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Local Public Agency (LPA) Basic Certification Training March 2014 1
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Local Public Agency (LPA)Basic Certification Training
March 2014
1
A Living Document
Provides links to References and Resource People
Defines the Process for: Project Development Letting Construction
LPA Guidance Document
2
LPA Guidance Document
Critical Elements Fatal Flaws Documentable Proof
3
Resources
INDOT Central Office:
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Kathy Eaton-McKalipDirector of LPA & Grant Administration100 N Senate AvenueIndianapolis, IN [email protected]
Britni SaundersLPA Training Program Director100 N Senate AvenueIndianapolis, IN [email protected]
Brenda FoxLPA Policy & Guidance100 N Senate AvenueIndianapolis, IN [email protected]
For general questions, feedback or training registration:[email protected]
District Local Program DirectorsCrawfordsville District
Susan KempPhone: (765) 361-5228Email: [email protected]
Greenfield District OfficeKim Bowdell/Cassandra
HudsonPhone: (317) 467-3440Email: [email protected] Email: [email protected]
Seymour District OfficeDebra AultPhone: (812) 524-3969Email: [email protected]
Fort Wayne District OfficeDavid ArmstrongPhone: (260) 969-8277Email: [email protected] LaPorte District OfficeMarcia BlansettPhone: (219) 325-7564Email: [email protected]
Vincennes District OfficeLora LewisPhone: (812) 895-7393Email: [email protected]
5
Program IntroductionChapter 1
1
Federal Highway Administration (FHWA)
FHWA – Responsible for ensuring adequate and proper delivery of federal-aid projects.
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Indiana Department of Transportation (INDOT)
INDOT:a. Provides technical assistance to the
LPAb. Accountable to FHWA to ensure all
project elements comply with federal law and regulations
c. Ensures that local projects utilizing federal funds made available by INDOT are appropriately utilized in a timely manner and are in compliance with all federal and state regulations
10
Local Public Agency (LPA) LPA:
a. Must have a certified Employee in Responsible Charge (ERC) before applying for federal-aid funds for a project.
The ERC role cannot be filled by a consultant or a contract employee hired by the LPA.
The ERC must be an employee of the LPA.
Because many smaller LPAs do not maintain full time staff, the ERC is not required to be a full time employee.”
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ERC (cont.)
Responsibilities of the ERC:
Managerially responsible for project
Listed in Section 1-3.02 of the LPA Guidance Document
12
ERC (cont.)A few of the responsibilities of the ERC: Submits electronic project application Ensures the INDOT-LPA Project Coordination
Contract is executed and returned to INDOT Submits the Requests for Proposals to INDOT
for a consultant LPA’s ERC is responsible for attending
Quarterly Tracking meetings and submitting required electronically Quarterly Reports detailing up-to-date cost estimates and schedules through project construction.
13
Consultant Requirements
The consulting firm must be on INDOT’s pre-qualified consultant list.
Consultant must have a Certified Project Manager who has attend LPA Project Development Training and become certified prior to working on an active project.
Provide information the ERC for quarterly reports and attend tracking meetings.
14
Metropolitan Planning Organization (MPO)
Coordination
Chapter 6
1
Metropolitan Planning Organization (MPO)
MPO’s are responsible for transportation planning in urbanized areas. These areas are based upon population
density taken from the Census. An MPO has multiple boundaries.
In their core or Urbanized area, they plan and fund the projects.
MPO’s also coordinate on projects within a larger planning area.
Understanding MPOs
Metropolitan Planning Organization (MPO)Maps showing the urban area boundary for each MPO:http://dotmaps.indot.in.gov/apps/PlanningDataViewer/FC_Maps/FC_listing.asp
20
MPO Coordination
http://indianampo.com/PDF/MPOs.pdf
19
Transportation Improvement Program (TIP)
This is a 4 year planning document specific to an MPO.
The TIP shows projects in that period with all funded phases in the year and amount of funds those will be obligated.
TIP Phases are Preliminary Engineering (PE), Right of Way (ROW) and Construction (CN).
Statewide Transportation Improvement Program (STIP)
The STIP is the same type of planning document as an MPO’s TIP.
INDOT is responsible for this document.
The STIP covers projects across the State as a whole including LPA projects.
18
MPO Coordination LPAs outside of the Urbanized Area (UZA),
but inside the Metropolitan Planning Area Boundary (MPA), should submit their projects to the MPO for concurrence.
All Indiana MPOs conduct Quarterly Tracking meetings. The flow of information should be bi-directional.
MPO_INDOT Cooperative Operations Manual www.in.gov/indot/files/LPA_MPOManual.pdf Indiana MPO Council Website www.indianampo.com
21
MPO Coordination Most LPA Surface Transportation (STP) funded
projects located within an Urbanized Area are funded by the Metropolitan Planning Organization (MPO) using selection criteria established by the MPO’s Policy Committee.
LPAs must notify the MPO of any change in project scope, project phase costs, project/phase timelines, funding sources, etc. so the MPO can appropriately modify or amend its TIP.
LPAs must familiarize themselves with the MPO’s established Change Order Policy and comply with that policy.
22
Early Coordination Meeting Early Coordination meeting
Project Development Process Consultant Selection Process LPA-Consulting Contract INDOT-LPA Contract Funding phases Environmental Process Right-of-Way Acquisition Process Schedule and Budget Responsibilities of the Local Public Agency
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1 contract covering all phases
Schedule and Term
FMIS approval
INDOT-LPA Contract
25
INDOT-LPA Contract Terms:
Funding Window LPA’s responsibilities INDOT’s responsibilities Maximum amount of federal funds,
including credits, for the project.
