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Audit Report 2014-1 FAA Grants - Runway Rehabilitation Projects
InternalAuditDepartment AuditReport2014-1 CollierCountyAirportAuthority FAAGrants–Runway RehabilitationProjects DwightE.Brock ClerkoftheCircuitCourt 3299TamiamiTrailEast Suite#402 Naples,FL34112-5746 www.collierclerk.com Issued:December4,2013 1 Preparedby:MeganGaillard,SeniorInternalAuditor ReportDistribution:CollierCountyAirportAuthority(CCAA) LeoOchs,Jr.,CountyManager MarkIsackson,DirectorofCorporate,Financial,&ManagementServices JeffKlatzkow,CountyAttorney NickCasalanguida,GrowthManagementDivisionAdministrator Cc:DwightE.Brock,ClerkoftheCircuitCourt CrystalK.Kinzel,DirectorofFinance&Accounting DalePhillips,InternalAuditManager TABLEOFCONTENTS OBJECTIVES...............................................................................................................................2 SCOPE..........................................................................................................................................2 BACKGROUND..........................................................................................................................3 SUMMARY..................................................................................................................................7 CONCLUSION.............................................................................................................................8 EXHIBITA–MARCOISLANDEXECUTIVEAIRPORT–PHOTOGRAPHSFROM FDOTPAVEMENTEVALUATIONREPORT..........................................................................9 EXHIBITB–IMMOKALEEREGIONALAIRPORT–PHOTOGRAPHSFROMFDOT PAVEMENTEVALUATIONREPORT...................................................................................15 EXHIBITC–CHARTS.............................................................................................................23 Thefilesanddraftversionsofauditreportsremainconfidentialandprotectedfrompublicrecordsrequests duringanactiveauditunder Nicolaiv.Baldwin(Aug.28,1998DCAofFL,5 th District)andFlorida Statute119.0713.Work-paperssupportingtheobservationsnotedwithinthisreportwillbecomepublic recordandcanbemadeavailableuponrequestoncethefinalauditreporthasbeenissued. 2 Thedraftauditreport2014-1wasreviewedwiththeDepartmentonNovember22,2013. Objectives Theobjectivesofthereviewweretodetermineif:1)FederalAviationAdministration(FAA)grantapplications wereincompliancewithgrantassurancesand2)theunderlyinginformationsubmittedtotheFAAwasaccurateand completewithregardtothetwoFAAgrantapplications(ImmokaleeRegionalAirportGrantAgreement#3-12- 0031-008-2013andMarcoIslandExecutiveAirportGrantAgreement#3-12-0142-010-2013)forrunway rehabilitationattheImmokaleeRegionalAirportandtheMarcoIslandExecutiveAirport. Scope Thereviewconsistedof,butwasnotlimitedtothefollowingtasks: Reviewofpre-grantapplicationforImmokaleeRegionalAirportrunwayrehabilitationproject; Reviewofpre-grantapplicationforMarcoIslandExecutiveAirportrunwayrehabilitationproject; ReviewofgrantapplicationforImmokaleeRegionalAirportrunwayrehabilitationproject; ReviewofgrantapplicationforMarcoIslandExecutiveAirportrunwayrehabilitationproject; ReviewofCountyManager’safter-the-factapprovalmemorandumfortheImmokaleeRegionalAirportand MarcoIslandExecutiveAirportrunwayrehabilitationprojects; ReviewofFAAcorrectedgrantapplicationforImmokaleeRegionalAirportrunwayrehabilitationproject; ReviewofFAAgrantagreement3-12-0031-008-2013forImmokaleeRegionalAirportrunwayrehabilitation project; ReviewofFDOTjointparticipationagreementAR519forImmokaleeRegionalAirportrunwayrehabilitation