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D4 LAP WORKSHOPJune 4, 2014
Helping Local Agencies Build the Future
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! 2 breaks and lunch Interactive! Ask questions!
MORNING AGENDA
Introductions
JIM WOLFE
FHWA Stewardship
CAREYSHEPHER
D
Local Agency Program (LAP) FHWA Expectation and
FDOT/Local Agency Responsibilities
6
Changes in Stewardship & Oversight
Risk-based Project Involvement Program Accountability and Results Review (PAR) Compliance Assessment Program (CAP)
Questions
7
Outline
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
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
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
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
PAR Reviews are FHWA reviews Limited in scope
Federal Aid ProvisionsMaterialsContract Administration
Sample of 7 to10 projects in each District.
12
Program Accountability & Results Reviews (PAR)
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)
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)
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)
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)
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
Questions
18
Title VI Program
CAREY SHEPHERD & JACQUELINE PARAAMORE
Breaking
News“Civil Rights Compliance in the Local Agency Program”
-OR-
How to get (and keep) the benjamins
BY: Carey Shepherd, FHWA and Jacqueline Paramore, FDOT
PART I
Title VI/Nondiscrimination
Programming
Title VI/Nondiscrimination
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.
To comply, Local Agencies Must do 10 things
Develop a policy and complaint processing procedureBroadly post/disseminate policy and proceduresName a Title VI Coordinator who has ‘easy access to the head of the agency’ Collect and analyze data about beneficiaries affected by agency decisionsMinimize, mitigate or avoid disparate impacts on low income and minority populations
-AND-Execute a nondiscrimination agreement (assurance) and provide it to FDOTEliminate 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 EnglishCooperate with reviews by funding agencies, including FDOT and FHWA.
How is compliance demonstrated to FDOT? It’s Easy as 1-2-3
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.
Failure to comply means:
at a minimum, you can lose LAP funding.But there are more dire possible consequences
Bad pressLaw suits (Darensburg v. MTC)Violations (FHWA v. City of Beaver Creek)Loss of FTA, FAA, HUD, FEMA funding
PART II
Disadvantaged Business Enterprise (DBE)
Compliance
DBE PROGRAMNOT a giveaway programDesigned to remedy past discrimination and assist with growth and competitionConstitutional only when narrowly tailored (Adarand v. Pena; 49 CFR 26)26.51(f) requires race neutrality to the maximum extent possible
6 Local Agency Responsibilities
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
6 Local Agency Responsibilities (Continued)
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
Why is this stuff so critical?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 p
rogram is
under scru
tiny by
OIG and GA
O – a
recent rep
ort found
the progra
m was not
meeting it
s
objectives
Consequences . . .
Criminal chargesLAP ineligibility Debarment of contractorsDamage to reputationUnforeseen or unintended damage to small and disadvantaged business
Part III – ADA/504
34
Da Rules . . . 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
Essentially . . .
504 - No Person based on disability shall be denied access to services or discriminated against because of disability in programs receiving federal financial assistance
ADA - may not refuse participation in government programs or services or otherwise discriminate against persons with disabilities and must make reasonable modifications to programs and facilities along with reasonable accommodation so that they are readily accessible to and usable by those with disabilities.
Does this remind you of Title VI, LEP and EJ requirements ????
Essentially, Recipients have only a few program
requirements :
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
A GRAY AREA? 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
What is FDOT looking for? It’s Easy as 1-2-3
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)
PART IVVerifying Local Agency Compliance
Help not HateThe LAP complianceprogram is designedfor success, not failure. It may seem like toughlove, but like you wewant super projects anda name the public can trust!
Projects of Corporate Interest (POCI)
Projects of Division Interest (PODI)
Compliance Assessment Project (CAP)
Project Accountability Review (PAR)
Quality Assurance Review (QAR)
DON’T PANIC!
There is no CR issue that we can’t or won’t assist you withCall 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
15 Minute Break
INTRODUCTION
JESSICA RUBIO
Local Agency Program (LAP) Training for Professional Services
Florida Department of TransportationProcurement Office
Purpose of this training• The goal of this presentation is to provide
Federal and State requirements for Local Agency Program (LAP) professional services procurements.
• Per Chapter 287 Florida Statutes,professional services means the practiceof architecture, professionalengineering, landscape architecture, andsurveying 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
Reimbursement • Local Agencies seeking reimbursement for
professional services must be in compliance with all applicable state and federal laws.
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.
LAP Checklist Continued…
• The LAP Checklist may be downloaded from the FDOT Internet site, at the following link:http://www.dot.state.fl.us/projectmanagementoffice/LAP/LapForms.shtm
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.
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.
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).
CCNA Procurement Process• What are the steps for a CCNA procurement
process?
Steps for CCNA Procurement
1. Prequalification2. Advertisement3. Longlist4. Shortlist5. Technical Submittals from shortlisted firms: Technical
Proposals, Presentations, or Interviews6. Final Selection7. Negotiation for price
Let’s go over each of the steps in a little more detail.
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.
For projects off the NHS or SHS…
• Local agencies may use their own prequalification process for projects off the National or State Highway System.
Step 2• Advertisement. Advertise the contract for
professional services in a uniform and consistent manner.
