EIGHTEENTH STATEWIDE CONFERENCE ON LOCAL BRIDGES · 10/9/2012 1 18th Statewide Conference on Local...
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EIGHTEENTH STATEWIDE CONFERENCE ON LOCAL BRIDGES ENGINEERING THE FEDERAL AID PROCESS PROCEDURES FOR LOCALLY ADMINISTERED FEDERAL AID PROJECTS 23 October 2012
Transcript of EIGHTEENTH STATEWIDE CONFERENCE ON LOCAL BRIDGES · 10/9/2012 1 18th Statewide Conference on Local...
EIGHTEENTH STATEWIDE CONFERENCE ON LOCAL BRIDGES
ENGINEERING THE FEDERAL AID PROCESS PROCEDURES FOR LOCALLY ADMINISTERED
FEDERAL AID PROJECTS
23 October 2012
EIGHTEENTH Statewide Conference on Local Bridges
October 23, 2012, Syracuse.
Topic Layout. (Training time 4:00 hrs. Break 00:30 hrs.)
Session 1: ENGINEERING THE FEDERAL AID PROCESS PROCEDURES FOR LOCALLY ADMINISTERED FEDERAL AID PROJECTS
Sub-topic Presenter Time
PLAFAP Diane Kenneally, Director 0:50 hrs.2012 revisions Local Programs Bureau, NYSDOT
EBO - NYSDOT Ann Maestri 0:55 hrs.Civil Rights Software Office of Construction, NYSDOT
Break 2:45 - 3:00p.m.
Material Acceptance Valeriya Remezova 0.55 hrs.In Construction FHWA, Local Programs Manager
Construction Ken Rupert, Federal Aid Section 0.50 hrs.Documentation Local Programs Bureau, NYSDOT
DIANE L. KENNEALLY, P.E.Diane Kenneally is the Director of the Local Programs Bureau at NYSDOT which administers State and Federal Aid programs available to municipalities, non-governmental organizations and other State Agencies. These programs include State Aid Programs: Consolidated Local Street and Highway Improvement Program (CHIPS), Multi-Modal Programs and Legislative Initiatives as well as Federal Aid guidance for the Safe Routes to School (SRTS) Program, Transportation Enhancement Program (TEP) and the Procedures for Locally Administered Federal Aid Projects (PLAFAP) Manual.Diane began her career at NYSDOT as a construction inspector working summers during college. She joined NYSDOT as a Junior Engineer in the Design Services Bureau, designing and developing highway and bridge projects, eventually leading a design squad for 3 years. Diane worked as an Assistant to a number of Executives including the Chief Engineer and Director of Operations. She led the Local Projects Team which developed the NYSDOT Procedures for Locally Administered Federal Aid Projects Manual.
Diane has a B.S. in Civil Engineering from Rensselaer Polytechnic Institute and a B.S. in Physics from the State University College at Oneonta. Since 1996, she has been an adjunct lecturer teaching Highway Engineering at Rensselaer Polytechnic Institute.
ANN M. MAESTRIAnn M. Maestri is the Civil Rights Compliance Manager for the Office of Construction and the Local Programs Bureau. Ann has been employed with the Department since 1990, and has worked extensively in the area of external civil rights. She has overseen the Department’s compliance with Federal and State civil rights requirements, the development of performance indicators for the Department’s civil rights programs, and the proposal, development and administration of program initiatives. She has conducted workshops and has served on panels, committees and task forces regarding civil rights issues at the Federal, State, and local level. She is a member of the Federal Construction Fraud Task Force for the New York Metropolitan Area as well as the New York State Internal Control Association, and has been recognized for her accomplishments at the State and national level.
Ann graduated from the State University of New York at Albany with a BA in 1985 and an MA in 1986, both in Spanish Linguistics. From 1987 to 1988, she worked as the Hispanic Outreach Coordinator for Liberty Enterprises in Amsterdam, NY, and from 1988 to 1990, as an Affirmative Action Administrator for the New York State Department of Taxation and Finance.
