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D4 LAP WORKSHOP June 4, 2014 Helping Local Agencies Build the Future.

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Presentation on theme: "D4 LAP WORKSHOP June 4, 2014 Helping Local Agencies Build the Future."— Presentation transcript:

1 D4 LAP WORKSHOP June 4, 2014 Helping Local Agencies Build the Future

2 Housekeeping  Restrooms  Break room has vending machines  Cell Phones  Fire? Proceed to the NE meeting point (by Wendy’s)  This presentation will be on the Website!Website  2 breaks and lunch  Interactive! Ask questions!


4 Introductions

5 FHWA Stewardship

6 Local Agency Program (LAP) FHWA Expectation and FDOT/Local Agency Responsibilities 6

7  Changes in Stewardship & Oversight  Risk-based Project Involvement  Program Accountability and Results Review (PAR)  Compliance Assessment Program (CAP)  Questions 7 Outline

8  Why The New Approach?  MAP 21 Changes  Need to make more effective use of our limited resources  Recent evaluations of our approach to stewardship & oversight 8 Changes in Stewardship & Oversight

9  Risk-based: risk assessment is integrated throughout the performance planning process  Data-driven: decisions are grounded in objective data and information to the fullest extent possible  Value-added: actions are taken with a primary objective of improving programs and projects  Consistent: actions are based on a consistent approach to planning, risk assessment, and S&O 9 Risk-based Project Involvement

10  Program Accountability and Results Review (PAR)  Compliance Assessment Program (CAP)  Project of Division Interest (PoDI)  Project of Corporate Interest (PoCI) 10 Risk-based Project Involvement

11 Required Project Approvals  Prescribed in Federal law and can not be delegated  Examples include:  Approval of environmental documents such as Record of Decision or Finding of No Significant Impact  Approval of non-competitive/force account contracting  Participation in project costs incurred prior to FHWA authorization 11 Project Involvement

12  PAR Reviews are FHWA reviews  Limited in scope  Federal Aid Provisions  Materials  Contract Administration  Sample of 7 to10 projects in each District. 12 Program Accountability & Results Reviews (PAR)

13  Number of change orders approved  Liquidated Damages assessed  Time Analysis Performed and approved  Premium Costs  Claims  Project Level Documentation (Field Book, Daily, etc.)  Pay Item and Progress Payment  Underruns and Overruns 13 PAR Review Questions 2014 (Same as 2013)

14  Cultural change regarding project oversight  Statistical approach that is defensible and data driven  Allows conclusions to be inferred over entire population of projects at national and local level  One element of project involvement 14 Compliance Assessment Program (CAP)

15  CAP Review Guides in the following areas:  Civil Rights  Contract Administration  Emergency Relief  Environment  Finance  Realty  Material Quality  Work Zone Safety 15 Compliance Assessment Program (CAP)

16  For example,  Contract Administration Review Guide is used to check for:  Environmental Mitigation Measures  Contract Time Extension  Pay Item paid (Progress Payment)  Buy America Requirements  Percentage of Work Performed by Prime Contractor  Proprietary Material included in the approved PS&E package 16 Compliance Assessment Program (CAP)

17  FHWA Expectations:  FDOT should monitor the federal-aid projects and make sure Local Agencies meet all federal and state requirements.  Local Agencies should properly file, document all project related activities. 17 Summary

18 Questions 18

19 Title VI Program

20 Breaking News “Civil Rights Compliance in the Local Agency Program” -OR-

21 BY: Carey Shepherd, FHWA and Jacqueline Paramore, FDOT

22 Title VI/Nondiscrimination Programming

23 Title VI, signed by LBJ, prohibits discrimination in any program, service or activity of federal-aid recipients. The actual law covers only race, color and national origin, however, other federal and state laws forbid gender, age, disability, religion and family status discrimination. FHWA calls this Title VI/Nondiscrimination Programming LAP agencies must be Title VI compliant in order to participate in the LAP program. FDOT cannot do business with agencies that do not demonstrate compliance.

24 Develop a policy and complaint processing procedure Broadly post/disseminate policy and procedures Name a Title VI Coordinator who has ‘easy access to the head of the agency’ Collect and analyze data about beneficiaries affected by agency decisions Minimize, mitigate or avoid disparate impacts on low income and minority populations

25 Execute a nondiscrimination agreement (assurance) and provide it to FDOT Eliminate discrimination when it is found Take affirmative measures to ensure nondiscrimination Develop a plan for providing meaningful access to programs, services in languages other than English Cooperate with reviews by funding agencies, including FDOT and FHWA.

