WELCOME TO CALTRANS DIVISION OF LOCAL ASSISTANCE A&E CONSULTANT CONTRACTS 2-HOUR INTENSIVE WEBINAR Link to Webinar: https://csus.zoom.us/j/328337275 Dial-in Number: 408-638-0968 Meeting ID: 328 337 275 Webinar Material All handouts associated with this webinar are posted on our blog at: http://www.localassistanceblog.com/ae-training/ 1. Exhibit 10-C A&E Consultant Contract Reviewers Checklist 2. Office Bulletin 17-02 A&E Consultant Contract Review 3. A&E Resources 4. Webinar Presentation (PDF) 1
Webinar Information 2 hour webinar. All attendees are muted. Maximize your screen for full screen viewing. To minimize, hit escape. Webinar is being recorded. A link to the recording will be emailed to our Local Assistance Notification List and be available on our blog under A&E Training and on our Caltrans A&E page at: http://www.dot.ca.gov/hq/localprograms/ae/index.htm 3 Chat Questions We are taking questions via Chat. To ask a question: 1. Move mouse toward bottom of screen to enable toolbar at the bottom of the webinar screen 2. Select chat 3. Select host 4. Type in question 5. Hit enter Questions will be answered at the end of the presentation. Some will be answered via chat box and others may be answered by the presenter. They may not be answered online or in the order received. 4 2
Important Links LAPM and LAPG Updates, and Training, and Other Useful Information: 1. Subscribe to our Local Assistance Email Notification List: http://www.dot.ca.gov/hq/localprograms/sub.htm 2. Visit our blog, The LAB, regularly: http://www.localassistanceblog.com/ 3. Caltrans Consultant Selection and Procurement Webpage: http://www.dot.ca.gov/hq/localprograms/ae/index.htm 5 Presenter Mohammad Maljai, Main Presenter Mohammad Maljai is a Senior Transportation Engineer with Caltrans Division of Local Assistance. He is a 28-year veteran of Caltrans with prior experience in the design and project management divisions. He also worked in our Division of Procurement and Contracts for nine years where he was as an A&E Contracts Coordinator. Currently he is in the Division of Local Assistance where his primary responsibility is to provide guidance and oversight of the A&E procurement process to local agencies. Mohammad covers district 7, 8 11 and 12. Felicia Haslem, A&E Oversight Program Manager, will also be online fielding questions. 3
OFFICE OF GUIDANCE AND OVERSIGHT A&E OVERSIGHT BRANCH 1120 N STREET, SACRAMENTO CA 95814 LOCAL ASSISTANCE PROCEDURES MANUAL EXHIBIT 10-C TRAINING October 2017 OFFICE OF GUIDANCE & OVERSIGHT A&E Oversight Branch Ray Zhang Chief Division of Local Assistance Mark Samuelson Chief Office of Guidance & Oversight Felicia Haslem A&E Oversight Program Manager Quang Nguyen Districts 1, 2, 3, 4 Carol Green Districts 6, 9, 10 Mohammad Maljai Districts 7, 8, 11, 12 The Pham Database/Support District 5 8 4
Objective Help Local Public Agencies (LPA) comply with A&E procurement procedures 9 Outline WHY is this training important? FHWA has identified the A&E procurement as high risk. Caltrans Audits & Investigations Audit Findings. WHAT is new? A completed Local Assistance Procedures Manual (LAPM) Exhibit 10-C for new or amended federal and/or state funded A&E consultant contracts must be accepted by Caltrans prior to contract award. Procedure and timeline for the A&E 10-C Compliance Action Plan (10-C CAP) were established and effective October 1, 2017. Any consultant contracts are to be compliant or funding may be withdrawn. HOW to comply with State/Federal Regulation? Follow Exhibit 10-C. 10 5
Summary of Performance Measures Report 11 Flowchart for Submittal and Acceptance of Exhibit 10-C Local Public Agency (LPA) Submit completed 10 C to aeoversight@dot.ca.gov Caltrans Division of Local Assistance (DLA) Office of Guidance & Oversight (OGO) 5 day 10 C Reviews Is 10 C acceptable? No DLA OGO Notifies (via email) LPA and copy to DLAE of the Non acceptance of 10 C requesting LPA to provide additional information or re advertise the contract Yes DLA OGO Notifies (via email) LPA and copy DLAE of the acceptance of 10 C Note: LPAs must email a copy of all contract amendments to DLAE 12 6
Unrecoverable Deficiencies The following are considered unrecoverable deficiencies and shall result in the withdrawal of all or a portion of the federal and/or state funds from the project: No records or documentation to support consultant procurement. No support for scoring and/or ranking of consultants. Two or more of the following are considered unrecoverable deficiencies and shall result in the withdrawal of all or a portion of the federal and/or state funds from the project: No justification for sole-sourcing. Could not support contract was advertised at all. No independent cost estimate performed. Local preference used. Price used as an evaluation factor. Scoring evaluation factors or weights do not match those identified in the RFQ/RFP. Did not include any evaluation factors in the RFQ/RFP. Cost proposal does not break down job classifications and types of costs by amount and/or rates. Missing Title VI requirements [per Title 23 CFR 172.9 (c) (1) (vi)] from contracts (Federal Funded Only). Missing DBE requirements [per Title 23 CFR 172.9 (c) (1) (vii)] from contracts (Federal Funded Only). 13 A&E Consultant Contract Reviewer Checklist (Exhibit 10-C) Procurement Planning Section A Solicitation Documents and Advertisement Section B Evaluation and Selection Contract Cost Negotiation Section C Contract Execution 14 7