VALERIYA REMEZOVALocal Programs Manager at FHWA, NY DivisionHometown: Clifton Park, New York
Education:• B.S. and M.S. in Civil Engineering, Odessa Institute of Civil Engineering, Ukraine• PhD in “Concrete Mix Design”, Odessa Civil Engineering Institute, Ukraine
Prior to joining FHWA, Valeriya led the Design and Construction Unit at the Odessa Military Base and worked for the New York City DOT. Valeriya has over 20 years of professional experience; including the management of multi-million dollar highway, bridge, utilities, infrastructure and building projects. Valeriya also have extensive experience in design-build construction, emergency contract design and construction, construction materials and pavement design, evaluation, analysis, rehabilitation, management and research.
In the past seven years Valeriya is working at FHWA, NY- Division in a capacity of Area Engineer and starting last year as Local Programs Manager. She provides leadership and program level technical assistance to NYSDOT, local sponsors and their consultants in all areas of locally administered federally funded projects to facilitate delivery of the Federal-aid program.
KEN RUPERT Ken Rupert received his BS degree in Civil Engineering from Union College in 1987 and is a licensed Professional Engineer in NY. Ken joined the New York State Department of Transportation in 1989 after working for an Engineering firm specializing in Land Development and Urban Planning. Ken worked in the Design Services Bureau of the Office of Design at NYSDOT for over 18 years starting out as a Junior Engineer and ended his association with Design as the Rail Design Squad Supervisor. Ken began working in the Local Programs Bureau in December of 2007 and is responsible for keeping the Procedures for Locally Administered Federal Aid Projects (PLAFAP) manual up to date and in compliance with Federal and State Laws, Rules and Regulations and NYSDOT policies and procedures.
10/9/2012
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18th Statewide Conference on Local Bridges
Diane L. Kenneally, P.E.Director, Local Programs BureauOctober 23, 2012
Outline
Local Programs Overview PLAFAP Manual Update
– Specific chapters – Iran Divestment– Construction Contract Requirements – Title VI Civil Rights Provisions
Moving Ahead for Progress (MAP-21)
Local Programs Bureau Overview Consolidated Local Streets and Highway
Improvement Program (CHIPS) Safe Routes to School Program (SRTS) 2012 Application Round – Due Oct. 5, 2012
Transportation Enhancements Program (TEP) Application round planned for 2013
Emergency Relief Program (ER) Hurricane Irene/Tropical Storm Lee $110 Million in eligible costs to FHWA Approximately $34.5 Million reimbursed
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PLAFAP Manual Update
https://www.dot.ny.gov/PLAFAP
Manual Update
Chapters issued in 2011 – March – Chapter 9 Design Standards and
Construction Specifications– June - Chapter 10 Railroads and Utilities – June – Chapter 1 Introduction and Overview– June – Chapter 17 State-Local Agreement
Close-out– July – Chapter 15 Administer Construction
Contracts – November - Chapter 4 State-Local Agreement
Manual Update
Chapters issued in 2012– April - Chapter 3 Project Funding, Local
Participation and Project Authorization– April - Chapter 5 Accounting and
Reimbursement Procedures– June - Chapter 2 Roles and
Responsibilities
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Chapter 1 Introduction and Overview Issued June 2011 - EB 11-022
– Added definitions Obligation Obligation Authority Rescission
Chapter 2 Roles & Responsibilities Issued June 2012 - EB 12-022 Removed outdated materials Rewrote sections and subsections
– FHWA NYSDOT SAFETEA-LU Agreement – Previous Surface Transportation Act
TEA-21– Program Management– Project Implementation – Oversight