26 1. By completing and providing to the District in LAPIT a Sub-recipient Compliance Assessment Tool. 2. By executing an assurance. 3. By ensuring that FHWA 1273 and Assurance Appendix A are included in all contracts and agreements.

27 at a minimum, you can lose LAP funding. But there are more dire possible consequences Bad press Law suits (Darensburg v. MTC) Violations (FHWA v. City of Beaver Creek) Loss of FTA, FAA, HUD, FEMA funding

28 Disadvantaged Business Enterprise (DBE) Compliance

29 NOT a giveaway program Designed to remedy past discrimination and assist with growth and competition Constitutional only when narrowly tailored (Adarand v. Pena; 49 CFR 26) 26.51(f) requires race neutrality to the maximum extent possible

30 1. Ensure your contractor makes efforts to seek out and use certified DBEs 2. Check your LAP agreement or contract for 26.13(a) nondiscrimination language 3. Use only FDOT’s DBE program on FHWA LAP funding – never your own program, even if approved by FTA or FAA

31 4. Complete Commercially Useful Function (CUF) reviews to verify compliance 5. Ensure that the Prime uses EOC to report anticipation and payments 6. Ensure all subcontractors are paid promptly, that is within 30 days of the Prime receiving payment

32 The program has a history of fraud, serious issues that damage program integrity and give all of us a black eye Inadequate compliance creates the appearance of ineffectiveness and impropriety; sometimes indistinguishable from fraud. And, the program is under scrutiny by OIG and GAO – a recent report found the program was not meeting its objectives

33 Criminal charges LAP ineligibility Debarment of contractors Damage to reputation Unforeseen or unintended damage to small and disadvantaged business

34 34

35 Section 504 of the Rehabilitation Act of 1973 (504) Title II Americans with Disabilities Act of 1990 (ADA) ADA Standards for Transportation Facilities (2006 Standards) ADA Standards for Accessible Design (2010 Standards) 23 CFR 200.9(b) 49 CFR 27 (504 Regs) 28 CFR 35 (ADA Regs) 35

36 Does this remind you of Title VI, LEP and EJ requirements ????

37 1. Must post an ADA Notice, sign an assurance and develop a policy that clearly states it will not discriminate and will provide accessibility. 2. Depending on agency size, develop complaint filing procedures and name an ADA Coordinator. 3. Conduct a self evaluation of programs, services, facilities. 4. Depending on agency size, develop a Transition Plan for PROW, identifying deficiencies, a prioritized remediation schedule, a timeline for correction and naming a responsible person. 37

38  We aren’t always sure how to treat LAPs.  Resources are limited; staff size fluctuates.  However, regardless of size accessibility planning is something all agencies must tackle.  Plus, good public service requires a response strategy to inaccessible pedestrian features 38

39 1. Complete and upload your nondiscrimination SCAT form in LAPIT 2. Execute a nondiscrimination assurance and provide it via LAPIT 3. Make sure that your contractor measures concrete forms (and adheres to ADA standards)

40 Verifying Local Agency Compliance

41 The LAP compliance program is designed for success, not failure. It may seem like tough love, but like you we want super projects and a name the public can trust!

42 Projects of Corporate Interest (POCI) Projects of Division Interest (PODI) Compliance Assessment Project (CAP) Project Accountability Review (PAR) Quality Assurance Review (QAR)

43 There is no CR issue that we can’t or won’t assist you with Call FDOT or FHWA – the Districts are a wealth of knowledge and we love to get your questions in Tallahassee! Use your resource sheet and FDOT’s excellent assistance tools

44 Me Jacki e Carey Shepherd, FHWA 850-553-2206 Jackie Paramore, FDOT 850-414-4753 THANK YOU!!



47 Local Agency Program (LAP) Training for Professional Services Florida Department of Transportation Procurement Office

48 Purpose of this training The goal of this presentation is to provide Federal and State requirements for Local Agency Program (LAP) professional services procurements.