INDOT-LPA Contract – Contract Terms
26
INDOT-LPA Contract (cont.)
Supplemental INDOT-LPA Contracts:
Changes in the scope Changes in the federal funding Changes in funding sources Additional award Move to a different letting
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INDOT-LPA Contract (cont.)
Executed INDOT-LPA Contract returned to District Local Program Director
Executed contract must be returned within 6 weeks of receipt of contract
If not returned funds could be rescinded
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Signature page of the INDOT-LPA Contract:
Required signatures of LPA Highest elected official Clerk Treasurer/Auditor
INDOT-LPA Contract (cont.)
30
Request for Federal FundsFiscal Management Information System (FMIS)
FMIS: federal authorization for the use of Federal-aid funds on a specific project phase
Every project phase must have FMIS Authorization before any work begins.
The ERC must request FMIS authorization for the Right-of-Way phase in writing after the environmental document has been approved.
31
FMIS Authorization
Important revision to the LPA Guidance Document:
Before funds can be requested through FMIS:
The project phase must be in the TIP (if applicable) and the STIP.
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FMIS Authorization (cont.)
INDOT must have a copy of the executed LPA-Consulting Contract.
The INDOT–LPA Contract must be approved by the Attorney General’s office.
A Purchase Order will be opened. Notice to Proceed to the LPA is given
by the District Local Program Director
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Notice to Proceed
What is the most important thing to remember before beginning work on a project phase?
34
FMIS Authorization (cont.)
ANSWER:If you want reimbursed for any work your Consultant has done on a project, you must wait to receive INDOT’s written Notice to Proceed!
35
Consultant ContractingChapter 7
1
Consultant Contracting
Topics covered in this chapter include:
Applicability and LPA Responsibilities Selection Process Contract Scoping and Negotiation Contract Administration Errors and Omissions Documentation
37
Applicability and Responsibility
When consultant services are to be funded with federal-aid dollars, or by credits used as a match for construction, the LPA must follow all Federal requirements.
When no Federal dollars are used to pay for services, all services leading to federally funded construction must be performed by INDOT prequalified consultants.
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Applicability and Responsibility
Federally funded consultant selection, contracting and contract administration activities shall be performed by or under the supervision of a certified Employee in Responsible Charge (ERC).
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LPA Consultant Selection Toolkithttp://www.in.gov/dot/div/legal/rfp/LPARFP/LPAConsultantSelectionToolkit.pdf
Links to all relevant documents are included in this Toolkit!!!
Prepare RFP
Request Past Performance Data and Verify Prequalification
Scoring
Ties and DBE Verification
LPA Selection Review Checklist
INDOT Selection Process Approval
41
LPA prepares Request for Proposal (RFP) Use RFP Template
Identify Prequalification Requirements
Contact Economic Opportunity Division (EOD) for Disadvantaged Business Enterprise (DBE) goalInclude in request: Brief Description of Project; DES No.; Total Project Cost; Estimated Fee; Typical Sub-consulting Opportunities Associated with Type of Service; Copy of RFP; your e-mail
On-line: http://www.in.gov/indot/div/legal/dbe/dbegoalrequestform.htm Email: [email protected]
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RFP Advertisement
Submit RFP to INDOT District
INDOT posts RFP to website
LPA may also post locally
LPA receives Letter of Interest (LOI)
Minimum of 3 responses
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RFP Responses Received LPA requests past performance scores from
district
LPA verifies prequalification requirements met
LPA rates firms and ranks
LPA submits Affirmative Action Certification Form of top ranked firm to EOD for approval
LPA Selection Review Checklist
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Verify Prequalification Requirements
! Verify INDOT Pre-qualification of firms who submitted LoIs
Prequalification information: http://www.in.gov/indot/2732.htm
The Prime Consultant is not required to be pre-qualified in every work type; however, either the Prime or the Sub-Consultants must be pre-qualified in every work type category listed in the RFP. The LPA must confirm the pre-qualifications for both.
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Selection Rating Sheet (City, County, Town, etc.) - or - (Local Public Agency)
Evaluation Criteria to be Rated by ScorersCategory Scoring Criteria Scale Score Weight Weighted
ScorePerformance evaluation score averages from historical performance data.
Quality score for similar work from performance database. 1.2 6 7.2Schedule score from performance database. 0.1 3 0.3
Responsiveness score from performance database. 1.1 1 1.1Evaluation of the team's personnel and equipment to perform the project on time.
Availability of more than adequate capacity that results in added value to INDOT. 1Adequate capacity to meet the schedule. 0
Insufficient available capacity to meet the schedule. -3Technical expertise: Unique Resources that yield a relevant added value or efficiency to the deliverable.
Demonstrated outstanding expertise and resources identified for required services for value added benefit. 2
Demonstrated high level of expertise and resources identified for required services for value added benefit. 1
Expertise and resources at appropriate level. 0Insufficient expertise and/or resources. -3
Predicted ability to manage the project, based on: experience in size,complexity, type, subs, documentation skills.
Demonstrated outstanding experience in similar type and complexity. 2Demonstrated high level of experience in similar type and complexity. 1
Experience in similar type and complexity shown in resume. 0Experience in different type or lower complexity. -1
Insufficient experience. -3Project Understanding and Innovation that provides cost and/or time savings.
