1 Mitchell D. Doht, PE Quality Management Engineer NDOR Local Projects Division

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Mitchell D. Doht, PE Quality Management Engineer NDOR Local Projects Division

Local Projects Division

Topics:

1) LPA Qualifications

2) RC Training and Transportation Workforce Development

3) Conflict of Interest

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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

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LPA Qualifications

LPA Guidelines Manual Section 15.3 49 CFR 18.36(b)

1. Consultant Services Evaluation and Selection;2. Consultant Services Management;3. Change Order Process;4. Dispute Resolution/Claims Management Process;5. Finance, Accounting and Record Keeping;6. Title VI of the Civil Rights Act of 1964 (Title VI);7. Disadvantaged Business Enterprise (DBE);8. Davis-Bacon and/or State Prevailing Wages;9. Uniform Relocation and Real Estate Acquisition

Act of 1970 (Uniform Act); and10. The National Environmental Policy Act of 1969

(NEPA).

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LPA Policies and Procedures

LPA Guidelines Manual Section 15.3

Complex Program!

Planning & Programming

Contract Administration

Consultant Procurement

Right-of-Way

Environment

Engineering

ReimbursementCivil R

ights

QC/QA

Training in each of 10 Core Competencies 6 Prerequisite NHI Courses (40 hours) 4 Days Classroom Training (32 hours) 10 LTAP Online Modules ( 48 hours)

Total: 120 hours

Required 2-Day Annual Workshop Other WFD Events and Opportunities

Next RC Classroom Session after the first of the year!

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What Training Does an RC Have?

NDOR/LPD WORKFORCE DEVELOPMENT PLAN

RCs LPA Staff NDOR Staff

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.

WFD Project Objectives

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

WORKSHOPS, SEMINARS, AND OTHER TRAINING

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

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

NEW IN NEBRASKA!

Fiscal Year 2010-2011 Training

Activities

December 6-7, 2010 1.5 day workshopHoliday Inn Downtown

141 N. 9thLincoln, NE 68508

Increase your understanding of Public Right-of-Way

Accessibility Guidelines (PROWAG) and FHWA ADA policies

Presented by the Association of Pedestrian and Bicycle Professionals

SUBJECTS COVERED· Legal Policies • Sidewalk Design· Crossings • Intersections· Curb ramps • Construction· Pedestrian Signals • Maintenance TEAM INSTRUCTION

·Trained APBP instructor·US Access Board instructor

FIELD EXERCISES·Walking audits·Wheelchairs·Vision degraders

PROJECT MANAGEMENT FUNDAMENTALS WORKSHOP

January 11-13, 2011

Federal Wetland/Waters Regulatory Policy

March 1-4, 2011

Practical Conflict Management for Environmental Issues (NHI)

June 13-15, 2011

Fiscal Year 2011-2012

Scheduled Training Activities

Introduction to Federal Right of Way Requirements

October 18-19, 2011

Safety Inspection of In Service Bridges

April -23-27, 2012

April 9-13, 2012

Many Other Events are Scheduled!!

Check out LTAPs Website!!

Conflict of Interest

1) What is a Conflict of Interest (COI)?

2) What do the Regulations say?

3) What is NDOR’s COI Policy?

4) How do I Document COI?

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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).

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No Conflict of Interest

Personal or Fi-nancial InterestPublic Interest

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Personal or Fi-nancial InterestPublic InterestOverlap

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

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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!

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Conflicts 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).

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Remember

Prior Disclosure Transparency Independence Adherence to a Strong Code of Ethics

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Simple Conflict of Interest Plan

TEST: Is it fairand reasonable?

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.

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The Trust Test

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.”

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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.”

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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.”

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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.”

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Forms of Conflicts

Identified in Codes of Federal Regulations

- Direct

- Indirect

- Real

- Apparent

Interests


- Financial

- Personal

- Property

- Other

Relationships


- Public Official

- Immediate Family

- Partner

- Organization that

employs Any of the Above

Key Actions


- Selecting

- Making

- Approving

- Administering

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COI is a Balancing Act!

Workable Policy vs.Very Broad Regulations

Simple Case vs. Complex Circumstances

Mitigation vs. Irresolvable Situations

Focus on Government Officials

System of Self-Reporting Disclosure and Mitigation Project Specific Disclosures Active Projects Only

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NDOR Conflict of Interest Policy

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Documenting Conflict of Interest

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LPA and Consultant Must Document COI

1. Guidance Documents The Law Definitions Instructions

2. Disclosure Forms Declaration Types of Conflicts

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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

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Consultant Submit Disclosure Form with each RFP Response to LPA

Opportunity for Advance Screening by LPA

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Any Questions About:

LPA Qualifications? RC Training? Workforce Development? Conflict of Interest?