49 Per Chapter 287 Florida Statutes, professional services means the practice of architecture, professional engineering, landscape architecture, and surveying and mapping. Additionally under FDOT’s Statute 337, right of way services and transportation related planning services may also use the professional services procurement process. Professional Services Defined

50 Reimbursement Local Agencies seeking reimbursement for professional services must be in compliance with all applicable state and federal laws.

51 LAP Checklist - Federal and State Requirements Federal and state compliance requirements are provided in the LAP Checklist for Professional Services, FDOT Form No. 525- 010-49.

52 LAP Checklist Continued… The LAP Checklist may be downloaded from the FDOT Internet site, at the following link: ffice/LAP/LapForms.shtm

53 Federal Brooks Act Qualifications based selection (QBS) for professional services started with the federal Brooks Act, which became law in 1972. Brooks Act requires that Architecture and Engineering (A&E) contracts be selected on the basis of a firm’s qualifications, instead of price.

54 CCNA- Florida law Section 287.055, F.S., the Consultants’ Competitive Negotiation Act (also known as CCNA), became state law in 1973. CCNA mirrors Brooks Act. The best qualified consultant firm is selected to perform the professional services. Price cannot be a factor in selection.

55 When to use CCNA process? Per state law, the CCNA procurement process must be used when the planning or study activity exceeds $35,000 (Category Two threshold), or where the project construction costs would exceed $325,000 (Category Five threshold).

56 CCNA Procurement Process What are the steps for a CCNA procurement process?

57 Steps for CCNA Procurement 1.Prequalification 2.Advertisement 3.Longlist 4.Shortlist 5.Technical Submittals from shortlisted firms: Technical Proposals, Presentations, or Interviews 6.Final Selection 7.Negotiation for price Let’s go over each of the steps in a little more detail.

58 Step 1 Prequalification. Any consultant firm competing for a professional services contract must first be qualified. For projects on the National and State Highway System, local agencies must use consultants prequalified by FDOT.

59 For projects off the NHS or SHS… Local agencies may use their own prequalification process for projects off the National or State Highway System.

60 Step 2 Advertisement. Advertise the contract for professional services in a uniform and consistent manner.

61 Step 3 Longlist. The Local Agency evaluates responses to the advertisement. This step is referred to as the longlisting process.

62 Step 4 Shortlist. The shortlisted firms are developed from the longlist. By law, a minimum of three of the most qualified firms must be shortlisted.

63 Step 5 Technical Submittals. The Local Agency requests interviews, presentations, or technical proposals from the three shortlisted firms addressing their approach to the project, and ability to furnish the required services.

64 DBE Utilization Use of Disadvantaged Business Enterprises (DBEs) is encouraged, but there can be no DBE preference criteria in the selection processes.

65 Locality Presence Criterion For federal-aid contracts, a small locality presence criterion of not more than 10% may be used, where there is a specific need for a project. This criterion cannot be based on political boundaries.

66 No Use of Local Preferences In-state preferences, in-county preferences, in city preferences, etc., are not in accordance with the Brooks Act. These types of preferences are based on political boundaries instead of qualifications; therefore, these preferences would limit competition.

67 Step 6 Final Selection. The Local Agency evaluates and ranks the shortlisted firms’ technical submittals, in order of preference.

68 Public Meetings If involving a committee, the longlist, shortlist, and final selection meetings are to be made public. These meetings should be properly noticed and minutes taken or recorded.

69 Provide opportunity for public input at public meetings Members of the public shall be given a reasonable opportunity to be heard on a proposition before a board or commission of a state agency or local government. [Reference: Sections 286.011, Florida Statutes. Effective Date of Law: October 1, 2013]

70 Conflict of Interest Certification Staff serving on recommendation or decision making committees must be free from conflicts of interest, and must complete a conflict of interest certification form.

71 Consultants must also be free of conflicts Consultants competing for projects must be free of conflicting professional or personal interests. Guidance is provided in the FDOT Consultant Conflict of Interest procedure: Procedure No. 375-030-006, Restrictions on Consultants’ Eligibility to Compete for Department Contracts

72 Step 7 Negotiation for price. The Local Agency attempts to negotiate a contract for professional services with the most qualified firm, at a compensation or fee which is fair, competitive, and reasonable.

73 Independent Staff Hour Estimate The Local Agency shall request a fee proposal from the #1 ranked consultant firm. The Local Agency shall prepare an in- house staff hour estimate, to independently check the consultant firm’s estimate of hours.