Chapter 2 Roles & Responsibilities Revised and Updated
– NYSDOT Responsibilities– Sponsor Responsibilities – Policy and Procedures
Expanded and Added – Smart Growth – Complete Streets– GreenLITES
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Chapter 3 Funding, Local Participation and Project Authorization Issued April 2012 - EB 12-015 Revised Federal Programs and
Eligibility – Highway Bridge Program (HBP)– Congestion Mitigation and Air Quality
Improvement Program (CMAQ)– Emergency Relief Program (ER)– High Priority Projects Program (HPP)
Chapter 3 Funding, Local Participation and Project Authorization Added Programs
– Safe Routes to School (SRTS)– Highway Safety Improvement Program
(HSIP) High Risk Rural Roads (HRRR)
– Recreational Trails
Added Sections– Federal Aid Ineligibility Notice (FAIN) – Project Funds Management
Chapter 4 State-Local Agreement
Issued November 2011 - EB 11-038 Updated all Agreements types
– State-Local Agreements (SLA)– Supplemental Agreements (SA)– Emergency Relief Agreement (ER)
Updated Agreement processes– Frequency of payment requests– No Cost Time Extension
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Chapter 5 Accounting and Reimbursement Procedures
Issued April 2012 - EB 12-019 Removed redundant documents
– Encumbering a Contract (PLAFAP Internal Guidance Manual)
Added New Sponsor Reimbursement Request Forms – 426LL – Sponsor’s Reimbursement Request– 427LL - Reimbursement Request Continuation– 428LL - Sponsor’s Payroll Abstract
Chapter 5 Accounting and Reimbursement Procedures
Clarified Allowable Sponsor Costs– Direct Costs– Indirect Costs – Non-participating Costs
Added Policies – Subcontractor Prompt Payment – Retainage
Chapter 9 Design Standards & Specifications Issued March 2011 - EB 11-007 Changed title to reflect chapter
content Sponsors must use NYSDOT
Standards & Specifications throughout all phases of a project
Sponsor’s responsibility to use the most current editions of all manuals
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Chapter 10 Railroad & Utilities Issued June 2011 - EB 11-021 Removed outdated references
– Dates– Individuals
Added language– All utility agreements must be approved
by NYSDOT
Chapter 15 Administer Construction Contracts Issued July 2011 - EB 11-021 Added new text
– Project Management– The role of the Project Manager– Materials Quality Control and Quality
Assurance– Control of Materials/Materials Acceptance
Procedures/Compaction Testing
Chapter 15 Administer Construction Contracts Added new text (cont.)
– Construction Safety– Construction Inspection– Contract Administration And
Documentation– Buy America– Civil Rights Reporting
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Chapter 17 State-Local Agreement Close-out Issued June 2011 - EB 11-020 Changed name of chapter to more
accurately reflect contract close-out processes
Removed/Added documents– Close-out documents to Chapter
Appendices and PLAFAP Internal Guidance Manual
Chapter 17 State-Local Agreement Close-out Added repayment process
– Situations where repayment to NYSDOT by Sponsor is requested
Added web link to – AASHTO Uniform Audit & Accounting
Guide (Consultant Contracts greater than $300,000)
2012-13 Manual RevisionsReview and Comments September Chapter 7 Environmental Process and
Studies
September/October– Chapter 6 Consultant Procurement and
Administration
October/November– Chapter 11 Right of Way
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2012-13 Manual RevisionsReview and Comments December/January
– Chapter 12 Contract Documents Checklist– Chapter 13 Civil Rights Requirements – Chapter 14 Advertisement, Contract
Letting and Award
2012-13 Manual RevisionsReview and Comments
December/January– Chapter 12 Contract Documents Checklist– Chapter 13 Civil Rights Requirements – Chapter 14 Advertisement, Contract Letting and
