Programs(not specifically LAD)
bull MPObull Congestion Mitigation and Air Quality (CMAQ)
bull Smaller congestion relief projects (ex adding turn lanes)bull Regional Surface Transportation Program (RSTP)
bull Small to large projects that have regional significance (ex project crosses impacts multiple jurisdictions)
bull Traffic Engineeringbull Highway Safety Improvement Program (HSIP)
bull Smaller projects to improve safety Determined by BC ratiobull Railway Safety
bull Projects to improve rail crossingsbull TPMD
bull Safe Routes to Schoolbull Projects to improve access to schools (ex sidewalk
improvements)18
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Board of Supervisors Manual
19
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
20
LAD Web Site
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Manager
Project Coordinator
Todd M Halacy PEActing Assistant DivisionAdministratorToddHalacyvdotvirginiagov804-786-3438
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a Project Manager
A Project Manager manages the scope schedule and budget for a project and at a minimum
Integrates team members deliverables and budgetsDirects daily project activitiesManages project cost and scheduleDetermines actions required to correct project variances Manages activities under their direct supervisionIdentifies risks and develops monitors amp manages mitigation planManages change to approved project requirements
22
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a Project Manager
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
23
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a Project Manager
The Project Manager has overall responsibility for guiding the project through the process and is the person who either ldquoaccomplishes the taskrdquo or ldquoensures others accomplish the taskrdquo necessary for successful project delivery
24
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a VDOT Project CoordinatorVDOT has a delegated responsibility to ensure that federal transportation funds are properly obligated authorized and utilized throughout project development and delivery
VDOT also is committed to assisting the LPArsquos so that they are successful in their management and administration of highway construction projects
In order to ensure effective communication between the LPA and VDOT each organization is required to assign a governmental employee to lead their efforts
25
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a VDOT Project CoordinatorThe Project Coordinator (PC) is VDOTrsquos governmental employee who is assigned to work with the LPA and to provide guidance as needed for all aspects of project development
26
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
There is a Fundamental Difference
A Project Manager guides the project through the process to ensure successful project delivery
VS
A Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
Acts as a liaison between Locality PM and VDOT technical staff
27
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a VDOT Project Coordinator
The PC is not responsible for specific project administration
The LPA must not expect the PC to provide quality control for their consultantsrsquo work
28
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a VDOT Project Coordinator
The PC will be the LPArsquos liaison with VDOT staff having an approval review or advisory role for the project
It is essential that adequate communication and coordination between the LPA and the PC be maintained
29
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a VDOT Project Coordinator
All communication to VDOT support and review staff must be coordinated with or through the VDOT PC
30
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Who is a VDOT Project Coordinator
General activities that the PC is responsible for include
Provide the LPA with applicable guidance materials forms checklists
Receive all submittals from LPA and coordinate VDOT reviews
Provide feedback to LPA on all submittals
Provide guidance as issues are identified
Monitor LPA schedule and ensure federal obligations can be met
Act as a liaison between LPA project manager and VDOT technical staff
31
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Team Work
VDOT and Localities work as partners in the delivery of state and federal-aid transportation projects in Virginia
32
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
How to Get it Done
Recognize that both agencies (VDOTLocality) are stakeholders in promoting a successful transportation program
Reciprocal relationship with open and continual communication
Continue to build and support a partnership that maximizes successful project delivery
33
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
How to Get it Done
Increase and maintain communication
Conference Calls
Broadcast Emails
Monthly Coordination Meetings
Project Task Specific Meetings
Use your Subject-Matter-Experts (SMErsquos)
34
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
How to Get it Done
Become your own subject-matter-expert
LAP Manual UCI Manual Revenue Sharing Manual Urban Manual
AASHTO Enhancement Program Procedure Manual RampB Specrsquos
35
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
How To Get it DoneResponsibility Without Authority
Are you held responsible for local government deliveryWho is responsible for Dashboard Federal Strategy
Location amp DesignProject Management OfficeEnvironmentalCivil RightsAccounting FiscalConstructionScheduling amp Contract