74 Detailed Cost Analysis In making the determination of fair, competitive, and reasonable, the Local Agency shall conduct a detailed cost analysis of the consultant fee information, in addition to considering scope and complexity. This is required by state and federal law.

75 If the Local Agency is unable to reach agreement on a reasonable fee with the #1 firm, the negotiations shall be formally terminated.

76 The Local Agency shall then undertake negotiations with the second most qualified firm. If unable to reach agreement, the Local Agency will terminate negotiations with #2, and then negotiate with the #3 qualified firm.

77 Keep Records of Negotiation The Local Agency will maintain records of negotiations to document that a cost analysis was performed.

78 Capping not allowed During negotiations, remember capping of audited overhead rates is not allowed, and no capping of direct salary multipliers.

79 Negotiation of Operating Margin – FHWA Guidance Consultant Operating Margin is paid as a fixed fee. Fixed fee should be project specific. Fixed fees in excess of 15 percent of the total direct and indirect costs of the contract may be justified only when exceptional circumstances exist.

80 When you are ready to write the contract... The Terms for Federal Aid Contracts must be incorporated in your Professional Services Agreement.

81 Federal Forms Be sure to include the federal forms: Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion for Federal Aid Contracts; Certification for Disclosure of Lobbying Activities on Federal-Aid Contracts; Standard Form-LLL, Disclosure of Lobbying Activities Form

82 Convicted, Debarred, or Suspended Vendors Agencies may not contract with consultants disqualified from participating in the public contracting process. [reference: Section 287.133(3)(d), Florida Statutes] Agencies are required to check for history of vendor conviction, debarment, or suspension, as well as the Federal Excluded Parties List.

83 Convicted, Debarred, or Suspended Vendors Links to the disqualified vendor lists can be found on the Florida Department of Management Services site: _operations/state_purchasing/vendor_inf ormation/convicted_suspended_discrimin atory_complaints_vendor_lists

84 PLI And don’t forget the professional liability insurance. Required per Section 337.106, F.S., for any person or firm providing professional services, during the period the services are rendered.

85 Before you execute… The Local Agency must submit a request to the District LAP Administrator for approval to execute along with: o a copy of the LAP Checklist for Federally Funded Professional Services Contracts Federal and State Requirements (Form 525-010-49) o and required supporting documentation.

86 Contract Compliance After execution, the Local Agency is responsible for ensuring consultant compliance with the terms of the agreement.

87 Thank you for your time. Florida Department of Transportation Procurement Office

88 Scheduling

89 LAP SCHEDULING Sierra Evans

90 YOUR PROJECT SCHEDULE Your project schedule is a TOOL TO HELP YOU manage the project Catch problems on time to avoid delays Reminder to start activities on time Inform stakeholders about status of project progress Record historical data for posterior referencing Meet the Production and Encumbrance dates Can be late in one phase and catch up on next…Just know why the phase has been delayed and USE the schedule to help you catch up

91 THE THREE MAIN “TRACKS” In the LAP schedule there are three main “tracks” that happen concurrently which all come together at Production. LAP Certification Track Environmental Certification Track Design Track

92 LAP CERTIFICATION TRACK Agency Starts LAP Certification Documentation Agency Submits LAP Cert. Doc. for FDOT review FDOT Reviews LAP Cert. Doc. FDOT Issues LAP Certification After Programming is complete

93 ENVIRONMENTAL CERTIFICATION TRACK Agency Submits Preliminary Phase FDOT Performs Preliminary Environmental Field Visit Project Kick-Off Meeting is Held FDOT PLEMO Notifies Agency about Project’s Envmt. needs Agency Acquires Environmental Consultant FDOT Issues Environmental Certification Agency Works on Environmental Docs: CRAS, 4f, the memo… Agency Prepares Environmental Memo FDOT,FHWA and SHPO Review Docs (in sequence) Environmental Option 1 – Minimum environmental issues Environmental Option 2 – CRAS, 4(f)… After Programmin g is complete

94 DESIGN TRACK Following Project Kick-off Meeting Agency Works on Initial Plans FDOT Reviews Initial Plans Agency Works on Constructability Package Agency Submits Constructability Package Agency Works on Typical Section Package Agency Responds to initial review comments (if any) Initial Plans and Typical Section Package should happen concurrently FDOT Reviews and Approves Typical Section Package SHS only (State Highway System)