Award
Contract Revisions
Issued July 2012– Iran Divestment Act (EB12-027)
Amends State-Local Agreement and Sponsor Contracts
– Construction Contracts Requirements (FHWA 1273) (EB12-029)
Issued September 2012– Civil Rights Contract Requirements(EB12-035)
Amends State-Local Agreement and Sponsor Contracts
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Iran Divestment Act
Inserted by NYSDOT into Sponsor’s SLA– Appendix 2 - Iran Divestment Act– Appendix 2-S - Supplemental Iran
Divestment Act
Sponsors must insert the same into their contracts
Inclusion into contracts certifies compliance with the NYS Law
Construction Contracts Requirements Issued July 2012 EB 12-029 Removed contract provisions on:
– Equal Employment Opportunities (EEO)– Disadvantage Business Enterprise (DBE)
Updated appendices to include:– FHWA 1273 – Sections 102-11 and 102-12 of the
NYSDOT Standard Specifications
Civil Rights Contract Requirements Inserted by NYSDOT into Sponsor’s
SLA– Appendix A-1 – Supplemental Title VI
Provisions
Sponsors must insert the same into their contracts
Inclusion into contracts complies with FHWA’s Civil Rights contract requirements
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Moving Ahead for Progress (MAP-21) Signed July 6th 2012 Fund surface transportation programs $105 billion for FFY 2013 and 2014 NYSDOT reviewing and preparing
comments Expansion of the National Highway
System
Moving Ahead for Progress (MAP-21) Combined funding programs Rule Making Process Resources on website
http://www.fhwa.dot.gov/map21/
Contact Information
Diane L. Kenneally, P.E., DirectorNYSDOT Local Programs Bureau (LPB) [email protected]
NYSDOT Local Programs Bureau50 Wolf Road, 6th FloorAlbany NY, 12232Phone: (518) 485-9959Fax: (518) 457-9658
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PRE & POST AWARD
DBE Good Faith Effort Review
DBE Goal
A single number expressed as a percentage of the total dollar value of the contract
In effect for the life of the contract
Does not have to be met to recommend award
Low Bidder/Contractor must demonstrate due diligence (i.e., good faith efforts) to meet the goal
DBE Goal Waiver
Can be a full (zero goal) or partial (goal reduction) waiver
Requested prior to bid/letting in writing
Request contains reasons, analysis, and supporting calculations
Requested with sufficient time to analyze the request and the contract, and to issue an amendment
It is critical to maintain a level playing field; all bidders must have the same information
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Submittal of DBE Utilization Package
DBE Utilization Package is submitted timely, completely, accurately
If not submitted on date due, contact low bidder immediately to determine status
Faxes are acceptable to begin review and analysis until signed originals are submitted
DBE Utilization Package Review
Check package for completeness: Schedule of Utilization (signed and dated)
Utilization Worksheet (co-signed and co-dated) Compare signatures
Solicitation Log
Any other documentation of good faith efforts (letters, faxes, telephone contact sheets)
If anything is missing, contact low bidder immediately and determine status
DBE Certification Status
Check certification status of each DBE
Firms must be certified under the NYS Unified Certification Program http://biznet.nysucp.net
If unsure, contact NYSUCP Certifying Agency responsible for the firm: Metropolitan Transportation Authority (MTA) Niagara Frontier Transportation Authority (NFTA) New York State Department of Transportation (NYSDOT) Port Authority of New York and New Jersey
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DBE Certification Status (cont.)
Do not accept copies or faxes of certification letters!