1High level of understanding and viable innovative ideas proposed. 2High level of understanding of the project. 1
Basic understanding of the project. 0Lack of project understanding. -3
Location of assigned staff office relative to project.Within 50 mi. 151 to 150 mi. 0
151 to 500 mi. -1Greater than 500 mi. -2
63.6
Signature:
Print Name:
Title:
0 5 0
Location
Team's Demonstrated Qualifications
RFP Selection Rating for __________________________________ Des. No. ____________
Approach to Project
2
Consultant Name: _________________________ Services Description: __________________________
1
200
1
Project Manager
Past Performance
15 30
15 15
10 10
0
Capacity of Team to do Work
Weighted Sub-Total:
It is the responsibility of scorers to make every effort to identify the firm most capable of producing the highest quality deliverables in a timely and cost effective manner without regard to personal preference.
I certify that I do not have any conflicts of interest associated with this consultant as defined in 49CFR18.36.
I have thoroughly reviewed the letter of interest for this consultant and certify that the above scores represent my best judgment of this firm’s abilities.
_______________________________
_______________________________
_______________________________
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Rating Sheet Certification
It is the responsibility of scorers to make every effort to identify the firm most capable of producing the highest quality deliverables in a timely and cost effective manner without regard to personal preference.
I certify that I do not have any conflicts of interest associated with this consultant as defined in 49CFR18.36.
I have thoroughly reviewed the letter of interest for this consultant and certify that the above scores represent my best judgment of this firm’s abilities.
Signature:_________________Print Name:________________Date:_________
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Ranking Tabulation Form
Consultants Bob Smith
Ran
k Becky Jones R
ank Richard
Williams Ran
k Henry Robinson R
ank Member 5
Name Ran
k Rank Totals
Firm Ranking
A Engineers, Inc. 80 1 70 2 80 1 80 1 5 1E Architects & Engineers 80 1 70 2 60 2 70 2 7 2C and Associates 70 3 80 1 60 2 60 3 9 3B Consultants 40 4 40 5 50 4 30 4 17 4D Consulting Engineers 30 5 50 4 40 5 30 4 18 5
0000000
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LPA Selection Review Checklist
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Selection Review Checklist – General Information
General Information: Number of Letters of Interest received __, if less
than 3 attach documentation of recruitment efforts.
Number of teams that not meet prequalification requirements_____. Explain why teams did not meet qualifications. __________________________________________________________________________
If pre-screening was used, was it consistent with the process advertised in the RFP? (Yes)(No)_________.
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Selection Review Checklist – Score Sheets All scorers used the same score sheet as advertised in
the RFP. All scorers have scored all firms that met
prequalification requirements. All scorers used the values from the “Scale” column to
populate the “Score” column. The Location rating for the same firm has the same
value applied on every score sheet. Past Performance is applied consistently
(Only applicable if Past Performance is required) N/A
The calculations for weighted scores and weighted sub-totals are correct.
The Signature and Date of Scorer is on each score sheet.
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The signature of Scoring Team Leader and Date are on Tabulation Sheet.
All qualified firms are listed on the form. The total scores at the bottom of each individual
score sheet were correctly reflected on the Tabulation Form.
Highest ranked lead firm is INDOT prequalified. (Applicable when INDOT Prequalification is required in RFP.)
The highest ranked team (Lead & Sub firms) is prequalified to perform all work types listed in the RFP.
Selection Review Checklist - Tabulation Sheet
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Approval of Consultant Selection The LPA Selection Review Checklist should be signed
by the ERC.
The LPA Selection Review Checklist is submitted to the District Local Program Director along with the following:
Advertised RFP DBE Goal set email at ___ % DBE Goal met email from EOD Past Performance Data as provided by INDOT Scoring Tabulation Sheet and Score Sheets Affirmative Action Certification Form for the top
ranked firm
53
Approval of Consultant Selection The District reviews the consultant selection
information.
If there are no errors that need correction, the District signs the LPA Selection Review Checklist.
The District emails a copy of the approved LPA Selection Review Checklist to the LPA, stating in the email the LPA may begin negotiations with their No. 1 ranked firm.
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LPA-Consultant Scoping Meeting
Communicate project expectations
Answer questions
Set due date and requirements for proposal package
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Contract Compensation Methods
Lump Sum – Good method to use when the scope of work is well defined and when there is confidence in level of effort required. Not acceptable for construction inspection.
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Contract Compensation Methods
Negotiated Labor Rate – Acceptable method to use when the scope is not well defined or when the consultant is not in control of the level of effort. Typically used for construction inspection.
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Contract Compensation Methods
Cost Plus Fixed Fee – Acceptable method to use when the scope is well defined but there is a lower degree of confidence in the level of effort required. Consultants must have full CPA Audit or Cognizant Audit prequalification financial approval to use this method.
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Contract Compensation Methods
Unit Price – Good method for use with repetitive well defined units of work. Typically used for geotechnical and right-of-way (ROW) services. INDOT approved unit price rates for ROW services are available on the INDOT website.