Step 3• Longlist. The Local Agency evaluates
responses to the advertisement. This step is referred to as the longlisting process.
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.
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.
DBE Utilization• Use of Disadvantaged Business Enterprises
(DBEs) is encouraged, but there can be no DBE preference criteria in the selection processes.
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.
<10%
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.
Step 6• Final Selection. The Local Agency
evaluates and ranks the shortlisted firms’ technical submittals, in order of preference.
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.
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]
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.
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
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.
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.
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.
If the Local Agency is unable to reach agreement on a reasonable fee with the #1 firm, the negotiations shall be formally terminated.
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.
Keep Records of Negotiation• The Local Agency will maintain records of
negotiations to document that a cost analysis was performed.
Capping not allowed• During negotiations, remember capping of
audited overhead rates is not allowed, and no capping of direct salary multipliers.
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.
When you are ready to write the contract...
• The Terms for Federal Aid Contracts must be incorporated in your Professional Services Agreement.
Federal FormsBe 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
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.
Convicted, Debarred, or Suspended Vendors
• Links to the disqualified vendor lists can be found on the Florida Department of Management Services site:
http://www.dms.myflorida.com/business_operations/state_purchasing/vendor_information/convicted_suspended_discriminatory_complaints_vendor_lists
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.
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.
Contract Compliance• After execution, the Local Agency is
responsible for ensuring consultant compliance with the terms of the agreement.
Thank you for your time.
Florida Department of TransportationProcurement Office
Scheduling
SIERRA EVANS
LAP SCHEDULINGSierra Evans
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
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
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
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
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)
DESIGN TRACK CONTINUED…
Following Constructability
Package Submittal and Review
Agency Responds to
Constructability Review
Comments
Agency Submits
Production PackageFDOT Issues
Environmental Certification
FDOT Reviews Production Package
FDOT Requests ODA Clear
Letter
FDOT Issues ROWCertification
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
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
YOUR SCHEDULE
AHEAD OF SCHEDULE
BEHIND SCHEDULE
In order to: Must:Get LAP Certification Have approved Certification PackageStart Environmental Cert. Process Submit Preliminary Phase (by Agency)Get Environmental Certification Have approved Constructability PackageGet ROW Certification Have approved Constructability PackageGet Production Complete Certifications and All SubmittalsExecute LAP Agreement Commission Approvals and SignaturesGet Reimbursed Submit Timely Invoices
Most Importantly…
Know your commitment
dates!
THINGS TO REMEMBER…
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
Submittals & Performance
ELLEN DANIEL
Phase Submittals and
Performance Evaluation
• PRELIMINARY PHASE
• INITIAL PHASE
• CONSTRUCTABILITY PHASE
• PRODUCTION
PRELIMINARY PHASEPHASE SUBMITTALS
Location Map Scope of work Preliminary Estimate LAP Certification
PRELIMINARY PHASE
Preliminary Initial Constructability
Production NTP
Preliminary Initial Constructability
Production NTP
UPDATED
Location Map & Scope of work Match application Check limits
PRELIMINARY PHASE
Preliminary Initial Constructability
Production NTP
Location Map Scope of work
Preliminary Estimate LAP Certification
PRELIMINARY PHASE
Preliminary Initial Constructability
Production NTP
• Format on web• ID Participating items• Your “best estimate”
Location Map Scope of work Preliminary Estimate
LAP Certification NEW to phase
submittal Activities in schedule
PRELIMINARY PHASE
Preliminary Initial Constructability
Production NTP
30% Plans ROW & Environmental 30% Estimate NEPA Back-up
INITIAL PHASE
Preliminary Initial Constructability
Production NTP
INITIAL PHASE
Preliminary Initial Constructability
Production NTP
INITIAL PHASE
Preliminary Initial Constructability
Production NTP
New Samples
On-System vs. Off-System
References
90% Plans ROW & Environmental 90% Estimate NEPA Back-up LAP Certification
complete Approved Proprietary
requests
CONSTRUCTABILITY
Preliminary Initial Constructability
Production NTP
Proprietary Products
Preliminary Initial Constructability
Production NTP
All plans need to include: TCP – Traffic
Control Plans SWPPP – Storm
Water Pollution Prevention Plans
CONSTRUCTABILITY
Preliminary Initial Constructability
Production NTP
Checklists
Checklists are on the
website.
Checklists
Checklists are on the
website.
Revised Checklists –
uploaded in June 2014
New addition to Chapter 3
Several areas are evaluated
Evaluations per project 3 ratings It’s a form (525-010-29)
Performance Evaluations
Evaluation Areas Overall Performance Project cost, scope, and
schedule Communication and Cooperation Invoicing Each Project Phase Construction/Administration Equal Opportunity Contract
Compliance
Performance Evaluations
Why? Oversight needs Recertification
Performance Evaluations
3 ratings:1. Unsatisfactory2. Satisfactory3. Above Satisfactory
Performance Evaluations
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
Satisfactory developed the project in accordance
with applicable federal and state regulations, standards and procedures,
minimal District involvement/oversight.
Performance Evaluations
Above Satisfactory developed the project in accordance
with applicable federal and state regulations, standards and procedures,
without District involvement/oversight.
Performance Evaluations
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
LUNCH BREAK
