1. Florida Department of Transportation TRANSPORTATION Florida Department of MPO UPWP, Invoicing & Monitoring Process Federal Certification of the Statewide Planning Process 7/13/2016 Sean Santalla FDOT Office of Policy Planning

2. Florida Department of Transportation Agenda Background Process Improvements & Accomplishments – MPO Agreement – UPWP – Invoicing – Monitoring & Oversight Training & Implementation Next Steps 2

3. Florida Department of Transportation Background 3

4. Florida Department of Transportation Background 4 Statewide Grants Office Current MPO Process 2 CFR §200 “Super Circular” DFS Documentation Requirements Tasked with identifying inconsistencies and deficiencies in grant programs. MPO Program: -Multiple JPA formats -Time frame for agreements -Scope of services -Lack of oversight & accountability -500+ page invoices. -Extensive resource needs for invoice development/ distribution. -Delays in payment -Struggle to meet 15-day reimbursement requirement. Implementation of new federal requirements such as: -Period of performance end date. -Risk assessment & progress reporting. -Indirect & fringe cost reimbursement. Recently, DFS has started reviewing all FDOT programs with enhanced level of scrutiny. FDOT now operating under a DFS Improvement Plan for the MPO program.

5. Florida Department of Transportation FDOT Office of Policy Planning FHWA Florida Division Florida Department of Financial Services FDOT Office of Comptroller FDOT Office of Work Program & Budget MPOAC Process Development 5 New UPWP, Agreement & Invoicing Process

6. Florida Department of Transportation Goals – “The Big Picture” Streamline the process. Ensure compliance with state and federal laws, rules, and regulations. Provide consistency in administration of MPO funds. Enhance oversight of MPOs. Put the MPOs and FDOT in the best position for success. 6

7. Florida Department of Transportation Goals – “The Big Picture” 7

8. Florida Department of Transportation Process Improvements & Accomplishments 8

9. Florida Department of Transportation MPO Agreement As of July 1: Previous agreements expired June 30, 2016 Each MPO now operating under a two-year MPO Agreement. 9 Previously: 65+ agreements with MPOs Various time frames (some perpetual agreements 30+ years old!) Non-compliance with state and federal laws, rules, regulations, guidance Accomplishments: Consistent agreements and intuitive timing statewide Developed as part of cooperative process between FDOT, MPOs Compliance with state and federal requirements Guidance on allowable expenses, dispute resolution, invoicing, single audit, etc.

10. Florida Department of Transportation UPWP UPWP is Scope of Work for MPO Agreement. – The UPWP must include all FHWA funds being provided to the MPO for planning purposes. UPWPs must include budget line items by task and fiscal year. MPO Liaisons must perform a cost analysis, attesting that each line item is allowable, reasonable, and necessary. Consistent guidance on soft match, indirect costs. 10 Accomplishments: Alignment between the MPO Agreement and the UPWP Transparency of MPO grant expenditures Advance consideration of eligibility, allowability, reasonableness, necessity of MPO grant expenditures Consistent guidance on soft match, indirect costs Motivation for MPOs to refine financial management systems

11. Florida Department of Transportation UPWP Example budget detail & cost analysis (Broward MPO): 11

12. Florida Department of Transportation Invoicing 12 Previously: Inconsistent invoicing requirement (some invoices 500+ pages!) Extensive resources required to develop invoice packages Burden on MPO Liaison to review invoice for completion, allowability of costs incurred Struggle to meet 15-day PL reimbursement requirement [23 USC §104] As of July 1: All invoices submitted on a quarterly or monthly basis. A consistent invoice format has been developed and will be required of MPOs statewide. Supporting documentation not required at the time of invoice. – Must be readily available if/when requested. Accomplishments: Consistent invoice package Reduce burden on MPOs developing invoice packages, MPO Liaisons reviewing invoice packages Enable Central Office to provide consistent guidance on MPO invoicing

13. Florida Department of Transportation Invoicing Invoice package consists of 3 parts: – Invoice – Itemized Expenditure Detail Report – Progress Report 13 - must follow prescribed format No prescribed format, but must meet requirements

14. Florida Department of Transportation Monitoring & Oversight 14 Previously: Monitoring consists of an informal combination of invoice reviews, certifications, and single audit No risk assessment for MPO program – noncompliance with 2 CFR §200.331 Lack of guidance on monitoring and oversight As of July 1: All MPOs have been assigned a risk level. Formal monitoring plan, with resources to carry it out, has been developed. Joint State-MPO Certification is being reviewed for incorporation of fiscal monitoring. Accomplishments: Compliance with 2 CFR 200 risk assessment requirements. Enhanced, consistent fiscal oversight of MPO Resource availability for fiscal monitoring

15. Florida Department of Transportation Training & Implementation 15

16. Florida Department of Transportation Roll-Out & Training - Status Initial roll-out: – FDOT/FHWA/FTA/MPO Quarterly Meeting – Nov. 19, 2015 Four online training modules: – UPWP Requirements – December 17, 2015 – Invoicing Process – May 24, 2016 – Work Program & Encumbering – April 13, 2016 – Monitoring & Risk Assessment – May 24, 2016 In-person training: – February 2016 – District site visits – Florida Metropolitan Planning Partnership Statewide Meeting – September 2016 – DFS Contract Management Training (Vendors) - MPOAC Additional training: FCCM Training (Required for Liaisons) 16

17. Florida Department of Transportation Resources Reference Documents: – 2 CFR §200 - Uniform Administrative Requirements, Cost Principles, And Audit Requirements For Federal Awards Subpart E - Cost Principles – State of Florida Department of Financial Services (DFS) Reference Guide for State Expenditures – MPO Program Management Handbook, Chapter 3: Unified Planning Work Program – Frequently Asked Questions (FAQs) 17

18. Florida Department of Transportation Resources Templates & Forms: – Estimated Budget Detail – MPO Invoice Template – FDOT Contractor Travel Form – MPO Liaison Invoice & Supporting Documentation Review Checklist Presentations & Trainings – all recorded and posted 18 All resources available on the Office of Policy Planning external webpage: http://www.dot.state.fl.us/planning/policy/metrosupport/invoicing/default.shtm http://www.dot.state.fl.us/planning/policy/metrosupport/invoicing/default.shtm

19. Florida Department of Transportation Next Steps Milestones: – First monthly invoice: mid-August – First quarterly invoice: mid-October – First fiscal monitoring: mid-October Continued training – FMPP Statewide Meeting, quarterly meetings – As-needed Continued technical assistance, development & refining of resources 19

20. Florida Department of Transportation Questions? 20

21. Florida Department of Transportation Contact Information Office of Policy Planning Sean Santalla 850-414-4578 Sean.Santalla@dot.state.fl.us Yvonne Arens 850-414-4816 Yvonne.Arens@dot.state.fl.us Diana Fields 850-414-4901 Diana.Fields@dot.state.fl.us Regina Colson 850-414-4807 Regina.Colson@dot.state.fl.us Office of Comptroller Lisa Wilkerson 850-414-4391 Lisa.Wilkerson@dot.state.fl.us Sandy Watson 850-414-4325 Sandy.Watson@dot.state.fl.us 21