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LPA – Consulting Contract
Always use current “Boilerplate” LPA-Consulting Contract posted on INDOT’s website at: http://www.in.gov/indot/2390.htm
LPA and Consultant MUST use this contract to be eligible for consultant expenses
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LPA – Consulting Contract
Project specific issues can be addressed within these contracts by amending the appropriate Appendices
Appendix A – Services to be Furnished by the Consultant
Appendix B – Information and Services to be Furnished by the LPA
Appendix C – Schedule Appendix D – Compensation
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Proposal Package Scope of Work formatted for
contract Fee Proposal
Detailed person-hour breakdown by task
Overhead rateProfit rateComputation of total costs
Overhead Rate Documentation
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Fee Proposal Review
Review task list and hours
Verify overhead rate
Review escalation - INDOT posts Employment Cost Index rate from Bureau of Labor & Statistics - http://www.in.gov/indot/files/DBWI_ProposalsContracts_EscalationRates.pdf
Review profit rate See INDOT Profit Rate Matrix -
http://www.in.gov/indot/files/ProfitMatrix.pdf
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Contract Review Checklist
65
Submit Draft Contract for INDOT Review Signed LPA-Consultant Contract Review Checklist
Contract Review Checklisthttp://www.in.gov/dot/div/legal/rfp/LPARFP/LPA-ConsultantContractReviewChecklist.pdf
Unsigned Draft LPA-Consulting Contract (electronically)
Consultant Fee Proposal (manhours and fee justification)
Consultant Prequalification Letter
All LPA – Consulting Contracts and supplemental contracts must be reviewed by INDOT prior to beginning any work. 66
Submit for FMIS Authorization
LPA may not issue a Notice to Proceed to their consultant prior to receiving the Notice to Proceed from INDOT. Expenses incurred prior to the Notice to Proceed will not be eligible for FHWA participation.
Invoices must be reviewed to verify consistency with the contract
67
Critical Elements & Fatal Flaws Certified ERC Advertised RFP DBE Goal Prequalified Consultant and/or Team Proper Procedures followed including Scoring
and Ranking Use of Standard Boilerplate LPA-Consulting
Contract Contract Reviewed by INDOT NO Work performed prior to INDOT’s Notice
to Proceed
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Plan PreparationChapter 9
1
Roles and Responsibilities
The District Project Manager (PM) is the first contact.
The District will coordinate with Central Office as needed.
The LPA and their Consultant are responsible for uploading plans and documents to ERMS.*When documents and plans are uploaded into ERMS, it is critical that the District ERMS Coordinator is copied. See Guidance Document for specific communication standards and contact information.
The LPA and their Consultant are responsible for maintaining the schedule and timeliness in getting the project to letting.
(ERMS – Electronic Reporting Management System)
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SECTION V TERM AND SCHEDULESECTION V TERM AND SCHEDULE.
A. If the LPA has the plans, special provisions, and cost
estimate (list of pay items, quantities, and unit prices) for the Project ready such that federal funds can be obligated (INDOT obligates the funds about 7 weeks before the date bids are opened for the construction contract) between July 1, and June 30, , INDOT will make the federal funds shown in section I.A. and/or I.B. of Attachment D available for the Project, provided the Project is eligible.
B. In the event that federal funds for the Project are not
obligated during the period listed in section V.A., the federal funds allocated to the Project will lapse.
72
Responsibility for Design and QC/QAThe LPA and their consultant are responsible for the
preparation of: All Plan Sheets Design Computations Quantity Computations Final Package/Tracings Documents Engineer’s Estimate All other Pertinent Project Documents necessary to
certify the project is ready for construction.
The LPA and their consultant are responsible for quality control and quality assurance with detailed documentation.
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Plan Development Process
Plan development begins at the inception of the project
Performed concurrently with other activities
Stage 3 Plans are required for INDOT review
Stage 1 Plans are required if there are Level 1 Design Exceptions
LPA may request Stage 1 and Stage 2 reviews
74
Design Criteria
Projects must be designed in accordance with the Indiana Design Manual (IDM), FHWA and AASHTO requirements.
Level 1 Design Criteria Critical to safety and serviceability
Design exception required if not all Level 1 criteria are met
Requires a Stage 1 Review Submission
Level 2 Design Criteria Important to safety and serviceability
Exceptions concurred with by LPA
Level 3 Design Criteria Any item not listed as Level 1 or Level 2
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Plans Preparation Process
STEP 1:FIELD SURVEY
Required on almost all projects Gather data on existing topography Initial utility survey
STEP 2:HYDRAULIC DESIGN APPROVAL
Drainage system adequacy Water quality Waterway opening for bridges
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Plans Preparation Process
STEP 3: FIELD CHECKS
Preliminary field check is required on most projects
An opportunity for involved parties to review the plans
STEP 4: GEOTECHNICAL INVESTIGATION
Evaluate subsurface conditions
78
Plans Preparation ProcessSTEP 5:PAVEMENT DESIGN SUBMISSION
Designer is responsible for design Compliance with IDM Chapter 52 Design stamped with Pavement Designer’s PE
stamp Checked by second PE Reviewed by the ERC Submitted by the Designer in ERMS, with copy to:
ERC INDOT District Pavement Engineer District Project Manager
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Plans Preparation Process
STEP 6:PROPRIETARY MATERIALS
Single source materials Approval must be obtained for FHWA to
participate in cost
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Plans Preparation Process
STEP 7:UNIQUE PAY ITEMS AND SPECIAL PROVISIONS
Must be approved prior to Stage 3 Review Submission and reviewed by Estimates Manager and Specification Engineer
Non-participating items100% Local funds
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Plans Preparation Process
STEP 8:STAGE 3 SUBMISSION REVIEW
Submitted at least 75 days prior to RFC date
30 day review period Reviewed for conformance with IDM and for
Fatal Flaws Reviewer comments must be addressed
83
Plans Preparation ProcessSTEP 9:FINAL TRACINGS SUBMISSION
After Stage 3 and 30 days prior to RFC date
District reviews for conformance
STEP 10: CONTRACT REVISONS PRIOR TO LETTING
Approved by District Construction Engineer Up to 1 week prior to letting
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The Design FileAll documents related to the project design must be maintained by the LPA for 5 years after project close out and final audit:
Design criteria ADA – Americans with Disabilities Act Maintenance of traffic Design exceptions Proprietary materials
Stage 1, 2 and 3 Plans Geotechnical report Permits
See the Guidance Document for a complete list
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Americans with Disabilities Act
Keep in mind that a properly designed pedestrian facility, i.e., designed according to PROWAG or ADAAG,
If constructed or installed improperly, may:
Not achieve the intended goal of accessibility Violate the Americans with Disabilities Act of
1990, as amended (42 U.S.C. Sec. 12101 et seq.)
