1 Mitchell D. Doht, PE Quality Management Engineer NDOR Local Projects Division.
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Transcript of 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
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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)
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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
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Complex Program!
Planning & Programming
Contract Administration
Consultant Procurement
Right-of-Way
Environment
Engineering
ReimbursementCivil R
ights
QC/QA
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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?
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NDOR/LPD WORKFORCE DEVELOPMENT PLAN
RCs LPA Staff NDOR Staff
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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
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The project is funded as outlined in SAFETEA-LU Section 5204(e) using core transportation program funds.
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WORKSHOPS, SEMINARS, AND OTHER TRAINING
• Participants will be reimbursed for all allowable expenses including lodging and mileage.
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* Last year, 37 states tapped into the funds for workforce development as provided through Section 5204(e).
NEW IN NEBRASKA!
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Fiscal Year 2010-2011 Training
Activities
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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
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PROJECT MANAGEMENT FUNDAMENTALS WORKSHOP
January 11-13, 2011
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Federal Wetland/Waters Regulatory Policy
March 1-4, 2011
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Practical Conflict Management for Environmental Issues (NHI)
June 13-15, 2011
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Fiscal Year 2011-2012
Scheduled Training Activities
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Introduction to Federal Right of Way Requirements
October 18-19, 2011
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Safety Inspection of In Service Bridges
April -23-27, 2012
April 9-13, 2012
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Many Other Events are Scheduled!!
Check out LTAPs Website!!
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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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What is a Conflict of Interest ?
No Conflict of Interest
Personal or Fi-nancial InterestPublic Interest
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What is a Conflict of Interest ?
Conflict of Interest
Personal or Fi-nancial InterestPublic InterestOverlap
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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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Conflict of Interest
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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
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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
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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?
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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
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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 ?
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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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What Do the Regulations Say ?
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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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What Do the Regulations Say ?
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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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What Do the Regulations Say ?
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Forms of Conflicts
Identified in Codes of Federal Regulations
- Direct
- Indirect
- Real
- Apparent
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Interests
Identified in Codes of Federal Regulations
- Financial
- Personal
- Property
- Other
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Relationships
Identified in Codes of Federal Regulations
- Public Official
- Immediate Family
- Partner
- Organization that
employs Any of the Above
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Key Actions
Identified in Codes of Federal Regulations
- 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
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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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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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Documenting Conflict of Interest
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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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Documenting Conflict of Interest
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Consultant Submit Disclosure Form with each RFP Response to LPA
Opportunity for Advance Screening by LPA
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Documenting Conflict of Interest
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Any Questions About:
LPA Qualifications? RC Training? Workforce Development? Conflict of Interest?