Exhibit 10-C A&E Consultant Contract Reviewers Checklist Information for Database 15 A. Procurement Planning 16 8
Estimating Techniques High Accuracy Parametric Estimate Bottom up Estimate Analogous Estimate Less Accuracy Perception Fact 17 B. Solicitation Documents and Advertisement 18 9
B. Solicitation Documents and Advertisement Example for Criteria and Weights 19 B. Solicitation Documents and Advertisement 20 10
B. Solicitation Documents and Advertisement 21 C. Evaluation and Selection 22 11
C. Evaluation and Selection 23 Cost Proposal Example 24 12
Cost Proposal Example Total Direct Labor Cost Total Direct Labor Cost Total Indirect Cost 25 C. Evaluation and Selection 26 13
C. Evaluation and Selection e.g.: Performance Period; Allowable Costs and Payments; Termination; Cost Principles and Administrative Requirements; Retention of Records/Audit; Audit Review Procedures; Subcontracting; 27 C. Evaluation and Selection 28 14
C. Evaluation and Selection 29 D. Consultant Contract Amendment Only 30 15
D. Consultant Contract Amendment Only 31 Required Certification 32 16
Submittal Process for A&E Consultant Contracts Local Public Agency Submittal Process (via email) Caltrans Division of Local Assistance (DLA) Office of Guidance & Oversight (Exhibit 10 C Reviews) aeoversight@dot.ca.gov Caltrans Division of Audits & Investigations (A&I) (Financial Reviews & ICR Reviews) conformance.review@dot.ca.gov Contract Execution 33 Changes to Request for Authorization forms 3A 3B 3C 3D and 3Q Indicate 10-C acceptance/date for the project If using an on-call contract, provide original date of 10-C acceptance 34 17
References Caltrans Local Assistance A&E Oversight: Consultant Selection and Procurement http://www.dot.ca.gov/hq/localprograms/ae/index.htm Caltrans Local Assistance Procedures Manual (LAPM), Chapter 10: Consultant Selection http://www.dot.ca.gov/hq/localprograms/lam/lapm/ch10.pdf State code 4525-4529: Contracting with A&E Firms http://www.aiacc.org/wp-content/uploads/2016/03/government-code-4525-4529.pdf Title 23 United States Code Section 112 (23 USC 112): Letting of Contracts https://www.gpo.gov/fdsys/granule/uscode-2011-title23/uscode-2011-title23-chap1-sec112 40 USC Chapter 11, Sections 1101-1104 : Selection of Architects & Engineers (Brooks Act) http://uscode.house.gov/view.xhtml?path=/prelim@title40/subtitle1/chapter11&edition=prelim Caltrans Local Assistance Procedures Manual (LAPM), Chapter 3: Project Implementation http://www.dot.ca.gov/hq/localprograms/lam/lapm/ch03.pdf Caltrans Local Assistance Procedures Manual (LAPM), Chapter 20: Deficiencies and Sanctions http://www.dot.ca.gov/hq/localprograms/lam/lapm/ch20.pdf 48 CFR Part 31: Contract Cost Principles and Procedures https://www.gpo.gov/fdsys/search/pagedetails.action?browsepath=title+48%2fchapter+1%2fsubchapter +E%2FPart+31&granuleId=CFR-2011-title48-vol1-part31&packageId=CFR-2011-title48- vol1&collapse=true&frombrowse=true&collectioncode=cfr 2 CFR Part 200 Subpart D: Uniform Administration Requirements for Grants and Cooperative Agreements to State and Local Governments. https://www.ecfr.gov/cgi-bin/text-idx?node=2:1.1.2.2.1 49 CFR Part 26: Participation by Disadvantaged Business Enterprises (DBE) in Department of Transportation Financial Assistance Programs https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/title49/49cfr26_main_02.tpl Title 23 Code of Federal Regulation, Part 172 (23 CFR 172): Procurement, Management, And Administration Of Engineering And Design Related Services (August 17, 2017) https://www.ecfr.gov/cgi-bin/text-idx?rgn=div5&node=23:1.0.1.2.3 35 Caltrans Local Assistance A&E Oversight 36 18
Office of Guidance and Oversight A&E Oversight Branch Thank You Felicia Haslem A&E Oversight Program Manager (916) 653-7759 Quang Nguyen (916) 653 6230 Districts 1, 2, 3, 4 Carol Green (916) 651 8909 Districts 6, 9, 10 Mohammad Maljai (916) 651 6552 Districts 7, 8, 11, 12 The Pham (916) 653 4342 Database/Support District 5 37 QUESTIONS? To ask a question: 1. Move mouse toward bottom of screen to enable toolbar at the bottom of the webinar screen 2. Select chat 3. Select host 4. Type in question 5. Hit enter 19
THANK YOU This recording will be available in a few days at http://www.dot.ca.gov/hq/localprograms/ae/index.htm 20