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TRANSCRIPT
10/18/2017
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WELCOME TO CALTRANS DIVISION OF LOCAL ASSISTANCE
A&E CONSULTANT CONTRACTS2-HOUR INTENSIVE WEBINAR
Link to Webinar: https://csus.zoom.us/j/328337275Dial-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)
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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
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Chat Questions
We are taking questions via Chat. To ask a question:
1. Move mouse toward bottom of screen to enable toolbar at
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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
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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
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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.
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OFFICE OF GUIDANCE AND OVERSIGHTA&E OVERSIGHT BRANCH
1120 N STREET, SACRAMENTO CA 95814
LOCAL ASSISTANCE PROCEDURES MANUALEXHIBIT 10-C TRAINING
October 2017
OFFICE OF GUIDANCE & OVERSIGHTA&E Oversight Branch
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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
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Objective
Help Local Public Agencies (LPA) comply with A&E
procurement procedures
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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
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Local Public Agency (LPA)Submit completed 10‐C to [email protected]
CaltransDivision of Local Assistance (DLA)
Office of Guidance & Oversight (OGO)5‐day 10‐C Reviews
DLA‐OGO Notifies (via email) LPA and copy DLAE of 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
Flowchart for Submittal and Acceptance of Exhibit 10-C
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Unrecoverable DeficienciesThe 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
Procurement Planning
Solicitation Documents and Advertisement
Evaluation and Selection
Contract Cost Negotiation
Contract Execution
Section A
Section B
Section C
A&E Consultant Contract Reviewer Checklist (Exhibit 10-C)
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Exhibit 10-C A&E Consultant Contract Reviewers Checklist Information for Database
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A. Procurement Planning
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AnalogousEstimate
ParametricEstimate
Bottom‐upEstimate
High Accuracy
Less Accuracy
Perception Fact
Estimating Techniques
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B. Solicitation Documents and Advertisement
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B. Solicitation Documents and Advertisement
Example for Criteria and Weights
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B. Solicitation Documents and Advertisement
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B. Solicitation Documents and Advertisement
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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
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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; …
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C. Evaluation and Selection
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C. Evaluation and Selection
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D. Consultant Contract Amendment Only
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D. Consultant Contract Amendment Only
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Required Certification
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Submittal Process for A&E Consultant Contracts
Local Public Agency Submittal Process
(via email)
Caltrans
Division of Audits & Investigations (A&I)
(Financial Reviews & ICR Reviews)
Contract Execution
Caltrans
Division of Local Assistance (DLA) Office of Guidance & Oversight
(Exhibit 10‐C Reviews)
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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 35
Caltrans Local Assistance A&E Oversight
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Office of Guidance and OversightA&E Oversight Branch
Thank You
Felicia HaslemA&E Oversight
Program Manager(916) 653-7759
Quang Nguyen(916) 653‐6230
Districts1, 2, 3, 4
Carol Green(916) 651‐8909
Districts6, 9, 10
Mohammad Maljai(916) 651‐6552
Districts7, 8, 11, 12
The Pham (916) 653‐4342
Database/Support District 5
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QUESTIONS?
To ask a question:1. Move mouse toward bottom of screen to enable
toolbar at the bottom of the webinar screen2. Select chat3. Select host 4. Type in question5. Hit enter
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THANK YOU
This recording will be available in a few days at
http://www.dot.ca.gov/hq/LocalPrograms/AE/index.htm