project; ReviewofFAAgrantagreement3-12-0142-010-2013forMarcoIslandExecutiveAirportrunwayandapron rehabilitationproject; ReviewofFDOTjointparticipationagreementAR513forMarcoIslandExecutiveAirportrunwayandapron rehabilitationproject; ReviewofapplicableAdvisoryCircularsincludingbutnotlimitedtoGuidelinesandProceduresfor MaintenanceofAirportPavements; ReviewofapplicableBoardofCountyCommissioner/CollierCountyAirportAuthoritymeetingagendas, supportingdocumentation,recaps,andminutes; ReviewofapplicableFederalRegulations,ExecutiveOrders,FAAGrantAssurances,FloridaStatutes,Stateof FloridaGuidance,BCCRecordsincludingCollierCountyOrdinancesandResolutions,CollierCountyLand DevelopmentCode(LDC)andCollierCounty-CountyManager’sAgencyAdministrativePracticesand ProceduresManual; ReviewofInter-localIngress/EgressAgreement(datedJanuary17,1996)includingFirstAmendment(dated August28,2000)forMarcoIslandExecutiveAirport; ReviewofMemorandumofUnderstanding(datedSeptember11,2001)forMarcoIslandExecutiveAirport; ReviewofCountyBidNo.13-6124submittalsforImmokaleeAirportRunwayConstruction9/27; ReviewofCollierCountyLandDevelopmentCodeandZoningMaps; Reviewofauditwork-papersfromAuditReport2012-1andAuditReport2012-2; ReviewofFloridaFishandWildlifeConservationCommissionGopherTortoiseIncidentalTakePermit#COL- 36fortheImmokaleeRegionalAirport ReviewofFloridaDepartmentofEnvironmentalProtectionPermit#11-0129042-002includingextension; ReviewofU.S.ArmyCorpsofEngineersPermit#SAJ-1997-2362(IP-HWB)includingrequestforextension; ReviewoftheFloridaDepartmentofTransportationAviationOfficePavementEvaluationReportsforthe ImmokaleeRegionalAirportandtheMarcoIslandExecutiveAirport; Reviewof2009AirportMasterPlanforMarcoIslandExecutiveAirport; Reviewof2009AirportMasterPlanforImmokaleeRegionalAirport;and InterviewswithCountyStaff. 3 Background ThereviewoftheFederalAviationAdministration(FAA)grantapplications(ImmokaleeRegionalAirportGrant Agreement#3-12-0031-008-2013andMarcoIslandExecutiveAirportGrantAgreement#3-12-0142-010-2013)for runwayrehabilitationfortheImmokaleeRegionalAirportandtheMarcoIslandExecutiveAirportwascompleted basedontherequestoftheBoardofCountyCommissioners(BCC),actingastheCollierCountyAirportAuthority (CCAA). AsaresultofCCAAconcernsregardingtheinformationsubmitted,ataregularmeetingheldon September24,2013(agendaitem14.A.3and14.A.4),theCCAAunanimouslyapprovedandrequestedtheClerk’s OfficetoworkwithCountyStafftoconductareviewofthegrantapplicationsandunderlyingsupporting information. TheFAAgrantassurancesnumber11requirea“PavementPreventiveMaintenance”.Theassuranceappliesto projectsapprovedafterJanuary1,1995,forthereplacementorreconstructionofpavementattheairport.The assurancecertifiesthattheairporthasimplementedaneffectiveairportpavementmaintenancemanagement programandassuresthattheairportwilluseaprogramfortheusefullifeofanypavementconstructed, reconstructed,orrepairedwithFederalfinancialassistance.Theairportmustprovidereportsofthepavement conditionandpavementmanagementprograms. TheStateofFloridaDepartmentofTransportationAviationOffice(FDOT)createdandimplementedtheStatewide AirfieldPavementManagementProgramin1992.Theprogramwascreatedtoplan,schedule,anddesignthe maintenanceandrehabilitationactivitiesnecessaryfortheairfieldpavementonFloridapublicairportstoallowthe airportstooperateefficiently,economically,andwithoutexcessivedowntime.TheprogramusesthePavement ManagementSystem(PMS)whichisabroadfunctionthatusespavementevaluationandpavementperformance trendsasthebasisforplanning,programming,financing,andmaintainingapavementsystem.Pavementevaluation iscompletedtomakedeterminationsofcondition,serviceability,andthebestcorrectiveactionforpavement.The