ADAAG - American Disabilities Act Accessibility Guidelines Handout Provided on Detectable Warning SurfacesPROWAG - Public Right of Way Accessibility Guidelines
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Environmental Processing/Permitting
Chapter 8
1
Introduction The LPA and their Consultant are responsible to ensure the environmental document and approval covers all of the applicable federal regulatory requirements and is consistent with the plans.
The current “Indiana Categorical Exclusion Manual” and “Procedural Manual for Preparing Environmental Documents” will be used to document all impacts to the natural and human environment, with the following supplemental guidance specific to LPA projects.
INDOT’s Environmental Services (ES) should be contacted to resolve any disagreement between manuals.
Request clarification prior to submittal of the NEPA document.
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Environmental Document TypesCategorical Exclusions (CE)Programmatic CE
Minor Projects, No Permits Needed, No R/W, Uses Section 106 MPPA
CE-1 Minor Projects, <0.5 acre R/W, No Substantial Impacts, Water
Impacts Not Likely to Need Mitigation.
CE-2 <10 acres R/W, Minor Impacts to Historical Resources, Water
Impacts Will Likely Need Mitigation.
CE-3 >10 acres R/W, Substantial Changes to Existing Roads or
Noise Levels
CE-4 Federal Involvement – Section 106 of NHPA, Section 4(f) of
DOT Act, Section 7 of ESA, Impacts to Ground Water
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Typical Completion Times
Level of CE Average Completion Time
Programmatic CECE Level 1
~1 Day 6-8 Weeks
CE Level 2 4-6 Months
CE Level 3 5-8 Months
CE Level 4 6-12 Months
EA/FONSI and EIS 12-36 Months
92
Environmental Document Types Environmental Assessments (EA)
EA’s are used to document that large projects would have impacts similar to a CE with no Significant Impacts.
EA’s can have two outcomes FONSI (Finding of No Significant Impact) – NEPA is
satisfied/complete No FONSI Issued – An EIS will need to be prepared.
This scenario is very uncommon.Environmental Impact Statements (EIS)
Projects which expect significant environmental impacts or public controversy
Coordination With INDOT/FHWA Will Determine Which is Needed Coordination should be conducted as early as possible,
when a project substantially exceed the CE-4 Thresholds.
93
Process Steps Notice to Proceed – Check for NEPA Prequalification Red Flag Investigation Preliminary Field Reconnaissance Environmental Early Coordination – Two Types,
Both May Be Needed Standard Agency Coordination Section 106 Coordination
Additional Studies Submittal to INDOT Draft CE (Categorical Exclusion) release for Public
Involvement Public Involvement Approved CE
94
Environmental Steps Red Flag Investigation
Should be conducted early in NEPA process.
Reviews numerous resources – not only for Hazardous Materials
Includes Site Assessments & Investigations
INDOT Cultural Review looks at archaeological sites and above ground resources.
Threatened and Endangered Species
Environmental Early Coordination
Project details and description of environmental resources are sent to resource agencies for feedback. This is known as early coordination.
Level of early coordination is project dependent. Include INDOT’s Office of Public Involvement
Identification of water resources is needed for NEPA document.
Environmental Steps
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Permits LPA’s and their consultants are responsible
for their own permits, as well as any technical studies.
Schedule Time for Permits and Mitigation
USACE 404 IP ~ 12 to 18 months (mitigation?) USACE RGP/IDEM 401 IP ~ 4 to 7 months
(mitigation?) USACE NWP/IDEM 401 RGP ~ 3 to 4 months IDNR CIF ~ 9 months IDEM Rule 5 ~ 4 months
All required permits must be in hand prior to Final Tracings Submission.
97
The level of public involvement varies with size/complexity of project.
After INDOT/FHWA have reviewed the document, it will be released for public involvement.
The environmental document will not be approved until completion of any required public involvement activities.
Public Involvement
106
Once public involvement is completed, submit updated environmental document to the district for approval.
Larger projects require additional signatories:
CE-1 INDOT DistrictCE-2 INDOT DistrictCE-3 INDOT District and Central OfficeCE-4 INDOT District, Central Office and Federal Highway
Environmental Document Approval
108
Common Causes Of DelayUnforeseen adverse effects
Know the impacts to water resources Identify resources of concern on the plans and
reduce impacts/prevent scope-creep near these resources
Environmental document does not match the plans
Additional Information Addendum (AI) may be needed
AI documents can be time consumingFailure to plan for permitting timeframe
Mitigation required prior or with project to obtain permit
Off-site mitigation often requires it’s own CE
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Environmental Consultation Form
The Environmental Consultation Form is required to provide quality assurance and demonstrate compliance.
Shows that: Plans match the environmental document Public Involvement has been completed Permits have been obtained
Form is submitted with Stage 3 Plans and Final Tracings.
110
Utility & Railroad CoordinationChapter 10
1
Presentation Overview Utility Coordination
The primary objective is to prevent utility conflicts during construction, provide just compensation for property taken and maintain good relations with utilities.
Railroad Coordination If you are using federal funds railroad Coordination activities are handled by INDOT District Railroad Coordinators.