95 DESIGN TRACK CONTINUED… Following Constructability Package Submittal and Review Agency Responds to Constructability Review Comments Agency Submits Production Package FDOT Issues Environmental Certification FDOT Reviews Production Package FDOT Requests ODA Clear Letter FDOT Issues ROW Certification FDOT Receives ODA Clear Letter ODA Clear Letter is only necessary for On State- Highway-System (SHS) Projects SHS only *PRODUCTION Refer back to the Environmental Track for other activities leading to this Certification

96 WHAT HAPPENS AFTER PRODUCTION? When the Project achieves Production FDOT Prepares the LAP Agreement FDOT Encumbers funds for Project FDOT Issues LAP NTP to Agency CEI ENCUMBRANCE To Operations Agency Reviews, Signs and Returns agreement FDOT Executes LAP Agreement FDOT ENCUMBRANCE LAP COMMITMENT




100 Most Importantly… Know your commitment dates! THINGS TO REMEMBER…

101 NEED ADDITIONAL HELP? Should you require additional help in understanding scheduling, please contact D4 Scheduling Unit (Program Management). Dianne Forte ……………954-777-4553 Sierra Evans ……………. 954-777-4692 Daisy Zheng …………….954-777-4122 Tzeyu Ng ………………... 954-777-4587

102 Submittals & Performance



105  Location Map  Scope of work  Preliminary Estimate  LAP Certification PRELIMINARY PHASE PreliminaryInitialConstructabilityProduction NTP

106 PreliminaryInitialConstructabilityProduction NTP UPDATED

107 Location Map & Scope of work  Match application  Check limits PRELIMINARY PHASE PreliminaryInitialConstructabilityProduction NTP

108  Location Map  Scope of work  Preliminary Estimate  LAP Certification PRELIMINARY PHASE PreliminaryInitialConstructabilityProduction NTP Format on web ID Participating items Your “best estimate”

109  Location Map  Scope of work  Preliminary Estimate  LAP Certification  NEW to phase submittal  Activities in schedule PRELIMINARY PHASE PreliminaryInitialConstructabilityProduction NTP

110  30% Plans  ROW & Environmental  30% Estimate  NEPA Back-up INITIAL PHASE PreliminaryInitialConstructabilityProduction NTP

111 INITIAL PHASE PreliminaryInitialConstructabilityProduction NTP

112 INITIAL PHASE PreliminaryInitialConstructabilityProduction NTP New Samples On-System vs. Off-System References

113  90% Plans  ROW & Environmental  90% Estimate  NEPA Back-up  LAP Certification complete  Approved Proprietary requests CONSTRUCTABILITY PreliminaryInitialConstructabilityProduction NTP

114 Proprietary Products PreliminaryInitialConstructabilityProduction NTP

115 All plans need to include:  TCP – Traffic Control Plans  SWPPP – Storm Water Pollution Prevention Plans CONSTRUCTABILITY PreliminaryInitialConstructabilityProduction NTP

116 Checklists Checklists are on the

117 Checklists Checklists are on the Revised Checklists – uploaded in June 2014

118  New addition to Chapter 3  Several areas are evaluated  Evaluations per project  3 ratings  It’s a form (525-010-29) Performance Evaluations

119 Evaluation Areas  Overall Performance  Project cost, scope, and schedule  Communication and Cooperation  Invoicing  Each Project Phase  Construction/Administration  Equal Opportunity Contract Compliance Performance Evaluations

120 Why?  Oversight needs  Recertification Performance Evaluations

121 3 ratings: 1. Unsatisfactory 2. Satisfactory 3. Above Satisfactory Performance Evaluations

122 Unsatisfactory  failed to develop the project in accordance with applicable federal and state regulations, standards and procedures,  required excessive District involvement/oversight,  project was brought in-house by the Department. Performance Evaluations

123 Satisfactory  developed the project in accordance with applicable federal and state regulations, standards and procedures,  minimal District involvement/oversight. Performance Evaluations

124 Above Satisfactory  developed the project in accordance with applicable federal and state regulations, standards and procedures,  without District involvement/oversight. Performance Evaluations

125  Project Specific  Hiring a consultant? (CEI)  Looking for policy and procedures  Updated chapter 3 in the LAP Manual  Quarterly training for this LAP Certification Training



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