FDOT’sminimumservicelevelforpavementis75forrunways,60foraprons,and65fortaxiways(Reference ExhibitC–FDOTMinimumServiceLevelforPCIpage24 ).Runways,aprons,andtaxiwayswithaPCIlessthan 40arerecommendedforreconstructiontoresolvepavementdistress(ReferenceExhibitC–FDOTMaintenance andRehabilitationActivitiespage25). IMMOKALEEREGIONALAIRPORT–RUNWAYREHABILITATION InMarch2011,FDOTcompletedareviewoftheImmokaleeRegionalAirportrunwaysevaluatingthepavement undertheFloridaStatewidePavementProgram.TheFDOT’sminimumservicelevelforpavementis75for runways,60foraprons,and65fortaxiways.InMay2011,thepavementevaluationreportindicatedtheoverall area-weightedaveragePavementConditionIndex(PCI)fortheImmokaleeRegionalAirportwas36,which representsa“verypoor”overallnetworkcondition.Runway9/27hadanareaweightedPCIof27.TaxiwayAlpha (TaxiwayA)hadanareaweightedPCIof25,whichisconsidered“serious”.TaxiwayBravo(TaxiwayB)hadan areaweightedPCIof30.TaxiwayBravo1(TaxiwayB-1)hadanareaweightedaveragePCIof30.Thearea weightedPCIratingsof“verypoor”and“serious”arebelowtheFDOTminimumservicelevelstandards.Basedon resultsfromthereview,FDOTrequiresactiontobetakenforallareaswitha“verypoor”or“serious”area weightedPCIrating. TheFDOTpavementevaluationreportindicatedtheoverallImmokaleeairportnetworkexhibiteddistressfrom climateandagewith72%ofthenetworkconsidered“verypoor”.TheAsphaltConcretepavementdistresses include:weathering,raveling,longitudalandtransversecracking,andblockcrackingdistress(commonbasedon age).ThePortlandCementConcretepavementdistressesinclude:cornerbreaks,LTDcracking,jointsealdamage, scaling/mapcracking,shrinkagecracks,andjointandcornerspalling(associatedwithclimateandage). TheFDOTpavementevaluationreportindicatedasphaltconcreteonRunway9/27exhibitedlowandmedium severityblockcrackingalongwithmediumseverityweatheringandraveling.PortlandCementConcretepavement distressesconsistedofcornerbreaks,LTDcracking,jointsealdamage,scaling/mapcracking,shrinkagecracks, andjointandcornerspalling. 4 OnFebruary1,2013,theExecutiveAirportDirectorsignedandsubmittedaprojectpre-applicationtotheFAA requestinggrantfunding(letterofcreditmethod,asrequiredbytheFAA)forrunwayrehabilitationforthe ImmokaleeRegionalAirport.Thepre-applicationbasedconstructioncostsontheengineer’sestimates,but indicatedwhentheformalgrantapplicationissubmitted,itwillbebasedonbids,asrequiredbytheFAA.The estimatedfundingfortheprojectisasfollows:Federal(FAAgrant)$8,550,000.00;State(FDOTgrant) $475,000.00;andApplicant(Countymatch)$475,000.00foratotalof$9,500,000.00. Thepre-applicationindicatestheprojectforrunwayrehabilitationisneededforsafetyreasonsbecausethecurrent runwaysurfaceforRunway9/27isratedasbeingin“verypoorcondition”(PavementConditionIndexratingof27) bytheFloridaDepartmentofTransportationAviationOffice.Additionalsafetyitemsarebeingincludedinthegrant suchasupgradingtheairfieldlightingsystem,improvingdrainage,andprovidingemergencypowerbackup.The worktobecompletedunderthegrantisfurtherelaborateduponinthegrantapplicationsubmittedtotheFAAon August13,2013. OnAugust13,2013,theCountyManagersignedthegrantapplicationandtheExecutiveAirportDirectorsubmitted thegrantapplicationtotheFAAfortheconstructionphaseforrunwayrehabilitationattheImmokaleeRegional Airport.Thebasebidincludesthereconstruction/rehabilitationofRunway9/27,theextensionofTaxiwayBtothe newthresholdofRunway27,constructionofTaxiwayB-1tothethresholdofRunway9,installationofrunway edgeandthresholdlighting,mandatorysignage,newhomeruncablesandregulatorforRunway9/27lighting circuit,improvementstotherunwaysafetyarea,minorgrading,anddrainageimprovements.Theapplication