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OFFICE OF GUIDANCE AND OVERSIGHTA&E OVERSIGHT BRANCH

1120 N STREET, SACRAMENTO CA 95814

LOCAL ASSISTANCE PROCEDURES MANUALEXHIBIT 10-C TRAINING

October 2017

Webinar Material

All handouts associated with this webinar are posted on

our blog at: http://www.localassistanceblog.com/ae-training/

1. Exhibit 10-C A&E Consultant Contract Reviewers Checklist and

Instructions

2. Office Bulletin 17-02 A&E Consultant Contract Review

3. A&E Resources

4. Webinar Presentation (PDF)

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Important Links

LAPM and LAPG Updates, and Training, and Other Useful

Information:

1. Subscribe to our Local Assistance Email Notification List:

http://www.dot.ca.gov/hq/LocalPrograms/sub.htm

2. Visit our blog, The LAB, regularly:

http://www.localassistanceblog.com/

3. Caltrans Consultant Selection and Procurement Webpage:

http://www.dot.ca.gov/hq/LocalPrograms/AE/index.htm

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Presenter

Mohammad Maljai, Main Presenter

Mohammad Maljai is a Senior Transportation Engineer with Caltrans’

Division of Local Assistance. He is a 28-year veteran of Caltrans with

prior experience in the design and project management divisions. He

also worked in our Division of Procurement and Contracts for nine

years where he was as an A&E Contracts Coordinator. Currently he

is in the Division of Local Assistance where his primary responsibility

is to provide guidance and oversight of the A&E procurement process

to local agencies. Mohammad covers district 7, 8 11 and 12.

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OFFICE OF GUIDANCE & OVERSIGHTA&E Oversight Branch

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Ray Zhang

Chief

Division of Local Assistance

Mark Samuelson 

Chief 

Office of Guidance & Oversight

Felicia Haslem

A&E Oversight 

Program Manager

Quang Nguyen

Districts 

1, 2, 3, 4

Carol Green Districts

6, 9, 10 

Mohammad Maljai

Districts

7, 8, 11, 12 

The Pham

Database/Support

District 5

Objective

Help Local Public Agencies (LPA) comply with A&E

procurement procedures

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Outline

WHY is this training important?

• FHWA has identified the A&E procurement as “high risk.”

• Caltrans Audits & Investigations – Audit Findings.

WHAT is new?

• A completed Local Assistance Procedures Manual (LAPM) Exhibit 10-C for

new or amended federal and/or state funded A&E consultant contracts must

be accepted by Caltrans prior to contract award.

• Procedure and timeline for the A&E 10-C Compliance Action Plan (10-C

CAP) were established and effective October 1, 2017. Any consultant

contracts are to be compliant or funding may be withdrawn.

HOW to comply with State/Federal Regulation?

• Follow Exhibit 10-C.

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Summary of Performance Measures Report

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Local Public Agency (LPA)Submit completed 10‐C to aeoversight@dot.ca.gov

CaltransDivision of Local Assistance (DLA)

Office of Guidance & Oversight (OGO)5‐day 10‐C Reviews

DLA‐OGO Notifies (via email) LPA and copy DLAE of the acceptance 

of 10‐C

Is 10‐C acceptable?

DLA – OGO Notifies (via email) LPA and copy to  DLAE of the 

Non‐acceptance of 10‐C requesting LPA to provide additional information 

or re‐advertise the contract

No

Yes

Note: LPAs must email a copy of all contract amendments to 

DLAE

Flowchart for Submittal and Acceptance of Exhibit 10-C

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Unrecoverable DeficienciesThe following are considered unrecoverable deficiencies and shall result in the

withdrawal of all or a portion of the federal and/or state funds from the project:

No records or documentation to support consultant procurement. No support for scoring and/or ranking of consultants.

Two or more of the following are considered unrecoverable deficiencies and

shall result in the withdrawal of all or a portion of the federal and/or state

funds from the project:

No justification for sole-sourcing. Could not support contract was advertised at all. No independent cost estimate performed. Local preference used. Price used as an evaluation factor. Scoring evaluation factors or weights do not match those identified in the RFQ/RFP. Did not include any evaluation factors in the RFQ/RFP. Cost proposal does not break down job classifications and types of costs by amount and/or

rates. Missing Title VI requirements [per Title 23 CFR 172.9 (c) (1) (vi)] from contracts (Federal

Funded Only). Missing DBE requirements [per Title 23 CFR 172.9 (c) (1) (vii)] from contracts (Federal Funded

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Procurement Planning

Solicitation Documents and Advertisement

Evaluation and Selection

Contract Cost Negotiation

Contract Execution

Section A

Section B

Section C

A&E Consultant Contract Reviewer Checklist (Exhibit 10-C)

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Exhibit 10-C A&E Consultant Contract Reviewers Checklist Information for Database

