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Mitchell D. Doht, PE Quality Management Engineer NDOR Local Projects Division. Local Projects Division. Topics:. LPA Qualifications RC Training and Transportation Workforce Development Conflict of Interest. 2. LPA Qualifications.

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Presentation Transcript
slide1

Mitchell D. Doht, PE

Quality Management

Engineer

NDOR

Local Projects Division

Local Projects Division

topics
Topics:

LPA Qualifications

RC Training and Transportation Workforce Development

Conflict of Interest

2

lpa qualifications
LPA Qualifications
  • Personnel expertise which includes education, documented training or proficiency, and past experience (includes RC)
  • Policies, procedures and processes that comply with Federal and State law
  • Adequate financial, accounting and record-keeping systems

LPA Guidelines Manual Section 15.3 49 CFR 18.36(b)

lpa policies and procedures
LPA Policies and Procedures
  • Consultant Services Evaluation and Selection;
  • Consultant Services Management;
  • Change Order Process;
  • Dispute Resolution/Claims Management Process;
  • Finance, Accounting and Record Keeping;
  • Title VI of the Civil Rights Act of 1964 (Title VI);
  • Disadvantaged Business Enterprise (DBE);
  • Davis-Bacon and/or State Prevailing Wages;
  • Uniform Relocation and Real Estate Acquisition Act of 1970 (Uniform Act); and
  • The National Environmental Policy Act of 1969 (NEPA).

LPA Guidelines Manual Section 15.3

complex program
Complex Program!

Planning & Programming

Consultant Procurement

Environment

Contract Administration

Engineering

QC/QA

Right-of-Way

Reimbursement

Civil Rights

what training does an rc have
What Training Does an RC Have?
  • Training in each of10Core Competencies
  • 6Prerequisite NHI Courses (40 hours)
  • 4 Days Classroom Training (32hours)
  • 10 LTAP Online Modules ( 48 hours)

Total: 120 hours

  • Required2-Day Annual Workshop
  • Other WFD Events and Opportunities

Next RC Classroom Session after the first of the year!

ndor lpd workforce development plan
NDOR/LPD WORKFORCE DEVELOPMENT PLAN

RCs LPA Staff NDOR Staff

wfd project objectives
WFD Project Objectives
  • Increase knowledge of the administration and technical requirements for Federal-aid projects as set forth in the LPA Guidelines Manual.
  • Partner with the Local Technical Assistance Program (LTAP) to provide for the transfer of transportation technology and technical assistance to LPAs.
  • Implement innovative technologies through the provision of ongoing technical skills training.
slide9

The project is funded as outlined in SAFETEA-LU Section 5204(e) using core transportation program funds.

workshops seminars and other training

WORKSHOPS, SEMINARS, AND OTHER TRAINING

Participants will be reimbursed for all allowable expenses including lodging and mileage.

slide11

NEW IN NEBRASKA!

* Last year, 37 states tapped into the funds for workforce development as provided through Section 5204(e).

slide13

Presented by the Association of Pedestrian and Bicycle Professionals

December 6-7, 2010 1.5 day workshop

Holiday Inn Downtown

141 N. 9th

Lincoln, NE 68508

FIELD EXERCISES

  • Walking audits
  • Wheelchairs
  • Vision degraders

SUBJECTS COVERED

  • Legal Policies •Sidewalk Design
  • Crossings •Intersections
  • Curb ramps •Construction
  • Pedestrian Signals •Maintenance

TEAM INSTRUCTION

  • Trained APBP instructor
  • US Access Board instructor

WORKSHOP

Local Projects Division

Designing Pedestrian

Designing Pedestrian

Facilities for Accessibility

Facilities for Accessibility

Presented by the Association of Pedestrian and Bicycle Professionals

December 6-7, 2010 1.5 day workshop

Holiday Inn Downtown

141 N. 9th

Lincoln, NE 68508

Increase your understanding of Public Right-of-Way

Accessibility Guidelines (PROWAG) and FHWA ADA policies

Increase your understanding of Public Right-of-Way

Accessibility Guidelines (PROWAG) and FHWA ADA policies

FIELD EXERCISES

  • Walking audits
  • Wheelchairs
  • Vision degraders

SUBJECTS COVERED

  • Legal Policies •Sidewalk Design
  • Crossings •Intersections
  • Curb ramps •Construction
  • Pedestrian Signals •Maintenance

TEAM INSTRUCTION

  • Trained APBP instructor
  • US Access Board instructor

CLASSROOM

•Best practices for new design and retrofits •Group problem-solving exercise •Compare local design standards

safety inspection of in service bridges
Safety Inspection of In Service Bridges

April 9-13, 2012

April -23-27, 2012

conflict of interest
Conflict of Interest

What is a Conflict of Interest (COI)?

What do the Regulations say?

What is NDOR’s COI Policy?

How do I Document COI?