includedthreeadditivealternatives:1)RunwayDecoupling-therelocationofthethresholdofRunway18,the constructionofTaxiwayA-2connectors,andtheremovalofexistingconcretepavementatintersectionofRunways 9and18andportionsofTaxiwaysAandB(minimumimprovementstoacquiredecouplingoftherunways);2) constructionofTaxiwayB-2,grading,drainageimprovementsfortheairfield,runwayidentificationlights(REILs) andprecisionapproachpathindicator(PAPIs)forbothapproachestoRunway9/27,edgelighting,signagefor TaxiwaysA-2,B,B-1,B-2,andB-3,newsegmentedcircleandwindcones,newhomeruncablesinconduit,new electricalvault,andnewback-upgenerator;3)BlastPads-blastpadsatbothendsofRunway9/27andholdpads onTaxiwaysBandB-1. Includedinthebasebidwerea75footwiderunwayanda100footwiderunway.Thecostoftheadditional25feet hasbeenexcludedfromeligibleexpendituresbecauseitexceedstheFAAstandardof75feetforsimilarairports. Soilcementinjection,whichisnotapprovedbytheFAA,hasbeenexcludedfromthegrantrequest.The expendituresthatareineligibleforFAAgrantfundingareincorporatedintotheFloridaDepartmentof Transportation(FDOT)grantfundingforatotalof$558,992.00.Theestimatedfundingfortheprojectisasfollows: Federal(FAAgrant)$6,754,362.00;State(FDOTgrant)$1,022,633.00;andApplicant(Countymatch)$286,844.00 foratotalof$8,063,839.00.TheproposedprojectdatesforthebasebidandalternativeshaveastartdateofOctober 15,2013andacompletiondateofSeptember1,2014. OnAugust26,2013,theCountyManagersubmittedarevisedgrantapplicationtotheFAAfortheImmokalee runwayrehabilitationprojecttorevisetheestimatedfunding.Therevisedestimatedfundingisasfollows:Federal (FAAgrant)$6,754,362.00;State(FDOTgrant)$822,436.00;andApplicant(Countymatch)$487,041.00fora totalof$8,063,839.00.TheproposedprojectdateshaveastartdateofOctober1,2013andacompletiondatein August2014. OnSeptember24,2013,theCollierCountyAirportAuthorityenteredintoagrantagreement(Number3-12-0031- 008-2013)withtheFAAfortheconstructionphasetorehabilitateRunway9/27attheImmokaleeRegionalAirport foramaximumof$6,754,362.00/90%oftheallowablecostsincurredfortheproject. OnOctober22,2013,theCollierCountyAirportAuthorityapprovedenteringintoajointparticipationagreement (NumberAR519)withtheFDOTfortheconstructiontorehabilitateRunway9/27attheImmokaleeRegional Airportforamaximumof$134,000.00leavingtheCountymatchas$1,175,477.00. 5 Theexecutivesummary(BCCMeetingOctober22,2013AgendaItem14.A.3)indicatestheFAAfundingis $6,754,262.00,whentheFDOTprojectbudgetandFAAgrantagreementis$6,754,362.00.Theexecutivesummary appearstocontaina$100.00error.TheFDOTjointparticipationagreement’sprojectbudgetindicatestheCounty matchis$1,175,476.00whichis$1.00lessthantheFAAgrantagreementrequirementandthebudgetamendment. Informationinthegrantagreements,executivesummaries,andbudgetamendmentsshouldbeconsistentand properlyvalidatedpriortoprovidingtheinformationtotheBCCforapproval. MARCOISLANDEXECUTIVEAIRPORT–RUNWAYREHABILITATION TheMarcoIslandExecutiveAirportconsistsofasinglerunway(Runway17/35).Withtheexceptionofoneramp connectorthatisPortlandCementConcrete,allofthepavementattheairportisAsphaltConcrete. InMarch2011,FDOTcompletedareviewoftheMarcoIslandExecutiveAirportrunways,aprons,andtaxiways evaluatingthepavementundertheFloridaStatewidePavementProgram.TheFDOT’sminimumservicelevelfor pavementis75forrunways,60foraprons,and65fortaxiways.InMay2011,thepavementevaluationreport indicatedtheoverallarea-weightedaveragePavementConditionIndex(PCI)fortheMarcoIslandExecutive Airportwas40,whichrepresentsa“verypoor”overallnetworkcondition.Runway17/35hadanareaweightedPCI of31,whichisconsidered“verypoor”.TaxiwayConnector(TaxiwayB)hadanareaweightedPCIof21,whichis