Determine if there is Railroad Involvement (railroad signals in the project limits, project touches railroad property, project is within 50 feet of railroad tracks). If so INDOT will help with an estimate.
113
Avoiding Risk:
Factors to consider:
Can you avoid having utilities move? Relocations included in construction
contract Right of Way Space - Did you get enough
for utilities? Legal possession of all Right-of-Way
118
Additional Factors: Advance clearing contract
Budget
Project complexity Project type (i.e., urban, rural, design-
build) Number of utility relocations If the utility says they will move after “X”
happens don’t tell the contractor a fixed date.
Managing Risk:
119
Utility References Utility Coordination on all projects must follow rules:
* 105 Indiana Administrative Code (IAC) 13 Formal procedure for process
* Federal regulations for utilities:http://www.fhwa.dot.gov/programadmin/utility.cfm
* Utility Accommodation Policy http://www.in.gov/indot/files/UC_AccommodationPolicy.pdf as applicable
* INDOT Manuals
114
Utility References More rules: Attorney General Opinion No. 26 Audit Requirements Basic accounting Brooks Act Public Law 92-582 Code of Federal Regulations (CFR) 23 CFR 1.23(a) 23 CFR Part 630, as follows:
subpart J 23 CFR 645 23 CFR 635.205 23 CFR 710.201(e) 23 U.S.C. 313 36 CFR 800.11 47 U.S.C. 224. 49 CFR 192.1 Court of Appeal Rulings Hass vs. State of Indiana No.
64A03-0501-CV-11 Louisville & Indiana Railroad v
Gas Co. No. 03S01-0401-CV-00009
Elements of Contract Law Environmental Law IDEM Rule 5 Ground Disturbance Tree Clearing and the Indiana Bat Archaeological Findings Hazardous Materials Waterway Permits Wetlands: Threatened and Endangered
Species Farmland: Commitments Database Federal exemption for pipelines
for natural gas and oil transmission lines
Federal-aid Highway Program Stewardship and Oversight Agreement
Federal Highway Administration (FHWA)
Order 5060.1 Letter on Right of Entry Guidelines for Utility Encasement
Policy for Highway Crossings Indiana Codes 14-18-10 14-21-1 22-5-1.7 32-23 32-24 32-24-4 36-7-3 36-9-27-33 36-9-9 5-15-5.1 5-17-5 8-1-2-26 8-1-26 8-1-26 8-1-9 8-20-1-15 8-20-1-28 8-23-1 8-23-2
8-23-22 8-23-26 8-23-5 8-23-7 8-23-9 Indiana Administrative Code 105 IAC 13 327 IAC 3-6-9 327 IAC 8-3.2-17 327 IAC 15-5-1 327 IAC 15-5 Rule 5 Indiana Design Manual Chapter 104 (10) Chapter 102 (2) Chapter 303 (49) Indiana Manual on Uniform Traffic
Control Devices for Streets and Highways
INDOT General Instructions to Field Employees
INDOT Guidance for a Relocation Drawing of Sufficient Detail
INDOT Recurring Special Provisions
100-C-151A 100-C-151B 100-C-151E 100-C-226 105-C-224 107-R-169 108-C-585 203-R-550 INDOT Unique Special Provisions INDOT Standard Drawings Index INDOT Standard Specifications
Section 100 Section 105 203.09 Section 207 Section 211 Section 715.09 INDOT Utility Cost Estimating
Guide INDOT Work Zone Traffic Control
Guidelines Legal Agreements Memorandums EDS Number A249-09-320705
Remediation of Properties Contaminated
National Electrical Code OSHA construction requirements Ten States Standard Utility Accommodation Policy
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Utility Coordination Steps
1. Utility Research (To find names of utilities in area of project)This is done prior to survey!
-Permit Files-Reviewing Past Project Plans-Field Check-Indiana 811-Contacting Local Officials (5 to 10 days)
For each utility, document the contact person, address, and phone number.
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Utility Coordination Steps2. Initial Notice
Letter is sent to each utility to inform them of project and get type and locations of facilities from them. Prior to survey! (30 days)
3. SurveySurvey is done using information
gathered to make sure all utility facilities are picked up.
Watch out for unknown underground and overhead utilities.
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Utility Coordination Steps
4. Verification Letter along with plan sheets are sent to
each utility so they can verify that their facilities are shown accurately and completely on the plans. (30 days)
5. Preliminary PlansLetter along with plans are sent for utility
review. Gives utilities a chance to point out conflicts and possible solutions to avoidrelocations. (30 days minor/60 days major)
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Utility Coordination Steps
6. Preliminary Final Plans Letter along with plans are sent to each utility so they can develop work plan/relocation plan (60 days minor/120 days major – 180 max.)
Try to accomplish this step in 60 days max, often there isn’t 180 days to work through this step.
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Utility Coordination Steps7. Reimbursable Agreements
Send agreements to the District for review prior to signing in order to verify what the LPA is offering to reimburse using federal money is eligible.
- Replace in kind- Use agreement provided in Manual- Document the property interest
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8. Work Plan Approval /Permit(Send the permit, and have them complete
pre-construction activities)
9. When the required items in the work plan necessary to begin have been accomplished, issue the notice to proceed. (constructability reviews determine the sequence)
Get federal funds approved and a PO before you give utility Notice to Proceed (NTP).
Utility Coordination Steps
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Railroad Coordination
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Is There Railroad Involvement?
Railroad within project limits?
Does project impact any railroad facilities or operations?
YES or NO, contact District Railroad Coordinator to help determine the extent of railroad coordination needed.