Structure amp BridgeRight-of-Way UtilitiesTraffic EngineeringProgrammingTTAC TPOPlanningLAD
36
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
How to Get it Done
Leadership involves producing change through establishing direction aligning people and motivating and inspiring
Set the directionAlign resourcesMotivate teamCommunicate effectivelyBuild relationshipsSuccessfully negotiateLead the change
Be the liaison between LPA project manager and VDOT technical staff
37
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Volume of Projects Multi-TaskingRemember - the Project Coordinator guides the locality through the process to ensure successful project delivery
Acts as a liaison between Locality PM and VDOT technical staffThe PC is not responsible for specific project administrationThe LPA must provide quality control their consultantrsquos work
Hundreds of ProjectsBe proactive
Guide and assist
Prioritize your work
Be willing to help facilitate
Be willing to employ your SMErsquos
Plan the work then work the Plan
38
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Locality Control Over Project TimelineWhen to set schedule and dates
Programming PhaseSYP DevelopmentFederal ObligationMilestone Submittal
Ensure our vitality and continued success by better understanding each other
Be proactiveCommunicateMonthly meetingsUse email to document critical decisions and directionBuild a partnershipBe a pest but be a nice pest
39
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Local Reviews Competing for ResourcesOur VDOT colleagues have responsibilities too
Project DeliveryFederal StrategyGovernorrsquos Transportation InitiativeSchedules amp Estimates
bull Build time into your schedulesbull Milestone activities up to datebull Open amp continual communicationbull Be proactive Be flexible Prioritize
40
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Donrsquot Underestimate the TimeProgrammingRTA AgreementPE AuthorizationScopingNEPAPublic InvolvementMilestone SubmittalsPlan review QAQC coordinationInvoicesAdvertisementAwardProject Closeout
41
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Letrsquos Summarize
PrioritizeBe ProactiveUpdate schedulesMaintain CommunicationBe a pest but be a nice pest
Project Manager guides the project through the process to ensure successful project delivery
Project Coordinator guides the locality through the process to ensure successful project delivery and authorizationobligation of funds
PC acts as a liaison between Locality PM and VDOT technical staff
Be flexibleUse your SMErsquosBuild a partnershipNegotiate resourcestimePlan the work and then work the Plan
42
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Challenges to the LAP Program
Todd M Halacy PEActing Assistant Division AdministratorToddHalacyvdotvirginiagov804-786-3438
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
44
Misconceptions of LAP Program
bull VDOTbull Minimal staff timebull VDOT projects are more importantbull Treat all projects the same (one size fits all)bull Do it like VDOT does it bull Locals do not know what they are doingbull Locals do not want to cooperate bull Donrsquot need locals
bull Localitiesbull No VDOTbull Quicker and cheaper project development bull VDOT bureaucracy w no flexibilitybull Constant roadblocksbull State and Federal laws donrsquot apply
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
New Changing Staff
bull VDOTbull Staff Inexperience bull VDOT reorganizationbull New project coordinatorsbull More staff divisions touching local projectsbull Large number of Local Programsbull Lack of knowledge of federal and state laws
bull Locals bull Localities facing staffing reductionsbull Many more local staff working on VDOT projectsbull Greater dependency on Federal Fundingbull Lack of knowledge of federal and state lawsbull More local divisions overseeing VDOT Projectsbull Relying on consultants to do more
45
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Consultants
bull Consultantsbull Greater dependency on consultantsbull Consultants have competing prioritiesbull Lack of knowledge of state and federal project development
requirementsbull Communication with VDOT and Localsbull Shortcuts - Trying to save locality time and moneybull Some taking advantage of localitiesbull Local staff not aware of project development requirements
46
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Competing Priorities
bull Generalbull Doing more with lessbull Lack of trust
bull VDOTbull Reduction in staffbull VDOT projects take prioritybull Federal Strategybull Reporting requirements
bull Localsbull BOS Council Prioritiesbull Constituent expectationsbull Local vs StateFederal projectsbull VDOT reports
47
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Federal Strategy
bull Important to Commonwealth
bull Projects on federal strategy take priority
bull Depend on locals to assist with federal strategy
bull Continue to reemphasize the importance of program
bull VDOT Localities collaboration
bull Updated estimates and schedules
bull Need to work off the same spreadsheets
bull Other projects
48
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
FIRE Reports
bull Federal requirement
bull Shows project inactivity
bull Important that locals invoice VDOT consistently
bull Realistic estimates and schedules
bull Project Delivery Meetings
bull Quarterly Reporting
49