21

what is a conflict of interest
What is a Conflict of Interest ?

Conflict of Interest consists of a set of conditions by which professional judgment concerning a primary interest (e.g. public’s welfare) tends to be unduly influenced by a secondary interest (e.g. personal financial gain).

conflict of interest1
Conflict of Interest
  • Having a conflict of interest is not, in and of itself, evidence of wrongdoing
  • For many professionals, it is virtually impossible to avoid conflicts of interest from time to time
  • It can, however, become a legal matter if an individual tries influencing the outcome of the decision for personal benefit
conflicts of interest
Conflicts of Interest
  • Other improper acts that are sometimes classified as conflicts of interest are probably better classified otherwise
    • Accepting bribes can be classified as corruption!
    • Use of government or corporate property or assets for personal use is fraud!
remember
Remember

Conflict of Interest consists of a set of conditions by which professional judgment concerning a primary interest (e.g. public’s welfare) tends to be unduly influenced by a secondary interest (e.g. personal financial gain).

simple conflict of interest plan
Simple Conflict of Interest Plan
  • Prior Disclosure
  • Transparency
  • Independence
  • Adherence to a Strong Code of Ethics

TEST: Is it fair

and reasonable?

the trust test
The Trust Test

Would stakeholders (“relevant others”) trust my judgment if they knew of my conflict of roles/conflict of interest?

It is easier to see Conflict of Interest in others than yourself; so, discuss with others and promote/act with transparency.

what do the regulations say
What Do the Regulations Say ?

The first sentence of 23 CFR 1.33, Conflicts of Interest, states: “No official or employee of … any governmental instrumentality who is authorized in his [or her] official capacity to negotiate, make, accept or approve, or to take part in negotiating, making, accepting or approving any contract or subcontract in connection with a project shall have, directly or indirectly, any financial interest in any such contract or subcontract.”

what do the regulations say1
What Do the Regulations Say ?

Similarly, the second sentence of 49 CFR 18.36(b)(3) Procurement, states: “No employee, officer or agent of the grantee or sub grantee [LPA] shall participate in selection, or in the award or administration of a contract supported by federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when: (i) The employee, officer or agent, (ii) Any member of his [or her] immediate family, (iii) His or her partner, or (iv) An organization which employs, or is about to employ, any of the above, has a financial or other interest in the firm selected for award.”

what do the regulations say2
What Do the Regulations Say ?

The second sentence of 23 CFR 1.33 states: “No engineer, attorney, appraiser, inspector or other person performing services for a … governmental instrumentality in connection with a project shall have, directly or indirectly, a financial or other personal interest, other than his [or her] employment or retention by a … governmental instrumentality, in any contract or subcontract in connection with such project.”

what do the regulations say3
What Do the Regulations Say ?

The third sentence of 23 CFR 1.33 states: “No officer or employee of such person retained by a … governmental instrumentality shall have, directly or indirectly, any financial or other personal interest in any real property acquired for a project unless such interest is openly disclosed upon the public records of the State highway department and of such other governmental instrumentality, and such officer, employee or person has not participated in such acquisition for and in behalf of the State.”

forms of conflicts
Forms of Conflicts

Identified in Codes of Federal Regulations

- Direct

- Indirect

- Real

- Apparent

interests
Interests

Identified in Codes of Federal Regulations

- Financial

- Personal

- Property

- Other

relationships
Relationships

Identified in Codes of Federal Regulations

- Public Official

- Immediate Family

- Partner

- Organization that

employs Any of the Above

key actions
Key Actions

Identified in Codes of Federal Regulations

- Selecting

- Making

- Approving

- Administering

coi is a balancing act
COI is a Balancing Act!

Workable Policy vs.

Very Broad Regulations

Simple Case vs. Complex Circumstances

Mitigation vs. Irresolvable Situations

ndor conflict of interest policy
NDOR Conflict of Interest Policy
  • Focus on Government Officials
  • System of Self-Reporting
  • Disclosure and Mitigation
  • Project Specific Disclosures
  • Active Projects Only
documenting conflict of interest2
Documenting Conflict of Interest

LPA and Consultant Must Document COI

1. Guidance Documents

  • The Law
  • Definitions
  • Instructions

2. Disclosure Forms

  • Declaration
  • Types of Conflicts
documenting conflict of interest3
Documenting Conflict of Interest
  • LPA submit Disclosure Form with Project Program Agreement
  • Revise and Update throughout the life of the project
  • LPA evaluates any COI and makes mitigation recommendation(s) to NDOR
  • NDOR evaluates LPA recommendations
documenting conflict of interest4
Documenting Conflict of Interest
  • Consultant Submit Disclosure Form with each RFP Response to LPA
  • Opportunity for Advance Screening by LPA
any questions about lpa qualifications rc training workforce development conflict of interest
Any Questions About: LPA Qualifications? RC Training? Workforce Development? Conflict of Interest?