D4 LAP WORKSHOP June 4, 2014

1. D4 LAP WORKSHOPJune 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! • 2 breaks and lunch • Interactive! Ask questions!

3. MORNING AGENDA

4. Introductions JIM WOLFE

5. FHWA Stewardship Carey Shepherd

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

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

8. Changes in Stewardship & Oversight • 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

9. Risk-based Project Involvement 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

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

11. 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

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

13. PAR Review Questions 2014 (Same as 2013) 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

14. Compliance Assessment Program (CAP) • 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

15. 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

16. 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

17. Summary • 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.

18. Questions

19. Title VI Program Carey Shepherd & Jacqueline Paraamore

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

21. How to get (and keep) the benjamins BY: Carey Shepherd, FHWA and Jacqueline Paramore, FDOT

22. PART I Title VI/Nondiscrimination Programming

23. 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.

24. To comply, Local Agencies Must do 10 things • 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. -AND- • 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. How is compliance demonstrated to FDOT? It’s Easy as 1-2-3 • By completing and providing to the District in LAPIT a Sub-recipient Compliance Assessment Tool. • By executing an assurance. • By ensuring that FHWA 1273 and Assurance Appendix A are included in all contracts and agreements.

27. Failure to comply means: 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. PART II Disadvantaged Business Enterprise (DBE) Compliance

29. DBE PROGRAM • 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. 6 Local Agency Responsibilities • Ensure your contractor makes efforts to seek out and use certified DBEs • Check your LAP agreement or contract for 26.13(a) nondiscrimination language • Use only FDOT’s DBE program on FHWA LAP funding – never your own program, even if approved by FTA or FAA

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

32. Why is this stuff so critical? And, the program is under scrutiny by OIG and GAO – a recent report found the program was not meeting its objectives 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.

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

34. Part III – ADA/504

35. 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)

36. 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 ????

37. Essentially, Recipients have only a few program requirements : • Must post an ADA Notice, sign an assurance and develop a policy that clearly states it will not discriminate and will provide accessibility. • Depending on agency size, develop complaint filing procedures and name an ADA Coordinator. • Conduct a self evaluation of programs, services, facilities. • 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.

38. AGRAY 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

39. What is FDOT looking for? It’s Easy as 1-2-3 • Complete and upload your nondiscrimination SCAT form in LAPIT • Execute a nondiscrimination assurance and provide it via LAPIT • Make sure that your contractor measures concrete forms (and adheres to ADA standards)

40. PART IV Verifying Local Agency Compliance

41. Help not Hate 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) Compliance Assessment Project (CAP) Quality Assurance Review (QAR) Projects of Division Interest (PODI) Project Accountability Review (PAR)

43. DON’T PANIC! • 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. THANK YOU!! Jackie Carey Shepherd, FHWA 850-553-2206 carey.shepherd@dot.gov Jackie Paramore, FDOT 850-414-4753 Jacqueline.paramore@dot.state.fl.us Me

45. 15 Minute Break

46. INTRODUCTION Jessica Rubio

47. Local Agency Program (LAP) Training for Professional Services

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. Professional Services Defined • 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.

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