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9/18/2017 Office of Guidance and Oversight A&E Oversight Branch 1120 N Street, Sacramento CA 95814 LOCAL ASSISTANCE PROCEDURES MANUAL EXHIBIT 10-C TRAINING September 2017 OFFICE OF GUIDANCE & OVERSIGHT A&E Oversight Branch Ray

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Office of Guidance and Oversight A&E Oversight Branch

1120 N Street, Sacramento CA 95814 September 2017

LOCAL ASSISTANCE PROCEDURES MANUAL

EXHIBIT 10-C TRAINING

Ray Zhang Chief Division of Local Assistance Erwin Gojuangco Acting Chief Office of Guidance & Oversight Felicia Haslem A&E Oversight Manager Quang Nguyen Districts 1, 2, 3. 4 Sukh Nagra Districts 5, 6, 9,10 Mohammad Maljai Districts 7, 8, 11,12 The Pham Database/Support 2

OFFICE OF GUIDANCE & OVERSIGHT

A&E Oversight Branch

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Objective

Help Local Public Agencies (LPA) comply with A&E procurement procedures 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 Any consultant contracts are to be compliant or funding may be withdrawn.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.

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Summary of Performance Measures Report

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 DLA-OGO Notifies (via email) LPA and copy DLAE

f the acceptance of 10-C

is 10-C acceptable? 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. No Yes Note: LPAs must email a copy of all contract amendments to DLAE 6

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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).

Procurement Planning Solicitation Documents and Advertisement Evaluation and Selection Contract Cost Negotiation Contract Execution

A&E Consultant Contract Reviewer Checklist (Exhibit 10-C)

Section A Section B Section C

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Exhibit 10-C A&E Consultant Contract Reviewers Checklist Information for Database

A. Procurement Planning

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Estimating Techniques

Analogous Estimate Parametric Estimate Bottom-up Estimate

High Accuracy Less Accuracy Perception Fact

B. Solicitation Documents and Advertisement

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B. Solicitation Documents and Advertisement

Example for Criteria and Weights

B. Solicitation Documents and Advertisement

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B. Solicitation Documents and Advertisement

C. Evaluation and Selection

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C. Evaluation and Selection

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Cost Proposal Example

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Total Direct Labor Cost Total Direct Labor Cost Total Indirect Cost

Cost Proposal Example (Continued)

C. Evaluation and Selection

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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; …

C. Evaluation and Selection

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C. Evaluation and Selection

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Required Certification

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Local Public Agency Submittal Process (via email)

Caltrans Division of Audits & Investigations (A&I) (Financial Reviews & ICR Reviews) conformance.review@dot.ca.gov

Contract Execution

Caltrans Division of Local Assistance (DLA) Office of Guidance & Oversight (Exhibit 10-C Reviews) aeoversight@dot.ca.gov

Submittal Process for A&E Consultant Contracts

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

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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

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Caltrans Local Assistance A&E Oversight

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Thank You

Felicia Haslem A&E Oversight Program Manager (916) 653-7759 Quang Nguyen (916) 653-6230 Districts 1, 2, 3, 4 Sukh Nagra (916) 651-8915 Districts 5, 6, 9, 10 Mohammad Maljai (916) 651-6552 Districts 7, 8, 11, 12 The Pham (916) 653-4342 Database/Support 29