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Requirements
Good News – Districts generally handle it for federally funded projects
Bad News – It costs. It takes a long time and does not start until you have plans
You have to pay for railroad engineers and their workers
Codes: IC 8-23-5-2FHWA 23 CFR 646.214
IC – Indiana Code
CFR - Code of Federal Regulations
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Resource People – RR and UtilityCentral Office Crawfordsville
Utility/RR Utility and Railroad Kenny Franklin George Moffat
(until March 28th 2014)(317) 232-5007 (765) 361-5271 [email protected] [email protected]
Utility Fort Wayne Joe Gundersen Utility (317) 234-5199 Chuck Carson [email protected] (260) 399-7329
RailroadTom Imbimbo
(260) 969-8292 [email protected]
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Resource People - RR & UtilityGreenfield Seymour
Utility UtilityLavon Marshall Matt Harding(317) 467-3475 (812) [email protected] [email protected]
Railroad RailroadMichelle Loveall Tom Dunbar(317) 467-3438 (812) [email protected] [email protected]
LaPorte VincennesUtility and Railroad Utility and RailroadOpen Shawn Will
(812) [email protected]
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LAND ACQUISITION
Chapter 11
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Legal ReferencesImportance of Land Acquisition Process
The Fifth Amendment of the U.S. ConstitutionThe Constitution of the State of Indiana Article I, Sec. 21
Just Compensation
49 CFR 24.201(d)
Uniform ActUniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and amended it in 1987
Coordination with NEPA 23 CFR Part 771
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Land Acquisition Process Steps Assurance Letter
49 CFR 24.4
Land Acquisition (Right-of-Way) Management 23 CFR Part 710
Title Research (Abstracting)23 CFR 710
Right-of-Way Engineering (Plats and Legal Descriptions)
Indiana IAC Title 865 – INDOT R/W Engineering Manual
Scope of Work and Appraisal Problem Analysis (APA)
Uniform Act Section 301 49 CFR 24.104139
Appraising (Opinion of Just Compensation) ROW Appraisers must be on certified list
Buying /Negotiations & Relocation Agents ROW Buyers & Relocation Agents must be on certified
list
Relocation
Condemnation Every property owner has the right to go through
condemnation
Property Management
Right-of-Way Certification
Land Acquisition Process Steps
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Fatal Flaws
Assurance Letter not completed
Property owners not properly informed of acquisition procedures
Incorrect Right-of-Way Engineering
Incorrect Method of establishing just compensation (Appraising)
Conducting appraisals and making offers before Environmental Document certified
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Fatal Flaws
Appraisal before environmental approval
Relocation must be approved at Central Office
Relocation Assistance not handled properly
Parcel Packets not completed
Lack of Certification Letter signed by LPA
False Information
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Compliance – Documentable Proof
Assurance Letter 49 CFR 24.4
Public Hearing Certification 23 CFR 710.305
Environmental Approval 23 CFR 771.117
FMIS Authorization
Project and all Parcel Certification Checklists
Completed Parcel Packet for all parcels
Certification Letter signed by an ERC of the LPA
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Fatal Flaws
Assurance Letter not completed
Property owners not properly informed of acquisition procedures
Incorrect Right-of-Way Engineering
Incorrect Method of establishing just compensation (Appraising)
Conducting appraisals and making offers before Environmental Document certified
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Fatal Flaws
Appraisal before environmental approval
Relocation must be approved at Central Office
Relocation Assistance not handled properly
Parcel Packets not completed
Lack of Certification Letter signed by LPA
False Information
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Compliance – Documentable Proof
Assurance Letter 49 CFR 24.4
Public Hearing Certification 23 CFR 710.305
Environmental Approval 23 CFR 771.117
FMIS Authorization
Project and all Parcel Certification Checklists
Completed Parcel Packet for all parcels
Certification Letter signed by an ERC of the LPA and the Consultant, if a consultant is involved
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Preparation for LettingChapter 12
1
Primary Steps in Preparing For Letting Review of Contract Documents
Engineer’s Estimate Determination
Plans, Specifications, and Estimate (PS&E) Approval
Equal Employment Opportunity (EEO) Goal Setting
Contract Information Book Preparation (CIB)
Construction Inspection / Consultant Selection
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LettingChapter 13
1
Ready for Letting
Advertisement Contract Questions and Answers Revisions Letting Bid Evaluation and EEO Compliance Award LPA Match Contractor Financial Liability Coordination Notice to Proceed Purchase Order
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Contract Letting Information
http://www.in.gov/dot/div/contracts/letting/index.html
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Advertisement
Once a Contract has been approved in FMIS it is eligible for advertisement.
INDOT does the advertisement and bidding.
Bids are only accepted electronically.
All Bidders must be pre-qualified.
Bids must contain required information.
Bids will be publically read.
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Contract Questions and Answers The LPA and/or consultant shall not directly or
indirectly answer pre-letting questions from Contractors
All questions start out going to a website
Questions that are contract specific are forwarded from District Construction to the LPA designer via e-mail
Designer contacts must be kept current
Questions need to be answered in a timely manner
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Contract Revisions
Contract revisions are sometimes necessary
Requests for revisions can come from many sources LPA Contractor INDOT LPA Designer Material Supplier
The Designer shall keep the ERC in the loop on these revisions
District Construction must endorse/submit the revision
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After the Bids are ReadINDOT will not let the contract if a LPA is more than 60 days past due on paying an INDOT bill
Evaluation of Bids Received and EEO Compliance Post Letting Review of DBE Good Faith Efforts Determine if Contract Awardable
The low bid is less than $1 million, or; There are four or more bidders or; The bids are within 15% of Engineers Estimate Concurrence from District LPA Coordinators,
the Programs Funds Manager and ERC District contacts LPA-ERC to obtain their decision
- approve and award or reject all bids
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LPA Funds for Construction (Match)
Notice to Proceed is issued to the Contractor by the Contract Administration Division, but will not be issued until INDOT receives match funds.(
If the LPA cannot provide match, the contract is canceled.