considered“serious”.NorthApronhadanareaweightedPCIof56,whichisconsidered“fair”.NorthWestApron hadanareaweightedaveragePCIof67,whichisconsidered“fair”.TheareaweightedPCIratingsof“verypoor” and“serious”arebelowtheFDOTminimumservicelevelstandards.Basedonresultsfromthereview,FDOT requiresactiontobetakenforallareaswitha“verypoor”or“serious”areaweightedPCIrating. TheFDOTpavementevaluationreportindicatedtheoverallMarcoIslandExecutiveAirportnetworkexhibited distressfromclimateandagewith59%ofthenetworkconsidered“verypoor”.TheAsphaltConcretepavement distressesinclude:weathering,raveling,longitudalandtransversecracking,andblockcrackingdistress(common basedonage). TheFDOTpavementevaluationreportindicatedasphaltconcreteonRunway17/35exhibitedlowandmedium severitylongitudalandtransversecrackingalongwithmediumseverityweathering,mediumseverityraveling,and mediumseverityblockcracking.Theapronsectionexhibitedlowandmediumseverityblockcrackingalongwith mediumseverityweatheringandraveling. TheMarcoIslandExecutiveAirportprojectsketchforrunwayrehabilitationandapronrehabilitationiswithinthe projectsapprovedintheMemorandumofUnderstandingonSeptember11,2001.Theareasofconstructionare withinthelimitsofdevelopmentanddonotappeartoexpandintothevegetationmanagementplanareas. OnFebruary1,2013,theExecutiveAirportDirectorsignedandsubmittedaprojectpre-applicationtotheFAA requestinggrantfunding(letterofcreditmethod,asrequiredbytheFAA)forrunwayrehabilitationfortheMarco IslandExecutiveAirport.Thepre-applicationbasedconstructioncostsontheengineer’sestimates,butindicated whentheformalgrantapplicationissubmitted,itwillbebasedonbids,asrequiredbytheFAA.Theestimated fundingfortheprojectisasfollows:Federal(FAAgrant)$6,435,000.00;State(FDOTgrant)$357,500.00;and Applicant(Countymatch)$357,500.00foratotalof$7,150,000.00. Thepre-applicationindicatestheprojectforrunwayrehabilitationisneededforsafetyreasonsbecausethecurrent runwaysurfaceforRunway17/35isratedasbeingin“verypoorcondition”(PavementConditionIndexratingof 27)bytheFloridaDepartmentofTransportationAviationOffice.Additionalsafetyitemsarebeingincludedinthe grantsuchasreconstruction/rehabilitationoftheexistingaircraftapron,constructionofrun-uppadontheTaxiway approachingRunway17/35,installationofnewrunwayedge/thresholdlighting,runwayidentificationlights (REILs)forbothapproaches,vaultmodification,electricalbackupgenerator,relocateandreplacerotatingbeacon, relocatesegmentedcircle/windcone,graderunwaysafetyarea,adjustprecisionapproachpathindicatorsfor Runway35(PAPIs).Theworktobecompletedunderthegrantisfurtherelaborateduponinthegrantapplication submittedtotheFAAonAugust12,2013. 6 OnAugust13,2013,theCountyManagersignedthegrantapplicationandtheExecutiveAirportDirectorsubmitted agrantapplicationtotheFAAfortheconstructionphaseforrunwayrehabilitationattheMarcoIslandExecutive Airport.Thebasebidincludesthereconstruction/rehabilitationofRunway17/35(FDOTrating:verypoor) includinglighting,marking,fill,andgradingwiththerunwaysafetyarea;therehabilitationofTaxiwayB(FDOT rating:serious);rehabilitationofthefirst100feetoftheapronadjacenttotherunway;anddrainageimprovements. Theapplicationincludedthreeadditivealternatives:1)ApronRehabilitation-rehabilitationoftheremainingapron, newsegmentedcircle/windcone,backupgeneratorfortheelectricalvault,andanewrotatingbeaconwithpole;2) EastFillandGrade-ApronRehabilitation-fillingandgradingwithintherunwayobjectfreeareaontheeastside oftherunway;3)WestClearing,Grubbing,andFill-clearingandgrubbingoftheareawestoftheapron (approximatelyfiveacres),fill,grading,andfencing. Theestimatedfundingfortheprojectisasfollows:Federal(FAAgrant)$5,649,916.00;State(FDOTgrant) $313,884.00;andApplicant(Countymatch)$313,884.00foratotalof$6,277,684.00.Theproposedprojectdates forthebasebidandalternativeshaveastartdateofOctober1,2013andacompletiondateofJuly15,2014. OnSeptember24,2013,theCollierCountyAirportAuthorityenteredintoagrantagreement(Number3-12-0142- 010-2013)withtheFAAfortheconstructionphasetorehabilitateRunway17/35andapronattheMarcoIsland ExecutiveAirportforamaximumof$5,649,916.00/90%oftheallowablecostsincurredfortheproject. OnOctober22,2013,theCollierCountyAirportAuthorityapprovedenteringintoajointparticipationagreement (NumberAR519)withtheFDOTfortheconstructionphasetorehabilitateRunway17/35andapronattheMarco IslandExecutiveAirportforamaximumof$178,750.00leavingtheCountymatchas$449,018.00. 7 Summary InternalAuditreviewedtheFAAgrantsandsupportingdocumentationfortheImmokaleeRegionalAirportand MarcoIslandExecutiveAirportrunwayrehabilitationprojects.Noadverseobservationswerenotedduringthe reviewfortheImmokaleeRegionalAirportortheMarcoIslandExecutiveAirportrunwayrehabilitationprojects.It appearsthegrantapplicationandsupportingdocumentationwasproperlyandaccuratelyreportedtotheFAAwhen applyingforthegrantfunding. ThegrantapplicationssubmittedtotheFAAwerebasedupontheFloridaDepartmentofTransportationAviation OfficePavementEvaluationReportsindicatingrehabilitationfortherunwayswasnecessarybasedonlow pavementconditionindexratings.ItappearstheunderlyinginformationprovidedtotheFAAfortheImmokalee RegionalAirportandtheMarcoIslandExecutiveAirportrunwayrehabilitationprojectswasaccurateandmetthe FAArequirementsforgrantapplications. TheImmokaleeRegionalAirportrunwayrehabilitationprojectneedstoobtainaSiteDevelopmentPlan(SDP) permit.TheCountyisworkingtoobtainthenecessarypermitting.Commencementofconstructioncannotoccur untiltheSDPisobtained. TheMarcoIslandExecutiveAirport’sU.S.ArmyCorpsofEngineerspermitexpiresonNovember24,2013,which willbepriortothecompletionofconstruction.Aletterrequestingtheextensionofthepermitwassubmittedtothe U.S.ArmyCorpsofEngineersonAugust7,2013.Commencementofconstructionshouldnotoccuruntilan extensionisreceivedtoensurecompliancewiththegrantassurances,attestations,andagreements. Theexecutivesummary(BCCMeetingOctober22,2013AgendaItem14.A.3)fortheImmokaleeRegionalAirport indicatestheFAAfundingis$6,754,262.00,whentheFDOTprojectbudgetandFAAgrantagreementis $6,754,362.00.Theexecutivesummaryappearstocontaina$100.00error.TheFDOTjointparticipation agreement’sprojectbudgetindicatestheCountymatchis$1,175,476.00whichis$1.00lessthantheFAAgrant agreementrequirementandthebudgetamendment.Informationinthegrantagreements,executivesummaries,and budgetamendmentsshouldbeconsistentandproperlyvalidatedpriortoprovidingtheinformationtotheBCCfor approval. Allrequirementsofthegrantapplications,assurances,andagreementsshouldbecompliedwithpriortosoliciting grantfundingandenteringintograntagreementsforconstructionprojectsordisclosedinthegrantapplicationto ensuregrantfundingisnotjeopardized. FailuretocomplywithFAAorFDOTrequirementsmay:resultinauditfindings,jeopardizecurrentandfuture grantfunding;resultindisbarmentfromreceivinggrantfunding,requirerepaymentofgrantfunds,resultin terminationofthegrant,impactfuturegrantawards,and/orresultinliabilityfordamagesformisrepresentation. Ifconstructioncommencespriortothepermittingconcernsbeingresolved,theClerkmaynothavelegalauthority topaythecontractor. 