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
VDOT Databases
bull Databases PCES iPM SYIP etchellip
bull General Informationbull Difficulty accessing VDOT programsbull Locality passwords expire every 30+ daysbull Software incompatibility
bull Why importantbull Reports being generated with information from systemsbull Inaccurate informationbull Hurts locality performance recordsbull Conflicting prioritiesbull Accountability
50
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Clark M WoodsClarkWoodsvdotvirginiagov804-692-0565
VDOT Guidance and LAD Support
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Local Assistance Division ndash Team Site
LAD Family Portrait
52
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
53
There are two very useful links that provide an abundance of assistance and information
bull Local Assistance Division (LAD) external web page
bull httpwwwvirginiadotorgbusinesslocal-assistanceasp
bull Local Assistance Division (LAD) team site on the Portal
bull httpinsidevdotsitesLocalAssistanceDivisiondefaultaspx
VDOT Guidance and LAD Support
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
54
Program specific information-reference materialhttpwwwvirginiadotorgbusinesslocal-assistanceasp
Locally Administered Projects Manual (LAP Manual)
Urban Manual
UCI Guide
Revenue Sharing Guidelines
Enhancement Program Procedures Manual
Economic Development Access Program Guidelines
Local Assistance Division External Web-Page
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
55
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Local Assistance Division ldquoPortalrdquo Team SitehttpinsidevdotsitesLocalAssistanceDivisiondefaultaspxHot Links for Local Assistancebull Fully Executed Agreementsbull Approved ldquoRtArsquosrdquo (spreadsheet)bull Standard Agreement and Appendices
bull OAG Standard Agreement Appendicesbull Standard Agreements 2010 (templates)bull Appendix Arsquos (templates)
LAD Division Sitesbull Local Oversight Section
bull Local Oversight SOPbull Local Agreement Database
bull Agreement events-Status of all agreements
56
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
57
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
VDOT and Locality Training Support and Resources
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Support and ResourcesCore Curriculum Training
bull Two internally-developed Web-based ldquomodulesrdquobull Three FHWA ndash NHI Web-based modules
FHWA NHI Web-based Modules link to websitebull Many Other Applicable Web-based Modules
59
bullIntroduction to Highway federal aidbullIntroduction to NEPAbullIntroduction to the Uniform Act
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Support and Resources
Newsletters (Tri-Annual)bull Manual Updatesbull Hot Topicsbull Program Updates
Transportation Training Academybull New relationship to leverage TTA expertise bringing training to Locally Administered Projects Program
60
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Support and Resources
Local Partnership Teambull Created by the 2005 General Assemblybull Who are theybull Web-SitePrimary Responsibilitiesbull Technical assistancebull Training opportunitiesbull Focused on federally funded projectsFocus on Policy Development and Communication
They are there for you
61
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Locality Responsibilities amp RequirementsRisk-Based Approach To Local Project Oversight
Russ DudleyLocal Assistance DivisionRussdudleyVDOTvirginiagov804-786-6663
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Locality Responsibilities amp Requirements
Chapter 31 Locally Administered Projects Manual
Federal Aid Projects
Localities must be ldquoadequately staffed and suitably equipped to undertake and satisfactory complete the workrdquo (23 CFR 635105)
Federal law requires that states be responsible for determining that sub-recipients have adequate project delivery systems and sufficient accounting controls
63
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Process
bull Full time government employee fully responsible for the projectbull Responsible-charge engineer ndash consultant or LPA
64
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Locality Responsibilities amp Requirements
Evaluation of Locality capabilities during RtA Processbull Adequate project delivery systems demonstrated
bull Capital project experience ndash similar nature size and complexitybull Staff experience bull Federal-aid transportation experiencebull Where experience lacking ndash how will they fill voidbull Success with previous VDOT-funded projects
bull Sufficient Accounting Controlsbull Rely on CAFR
65
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Risk-Based Oversight
Not every project needs the same level of review oversight
LAP Manual Chapter 9 Section 942
bull Oversight = VDOT Risk
LAP Manual Appendix 9-Bbull Federal-Aid (NHSFO) bull Federal-Aid (non-NHS) bull State-Aid (VDOT Maintained)bull State-Aid (Locally Maintained)
66
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Risk-Based Oversight
67
NFO FHWA FONon-NHS Facility NHS
State Funding FederalLocality Owner VDOTType I Project
CategoryType V
Extensive Experience Minimal
Appendix 9-C Project Risk and Oversight Evaluation
Putting into Practice
LOW HIGH
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Risk-Based Oversight
68
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Risk-Based Oversight