Funds need to be submitted in a timely manner.
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Compliance – Documentable Proof Advertisement
Issued Revisions
Bid Analysis
Concurrence of Awards
Official Awards
Notice to Proceed (NTP) to LPA & Consultant
NTP Letter to Contractor
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Construction Inspection/ Construction Engineering
Chapter 14
1
Construction Inspection/Construction Engineering Construction Inspection is required on ALL Federal aid
projects.
The RFP for a consultant for Construction Inspection must be advertised on INDOT’s website 6 months prior to the Ready for Contracts (RFC) date.
Prior to the RFC date:
Letters of Interest must be scored and ranked
Consultant selection must be approved by INDOT
The draft LPA-Consulting Contract, manhours, fee justification and Engineer Assignment letter must be submitted to the INDOT District for review.
The Executed LPA-Consulting Contract must be received by the INDOT District.
Utilize Boilerplate Consultant Contract located at: http://www.in.gov/indot/2390.htm
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Construction Inspection/Construction Engineering The LPA must submit a copy of the signed LPA-
Consulting Contract to the District Local Program Director prior to the RFC date.
This is done to avoid any delays or time extensions once the project is awarded to a contractor
CE / Inspection work is billed based on an hourly rate; the contract can be signed based on the project estimate
The federal-aid “not to exceed amount” for Construction Inspection is set by INDOT based on the final construction amount.
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Construction Inspection/Construction Engineering When the bid award is deemed official, non-
participating items (if any) are deducted from the contract, and the Local’s match has been calculated, INDOT Finance will adjust the Purchase Order accordingly.
The District Local Program Director will then issue Notice to Proceed (NTP) to the LPA. The LPA can then issue NTP to their consultant for construction inspection.
Any Construction Inspection costs incurred prior to the date of the NTP, are not eligible for federal reimbursement.
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Consultant – Construction Inspection Consultants must be prequalified.
The LPA will submit an Engineer Assignment letter with the draft LPA-Consulting contract. The Engineer will be reviewed and approved by the Construction section at the District. The Construction Inspector acts as the LPA’s representative and administers the project on a day-to-day basis.
The Consultant will also provide an adequate number of qualified Construction Inspectors.
If a consultant is used for Construction Inspection/Engineering the LPA ERC will review, approve and submit all consultant invoices.
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Project Engineer/Supervisor (PE/S) Each project must be assigned a Project
Engineer/Supervisor (PE/S).
The PE/S must be trained and certified through INDOT Certified Construction Technician Training and the INDOT Quality Assurance Training Programs.
The PE/S should also have demonstrable experience. This means they must be able to use SiteManager effectively.
The PE/S will be approved by the District Construction Area Engineer after the LPA-Consulting Contract for CE is signed and a copy submitted to the District Local Program Director, and before the RFC date.
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Project Engineer/Supervisor (PE/S)The PE/S will oversee and provide:
Inspection Testing (performed by Qualified Technician) Documentation of all construction activities Daily reports Testing reports Progress Estimates Change Orders Ensure the project is constructed in accordance
with the contract documents and INDOT specifications
Final Construction Record (within 45 days of Acceptance)
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PE/S and Change Orders The PE/S will document all communications that involve change
orders, time extensions, or claims.
The PE/S must maintain communication with and obtain approvals of both the LPA ERC and the INDOT Area Engineer and the relevant MPO if the project is located with a Metropolitan Planning Area (MPA) for all change orders.
The PE/S will be provided the amount of federal funds available for construction from INDOT. The PE/S must use this to maintain a running total of all contract costs showing how much is left of the federal allocation - spreadsheet to track.
Current Change Order policy effective: January 1 2010 http://www.in.gov/dot/div/contracts/conmemo/10-01.pdf
Cap on Federal funds available at: http://www.in.gov/indot/2390.htm
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ConstructionChapter 14
1
“Notice to Proceed” - Now What?
The Contract Administration Office will send the Notice to Proceed to:
INDOT District Construction LPA Contractor INDOT Project Manager
INDOT is charged with overall responsibility of the construction phase
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The Pre-Construction Conference INDDOT’s Contractor will coordinate with
the District Area Engineer to schedule the conference.
District Construction will provide a checklist of items to be covered at the conference.
In order to be eligible for reimbursement, the Pre-Construction Conference should not be held until INDOT has issued Notice to Proceed to the LPA for Construction Inspection.
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Shop Drawings & Falsework - Review
Review of all project shop drawings will be the responsibility of the LPA & their Designer
Follow IDM 14-1.02(07)
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Final Construction Record – PE/S Responsibilities Maintain all documentation throughout the life of
the project and 5 years after final audit.
Form IC-639 (Report of Final Inspection & Recommendation for Acceptance) will be sent to the LPA and shall be signed and returned by the LPA within 10 business days to District Construction.
Complete the final construction record within 45 days of acceptance of the project.
Ensure all monies due the contractor are paid with the exception of disputed quantities.
Follow-up all unresolved issues until completed.
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Final Construction Record Failure to complete Final Construction
Record tasks could impact the LPA
All contracts will be audited by the Audit, Agency Results and Revenue Forecasting Division.
Final Audit balances all claims, invoices, billings, etc., between INDOT and the LPA
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