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

Topics: 1) LPA Qualifications 2) RC Training and Transportation Workforce Development 3) Conflict of Interest 2

 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 3 LPA Guidelines Manual Section 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); and 10. The National Environmental Policy Act of 1969 (NEPA). 4 LPA Guidelines Manual Section 15.3

Planning & Programming Contract Administration Consultant Procurement Right-of-Way Environment Engineering Reimbursement Civil Rights 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! 6

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.

 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 Training Activities

CLASSROOM Best practices for new design and retrofits Group problem-solving exercise Compare local design standards December 6-7, day workshop Holiday Inn Downtown 141 N. 9th Lincoln, NE Local Projects Division WORKSHOP 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 Presented by the Association of Pedestrian and Bicycle Professionals Increase your understanding of Public Right-of-Way Accessibility Guidelines (PROWAG) and FHWA ADA policies December 6-7, day workshop Holiday Inn Downtown 141 N. 9th Lincoln, NE 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

January 11-13, 2011

March 1-4, 2011

June 13-15, 2011

Fiscal Year Scheduled Training Activities

October 18-19, 2011

April , 2012 April 9-13, 2012

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? 21

22 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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 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 25

 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! 26

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). 27

 Prior Disclosure  Transparency  Independence  Adherence to a Strong Code of Ethics 28 TEST: Is it fair and 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. 29

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.” 30

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.” 31

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.” 32

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.” 33

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

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

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

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

Focus on Government Officials System of Self-Reporting Disclosure and Mitigation Project Specific Disclosures Active Projects Only 39

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

 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 43

 Consultant Submit Disclosure Form with each RFP Response to LPA  Opportunity for Advance Screening by LPA 44

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