State-Aid Project Certificationbull No requirement to provide oversight reviewbull Poses no or minimal risk to VDOT
Locality certifies proper administration ofbull Design (VDOT review for VDOT-maintained)bull State procurementbull Right of Way Acquisition Relocationsbull Public Involvementbull Environmental (SERP gt $500000 exception)
Not applicable to projects developed as federal
69
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
70
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Using the LAP Manual
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
bull LAP Manual is divided into 4 major topic areas 19 chapters
bull LAP Manual has been formatted for easy searching
bull Extensive use of hyperlinks amp cross chapter links
bull PDF format reduces the document to reasonable size
72
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Chapter Outline
All chapters are generally set up the same way
bull Flow Chartbull Table of Contentsbull Introductionbull Applicabilitybull PurposesProcessbull VDOT Responsibilitiesbull Key Submittals Requirementsbull References
74
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Symbols
Three key symbols are used throughout the manual
Required submission
Important information
Must be kept on-file
Bold text and italics are also used to highlight important information
75
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Letrsquos take a look hellip
LAP Manual
76
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
77
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Administration Agreements
Bernie SchmelzProgram ManagerLocal Assistance Division804-786-2595 BernardSchmelzVDOTvirginiagov
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
bull Chapter 10 of the LAP Manual discusses Agreements
bull Applicability
bull Purpose
bull RtArsquos
bull Agreement Types
bull Appendix Arsquos
bull Documentation
79
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Applicability
bull All locally administered projects using federal or state-aid funding reimbursed by VDOT must have a project agreement
bull LPAs which administer their construction program such as Urban Construction Initiative Program local governments may administer projects through a programmatic agreement
bull Projects funded by LPAs and administered by VDOT must have a Project Administration Agreement
Project Administration AgreementsFederal-aid State-aidVDOT
MaintainedState-aidLPA
Maintained
X X X
80
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
LPA
Dis
tric
t PE
VDO
T LA
DVD
OT
Adm
inis
trat
ion
District concurrence
RtA submitted
Project included in TIPSTIP SSYPSYP
Agreement reviewed
LPA receives executed agreement
Agreement signed
RtA forwarded to Chief Engineer
Chief Engineer approves rejects
Estimate of oversight charges prepared submit to LAD
Draft agreement prepared
Agreement reviewed concurrence
Signed agreement reviewed forwarded to LAD
Agreement reviewed forwarded to Commissioner CTB
Commissioner CTB approves executes
Agreement distributed
Executed agreement forwarded to District
Rej
ecte
d
Cha
nges
30 Days
81
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Work conducted prior to execution of a Project Administration Agreement may NOT be eligible for reimbursement
82
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Request to Administer a Project
(RtA) form
bull Submitted by
Locality
bull District concurs
bull Submits to LAD for
concurrence by
the Chief Engineer
83
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Standard Project Agreements
bull Federal-aid Projects
bull State-aid Projects
bull Locally funded ndashVDOT Administered
84
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Completing the Appendix A
Project Narrative
Scope Reduce residential speeding by the installation of traffic calming device at selected locationsFrom CountywideTo Subdivision streetsLocality Project Manager Contact info Bill XXXXX William XXXXXcountygov 123-456-7890 Department Project Coordinator Contact Info Doug Miller DouglasMillerVDOTVirginiagov 703-259-1793
Locally Administered Appendix AProject Number UPC Locality Project Location ZIP+4
Locality DUNS Locality Address (incl ZIP+4)
85
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Costs and Reimbursement
PhaseEstimated
Project Costs
Estimated Eligible Project
Costs
Estimated Eligible VDOT
Project Expenses
Estimated Reimbursement
to LocalityPreliminary Engineering $36640 $36640 $5000 $31640Right of Way amp Utilities $0Construction $329767 $319767 $5000 $314767Total Estimated Cost $366407 $356407 $10000 $346407
Total Maximum Reimbursement Payment by Locality to VDOT
Total Maximum Reimbursement by VDOT to Locality $356407
86
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project FinancingA B C D E
Formula - State secondary -
FairfaxLocality Funds ltfund source Cgt ltfund source Dgt
Aggregate Allocations
$356407 $10000 $366407
87
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Program and Project Specific Funding Requirements
This project shall be administered in accordance with VDOTs Locally Administered Projects Manual
This is a limited funds project (NAME) County shall be responsible for any additional funding in excess of allocations subject to annual or other lawful appropriations
All required regulatory agency coordination has been or will be made and applicable permits or approvals have been or will be acquired
88
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Summary
TaskSubmittal File Documentation
Locality Responsibility