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A. Procurement Planning

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AnalogousEstimate

ParametricEstimate

Bottom‐upEstimate

High Accuracy

Less Accuracy

Perception Fact

Estimating Techniques

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B. Solicitation Documents and Advertisement

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B. Solicitation Documents and Advertisement

Example for Criteria and Weights

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B. Solicitation Documents and Advertisement

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B. Solicitation Documents and Advertisement

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C. Evaluation and Selection

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C. Evaluation and Selection

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Cost Proposal Example

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Total Direct Labor Cost

Total Direct Labor Cost

Total Indirect Cost

Cost Proposal Example

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C. Evaluation and Selection

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C. Evaluation and Selection

e.g.: Performance Period; Allowable Costs and Payments; Termination; Cost Principles and Administrative Requirements; Retention of Records/Audit; Audit Review Procedures; Subcontracting; …

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C. Evaluation and Selection

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C. Evaluation and Selection

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D. Consultant Contract Amendment Only

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D. Consultant Contract Amendment Only

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Required Certification

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Submittal Process for A&E Consultant Contracts

Local Public Agency Submittal Process 

(via email)

Caltrans

Division of Audits & Investigations  (A&I)

(Financial Reviews & ICR Reviews)

conformance.review@dot.ca.gov

Contract Execution

Caltrans 

Division of Local Assistance (DLA) Office of Guidance & Oversight

(Exhibit 10‐C Reviews)

aeoversight@dot.ca.gov

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Changes to Request for Authorization forms 3A 3B 3C 3D and 3Q

Indicate 10-C acceptance/date for the project

If using an on-call contract, provide original date of 10-C

acceptance

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References Caltrans Local Assistance A&E Oversight: “Consultant Selection and Procurement”

http://www.dot.ca.gov/hq/LocalPrograms/AE/index.htm Caltrans Local Assistance Procedures Manual (LAPM), Chapter 10: “Consultant Selection”

http://www.dot.ca.gov/hq/LocalPrograms/lam/LAPM/ch10.pdf State code 4525-4529: “Contracting with A&E Firms”

http://www.aiacc.org/wp-content/uploads/2016/03/Government-Code-4525-4529.pdf Title 23 United States Code Section 112 (23 USC 112): “Letting of Contracts”

https://www.gpo.gov/fdsys/granule/USCODE-2011-title23/USCODE-2011-title23-chap1-sec112 40 USC Chapter 11, Sections 1101-1104 : “Selection of Architects & Engineers (Brooks Act)”

http://uscode.house.gov/view.xhtml?path=/prelim@title40/subtitle1/chapter11&edition=prelim Caltrans Local Assistance Procedures Manual (LAPM), Chapter 3: “Project Implementation”

http://www.dot.ca.gov/hq/LocalPrograms/lam/LAPM/ch03.pdf Caltrans Local Assistance Procedures Manual (LAPM), Chapter 20: “Deficiencies and Sanctions”

http://www.dot.ca.gov/hq/LocalPrograms/lam/LAPM/ch20.pdf 48 CFR Part 31: “Contract Cost Principles and Procedures”

https://www.gpo.gov/fdsys/search/pagedetails.action?browsePath=Title+48%2FChapter+1%2FSubchapter+E%2FPart+31&granuleId=CFR-2011-title48-vol1-part31&packageId=CFR-2011-title48-vol1&collapse=true&fromBrowse=true&collectionCode=CFR

2 CFR Part 200 Subpart D: “Uniform Administration Requirements for Grants and Cooperative Agreements to State and Local Governments”. https://www.ecfr.gov/cgi-bin/text-idx?node=2:1.1.2.2.1

49 CFR Part 26: “Participation by Disadvantaged Business Enterprises (DBE) in Department of Transportation Financial Assistance Programs”https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title49/49cfr26_main_02.tpl

Title 23 Code of Federal Regulation, Part 172 (23 CFR 172): “Procurement, Management, And Administration Of Engineering And Design Related Services” (August 17, 2017)https://www.ecfr.gov/cgi-bin/text-idx?rgn=div5&node=23:1.0.1.2.3 32

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Caltrans Local Assistance A&E Oversight

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Office of Guidance and OversightA&E Oversight Branch

Thank You

Felicia HaslemA&E Oversight

Program Manager(916) 653-7759

Quang Nguyen(916) 653‐6230

Districts1, 2, 3, 4 

Carol Green(916) 651‐8909 

Districts6, 9, 10

Mohammad Maljai(916) 651‐6552

Districts7, 8, 11, 12

The Pham (916) 653‐4342

Database/Support District 5

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QUESTIONS?

To ask a question:1. Move mouse toward bottom of screen to enable

toolbar at the bottom of the webinar screen2. Select chat3. Select host or everyone4. Type in question5. Hit enter

Mohammad Maljai and Felicia Haslem, A&E Oversight Program Manager, will be fielding questions.

THANK YOU

This recording will be available in a few days at

http://www.dot.ca.gov/hq/LocalPrograms/AE/index.htm