Webinar Material All handouts associated with this webinar are - PDF document

10/18/2017 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

10/18/2017 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

10/18/2017 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

10/18/2017 OFFICE OF GUIDANCE AND OVERSIGHT A&E OVERSIGHT BRANCH 1120 N STREET, SACRAMENTO CA 95814 LOCAL ASSISTANCE PROCEDURES MANUAL EXHIBIT 10-C TRAINING 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 Mohammad Maljai The Pham Carol Green Districts Districts Districts Database/Support 6, 9, 10 1, 2, 3, 4 7, 8, 11, 12 District 5 8 4

10/18/2017 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

10/18/2017 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 DLA – OGO Notifies (via email) LPA and copy to DLAE of the No Is 10‐C Non‐acceptance of 10‐C acceptable? requesting LPA to provide additional information or re‐advertise the contract Yes DLA‐OGO Notifies (via email) LPA Note: LPAs must email a copy and copy DLAE of the acceptance of all contract amendments to of 10‐C DLAE 12 6

10/18/2017 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 Section A Planning Solicitation Section B Documents and Advertisement Evaluation and Selection Section C Contract Cost Negotiation Contract Execution 14 7

10/18/2017 Exhibit 10-C A&E Consultant Contract Reviewers Checklist Information for Database 15 A. Procurement Planning 16 8

10/18/2017 Estimating Techniques High Accuracy Bottom‐up Estimate Parametric Estimate Analogous Estimate Less Accuracy Perception Fact 17 B. Solicitation Documents and Advertisement 18 9

10/18/2017 B. Solicitation Documents and Advertisement Example for Criteria and Weights 19 B. Solicitation Documents and Advertisement 20 10

10/18/2017 B. Solicitation Documents and Advertisement 21 C. Evaluation and Selection 22 11

10/18/2017 C. Evaluation and Selection 23 Cost Proposal Example 24 12

10/18/2017 Cost Proposal Example Total Direct Labor Cost Total Indirect Cost Total Direct Labor Cost 25 C. Evaluation and Selection 26 13

10/18/2017 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

10/18/2017 C. Evaluation and Selection 29 D. Consultant Contract Amendment Only 30 15

10/18/2017 D. Consultant Contract Amendment Only 31 Required Certification 32 16

10/18/2017 Submittal Process for A&E Consultant Contracts Local Public Agency Submittal Process (via email) Caltrans Caltrans Division of Audits & Investigations Division of Local Assistance (DLA) (A&I) Office of Guidance & Oversight (Financial Reviews & ICR Reviews) (Exhibit 10‐C Reviews) conformance.review@dot.ca.gov aeoversight@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