VDOT Responsibility
Submittal Timing Recordkeeping Requirements
Request to Administer Form
Prepare and send to RA or UPM
Review request and make recommendation to LADChief Engineer
At initiation of the project review time approximately 15 business days
Agreement and Appendix A Preparation Review Appendix A DistrictLAD
preparation 30 Calendar days
LPA reviews and approves agreement
Agreement signed by local official NA NA
Agreement executionSign agreement and provide signatory authority
Commissionerrsquos Signature 15 business days
89
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Questions
If you have any additional questionsbernardschmelzvdotvirginiagov
804-786-2595
90
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Development
Winky ChenaultFederal Programs Manager
Pam ListonEnhancement Program Manager
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
92
Project Development Phases ndash Critical Issues
Consultant Selection
bull Reviewing the RFP
bull Selecting the ldquoright consultantrdquo for the job
bull Qualification ndash based for professional services
bull Pre-award audit if contract value is over $100000
bull Non-professional services
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Kilmarnock Streetscaping
93
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Culpeper Depot
94
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Development Phases ndash Critical Issues
Environmental Document
bull Potential Risk Issues on locally-administered projectsbull Locality Complying with Coordination Requirementsbull Financial Risk to Project Funding
bull Cultural Resourcesbull Prior to Constructionbull During Construction
95
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Blue Ridge Railway Trail
96
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Woodstock Streetscaping
97
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Development Phases ndash Critical Issues
Design
bull Plan Reviews
bull Design Exceptions ndash approved by the State Location and Design Engineer ndash also FHWA on projects with federal oversight
bull Design Waivers ndash approved by the District Location and Design Engineer
98
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Development Phases ndash Critical IssuesDevelopment of Bid Documents
bull Negotiation Clauses
bull Small Purchases
bull Sole Source
bull DesignBuild
bull Local Forces
bull Civil RightsDBE requirementsbull Projects over $100000 need to be reviewed for a goal
determinationbull SWAM vs Certified DBE contractor
99
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Development Phases ndash Critical Issues
Right of Way
bull Authorization for utility relocation andor property acquisition
bull Certification
100
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Battle of Sailorrsquos Creek
101
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Development Phases ndash Critical Issues
Construction
bull Authorization to advertise for construction bids
bull Construction award approval
bull VDOT oversight of construction activitiesbull Change orders
bull C-5
102
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Burkeville Train Station
103
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Project Development Phases ndash Critical Issues
Keys to Effective Project Delivery
bull Kick-Off Meetings Pre-construction meetings quarterly reports
bull Monthly Meetings ndash emphasize realistic timeframes for project development
bull Clear lines of communication
bull Prompt response to inquiries ndash decisive responses
bull Keep alert for local project management changes
104
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
If you have any additional questionshchenaultvdotvirginiagov804-786-2264
pamelalistonvdotvirginiagov804-786-2734
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Other LAD Initiatives
Winky ChenaultFederal Programs Managerhchenaultvdotvirginiagov804-786-2264
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
LAD Initiatives
bull Business Plan ndash LAPsEvaluate local government ability to effectively manage and deliver projects hellip make changes to agreements programs policies and procedures hellip so that locally administered projects and project phases are completed within agreed time frames
bull Compliance Assessment ProgramIdentify trends in non-compliance for LAPs results used to guide program outreach
bull Performance InitiativesDevelopment of tools and mechanisms to assist Districts track performance of local governments
107
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
LAD Initiatives
bull Consolidation of GuidancePutting all Project Delivery Guidance in one place
bull UCI CertificationStreamlined program for UCI participants meeting stringent qualifications
bull LAD Web-Page NotificationsSign up for automated notifications of new information on the LAD web-age
bull Additional Training Targeted to Construction ndash Materials QA and Work Order Processes DOT-OIG and FHWA ARRA LAP Audits
108
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
LAD Initiativesbull Internal and External Surveys
Asking what our customers want
bull Fall 2012 LAD Conference2 ndash day workshop for VDOT and Local Staff to learn and network
109
0102030405060708090
100
Prefer to Strongly Prefer
VDOT Staff
0102030405060708090
100
Prefer to Strongly Prefer
Localities
Local Assistance Division (LAD)New Project Coordinator Training
Local Assistance Division (LAD)New Project Coordinator Training
