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

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

2. Topics: LPA Qualifications RC Training and Transportation Workforce Development Conflict of Interest 2

3. LPA Qualifications • 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 LPA Guidelines Manual Section 15.3 49 CFR 18.36(b)

4. LPA Policies and Procedures • Consultant Services Evaluation and Selection; • Consultant Services Management; • Change Order Process; • Dispute Resolution/Claims Management Process; • Finance, Accounting and Record Keeping; • Title VI of the Civil Rights Act of 1964 (Title VI); • Disadvantaged Business Enterprise (DBE); • Davis-Bacon and/or State Prevailing Wages; • Uniform Relocation and Real Estate Acquisition Act of 1970 (Uniform Act); and • The National Environmental Policy Act of 1969 (NEPA). LPA Guidelines Manual Section 15.3

5. Complex Program! Planning & Programming Consultant Procurement Environment Contract Administration Engineering QC/QA Right-of-Way Reimbursement Civil Rights

6. What Training Does an RC Have? • Training in each of10Core Competencies • 6Prerequisite NHI Courses (40 hours) • 4 Days Classroom Training (32hours) • 10 LTAP Online Modules ( 48 hours) Total: 120 hours • Required2-Day Annual Workshop • Other WFD Events and Opportunities Next RC Classroom Session after the first of the year!

7. NDOR/LPD WORKFORCE DEVELOPMENT PLAN RCs LPA Staff NDOR Staff

8. WFD Project Objectives • 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.

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

10. WORKSHOPS, SEMINARS, AND OTHER TRAINING Participants will be reimbursed for all allowable expenses including lodging and mileage.

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

12. Fiscal Year 2010-2011 Training Activities

13. Presented by the Association of Pedestrian and Bicycle Professionals December 6-7, 2010 1.5 day workshop Holiday Inn Downtown 141 N. 9th Lincoln, NE 68508 FIELD EXERCISES • Walking audits • Wheelchairs • Vision degraders SUBJECTS COVERED • Legal Policies •Sidewalk Design • Crossings •Intersections • Curb ramps •Construction • Pedestrian Signals •Maintenance TEAM INSTRUCTION • Trained APBP instructor • US Access Board instructor WORKSHOP Local Projects Division Designing Pedestrian Designing Pedestrian Facilities for Accessibility Facilities for Accessibility Presented by the Association of Pedestrian and Bicycle Professionals December 6-7, 2010 1.5 day workshop Holiday Inn Downtown 141 N. 9th Lincoln, NE 68508 Increase your understanding of Public Right-of-Way Accessibility Guidelines (PROWAG) and FHWA ADA policies Increase your understanding of Public Right-of-Way Accessibility Guidelines (PROWAG) and FHWA ADA policies FIELD EXERCISES • Walking audits • Wheelchairs • Vision degraders SUBJECTS COVERED • Legal Policies •Sidewalk Design • Crossings •Intersections • Curb ramps •Construction • Pedestrian Signals •Maintenance TEAM INSTRUCTION • Trained APBP instructor • US Access Board instructor CLASSROOM •Best practices for new design and retrofits •Group problem-solving exercise •Compare local design standards

14. PROJECT MANAGEMENT FUNDAMENTALS WORKSHOP January 11-13, 2011

15. Federal Wetland/Waters Regulatory Policy March 1-4, 2011

16. Practical Conflict Management for Environmental Issues (NHI) June 13-15, 2011

17. Fiscal Year 2011-2012 Scheduled Training Activities

18. Introduction to Federal Right of Way Requirements October 18-19, 2011

19. Safety Inspection of In Service Bridges April 9-13, 2012 April -23-27, 2012

20. Many Other Events are Scheduled!!Check out LTAPs Website!!

21. Conflict of Interest What is a Conflict of Interest (COI)? What do the Regulations say? What is NDOR’s COI Policy? How do I Document COI? 21

22. 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).

23. What is a Conflict of Interest ?

24. What is a Conflict of Interest ?

25. Conflict of Interest • 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

26. Conflicts of Interest • 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!

27. Remember 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).

28. Simple Conflict of Interest Plan • Prior Disclosure • Transparency • Independence • Adherence to a Strong Code of Ethics TEST: Is it fair and reasonable?

29. The Trust Test 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.

30. What Do the Regulations Say ? 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.”

31. 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.”

32. What Do the Regulations Say ? 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.”

33. What Do the Regulations Say ? 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.”

34. Forms of Conflicts Identified in Codes of Federal Regulations - Direct - Indirect - Real - Apparent

35. Interests Identified in Codes of Federal Regulations - Financial - Personal - Property - Other

36. Relationships Identified in Codes of Federal Regulations - Public Official - Immediate Family - Partner - Organization that employs Any of the Above

37. Key Actions Identified in Codes of Federal Regulations - Selecting - Making - Approving - Administering

38. COI is a Balancing Act! Workable Policy vs. Very Broad Regulations Simple Case vs. Complex Circumstances Mitigation vs. Irresolvable Situations

39. NDOR Conflict of Interest Policy • Focus on Government Officials • System of Self-Reporting • Disclosure and Mitigation • Project Specific Disclosures • Active Projects Only

40. Documenting Conflict of Interest

41. Documenting Conflict of Interest

42. Documenting Conflict of Interest LPA and Consultant Must Document COI 1. Guidance Documents • The Law • Definitions • Instructions 2. Disclosure Forms • Declaration • Types of Conflicts

43. Documenting Conflict of Interest • 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

44. Documenting Conflict of Interest • Consultant Submit Disclosure Form with each RFP Response to LPA • Opportunity for Advance Screening by LPA

45. Any Questions About: LPA Qualifications? RC Training? Workforce Development? Conflict of Interest?