8 Conclusion ThegrantapplicationssubmittedtotheFAAwerebasedupontheFloridaDepartmentofTransportationAviation OfficePavementEvaluationReportsindicatingrehabilitationfortherunwayswasnecessarybasedonlow pavementconditionindexratingsindicatingtheprojectsarenecessarytomeettheFAAgrantassurance requirementsforthepavementmaintenancemanagementprogram. ItappearstheunderlyinginformationprovidedtotheFAAfortheImmokaleeRegionalAirportandMarcoIsland ExecutiveAirportrunwayrehabilitationprojectswasaccurateandmettheFAArequirementsforgrantapplications. TheImmokaleeRegionalAirportrunwayrehabilitationprojectneedstoobtainaSiteDevelopmentPlan(SDP) permit.TheCountyisworkingtoobtainthenecessarypermitting.Commencementofconstructionshouldnotoccur untiltheSDPisobtained. TheMarcoIslandExecutiveAirport’sU.S.ArmyCorpsofEngineerspermitexpiresonNovember24,2013,which willbepriortothecompletionofconstruction.Aletterrequestingtheextensionofthepermitwassubmittedtothe U.S.ArmyCorpsofEngineersonAugust7,2013.Commencementofconstructioncannotoccuruntilanextension isreceivedtoensurecompliancewiththegrantassurances,attestations,andagreements. TheImmokaleeRegionalAirportrehabilitationprojectinformationfortheFAAgrantagreementandFDOTjoint participationagreementcontainsinconsistentinformation.Theexecutivesummary(BCCMeetingOctober22,2013 AgendaItem14.A.3)fortheImmokaleeRegionalAirportindicatestheFAAfundingis$6,754,262.00,whenthe FDOTprojectbudgetandFAAgrantagreementis$6,754,362.00.Theexecutivesummaryappearstocontaina $100.00error.TheFDOTjointparticipationagreement’sprojectbudgetindicatestheCountymatchis $1,175,476.00whichis$1.00lessthantheFAAgrantagreementrequirementandthebudgetamendment. InformationsubmittedtotheBCCforapprovalandtograntoragenciesshouldbeconsistentandproperlyvalidated priortosubmission. TheFAAgrantassurancesprohibitcostpluspercentageofcostmethodsforcontracting.Itappearsthegrant agreementallowsforeitherlumpsumcontractsortimeandmaterialcontracts.Itappearseithermethodofpayment maybeusedfortheconstructioncontract,solongasthemethodisconsistentwiththeapprovedscheduleofvalues. Auditsdonotrelievemanagementoftheirresponsibilities.ItistheresponsibilityofCountymanagementto understandandimplementtheproperproceduralcontrolsinordertoreduceandlimittheriskoffraud,error,and misappropriationofCountyassets.InternalAuditmayrecommendimprovementsinauditreports,butultimatelyit isthedutyanddecisionofCountymanagementtoformulateprocessesandcontrolsthatensurecompliancewith Federalregulation,Statestatute,Countyordinance,andCountypolicies. Recommendations: AnSDPshouldbeobtainedbytheImmokaleeRegionalAirportpriortoenteringcontractsand/orthe commencementofconstruction. TheU.S.ArmyCorpsofEngineerspermitfortheMarcoIslandExecutiveAirportshouldberenewed(expires inNovember2013)priortoenteringcontractsand/orthecommencementofconstruction. Anychangestothescheduleofvaluesshouldbeapprovedbythegrantoragencypriortoenteringintoan agreementwiththecontractorand/oratanytimeduringthetermofthegrantagreements. WhentheCountyappliesformultiplegrantsand/orentersgrantagreementsforaproject,theinformation containedintheapplicationsandagreementsshouldbeconsistentandproperlyvalidated. TheCountyshouldsubmitarevisedexecutivesummarytotheBCCtoapprovetherevisionsforerrorsforthe officialrecord. InternalAuditComments : InternalAuditacknowledgesthecooperation,assistance,andquickresponsesfromCountystaff.Theassistanceand quickresponseprovidedbythedepartmentsgreatlyassistedintheauditprocessforreviewoftheFAAgrant applications,grantassurances,andunderlyinginformationsubmitted. 9 10 MarcoIslandExecutiveAirport FDOTPavementEvaluationReport–May2011 11 12 13 14 15 16 ImmokaleeRegionalAirport FDOTPavementEvaluationReport–May2011 17 18 19 20 21 22 23 24 FDOTMinimumServiceLevelforPCI FAAPavementLifeCycle 25 PavementConditionIndex(PCI)RatingScale FDOTMaintenanceandRehabilitationActivities