Firm must be certified on the day of the letting or bid opening
Firm must be certified for the work items it is listed to perform
Utilization Worksheet Review
For every DBE listed on the Schedule of Utilization, there should be a Utilization Worksheet
Check the work items on the Utilization Worksheet against the listing for each DBE Any questions, speak to the Resident Engineer; the work
operation could be related or similar
Check the calculations/crediting on the Utilization Worksheet for each item of work
Utilization Credit
Crediting of Participation (49 CFR 26.55) Subcontracting (furnish and install) – 100%
Furnish and install materials; provide labor (e.g., landscaping)
Manufacturing/Fabricating – 100% Altering raw materials (e.g., structural steel)
Materials Supply – 60% Must be part of regular inventory
If a bulk item (e.g., pipe), must regularly provide item and own or long-term lease distribution equipment (e.g., flatbed truck)
Manufacturers’ Representative/Broker – Commission or Fee
Partial Items – Value of work performed
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Partial Work Calculations
Calculations of supply and brokering activities must be shown on the Utilization Worksheet Example 1: $100,000 pipe @ 60% = $60,000 Example 2: $10,000 paint @ 20% = $2,000
The materials/items being supplied must be listed on the Utilization Worksheet and be identified with a work item Example: Cones for 619
Partial items must be completely explained on the Utilization Worksheet Example: 556 – Welding only
Trucking
Every trucking firm must have a trucking plan: Identify materials being hauled
Identify work items affiliated with the materials being hauled
Number of trucks being provided Number provided by firm
Number provided by other sources (identify DBE or non-DBE)
Duration/schedule of trucking
On-site or off-site trucking
Method of payment: hourly; ton; or load hauled
Compare information against project schedule Any questions, speak to the Resident Engineer
Joint Ventures
Can occur between 2 DBEs or a DBE and a non-DBE Indicated as: Firm 1/Firm 2 (JV)
Joint Venture Agreements In writing
Clearly specify the respective items of work
Clearly specify provision of labor, materials, equipment
Clearly specify supervision
Risks and profits should be commensurate with share and scope of work
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What are Good Faith Efforts?
All necessary and reasonable steps that by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful
Steps that a bidder could reasonably be expected to take if the bidder were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal
Mere pro forma efforts are not good faith efforts to meet the DBE contract requirements
Solicitation Effort Review
Check certification status of each firm contacted
Compare: Items in contract Items DBE is listed to perform Items for which DBE was solicited
Compare location of each firm contacted against type of work solicited
Identify available utilization opportunities; compare against type of work solicited When subcontractors are not available, supply/manufacturing is an alternative
Cross-reference letters, faxes, telephone contact sheets, etc.
Solicitation Effort Review (cont.)
Contact a sample of firms listed to verify solicitation effort stated in solicitation log and other documents When contacted By whom By what method(s) For what work Was quote/bid submitted Were plans provided/made available – How and when Follow through
Compare all efforts against Appendix A to Part 26
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Price
Compare DBE price against: Engineer’s Estimate
Bid price
Weighted Average Bid Price data
Where does the DBE’s price fall in comparison to all of the above?
Analyze/Present data in a spreadsheet or chart format
Failure to Meet GFE
Present case with analysis and supporting documentation to agency by mid-point to required award recommendation deadline: State specific non-compliance actions For each non-compliance action or class of actions, cite the specification
and the regulation Provide calculations of DBE goal; amount achieved; difference thereof Provide analysis of feasibility of DBE goal Provide timeline/chronology of events Provide DBE utilization history of bidder (at least 3 years):
Contract number; letting date; DBE goal; amount achieved; difference (or surplus) thereof
Calculate spread between first and second low bidder Any other relevant information
Follow the agency’s administrative process and document the steps and actions!
Award Recommendation
Low Bidder met the goal, OR:
Low Bidder demonstrated good faith efforts to meet the goal
All pre-award paperwork is a permanent part of the contract file
Copies of the Schedule of Utilization, Utilization Worksheets, Trucking Plans, Joint Venture Agreements, etc. are passed on to the Resident Engineer and are maintained at the field office for monitoring
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Pre-Construction Meeting
Review committed DBE utilization Schedule of Utilization
Utilization Worksheets (1 for each DBE)
Trucking Plan
Joint Venture Agreement
Explanation of partial items
If below goal, discuss opportunities for additional participation
Discuss types of revisions and approval process
Post-Award Revisions
Types of Revisions: Reducing the dollar value of or eliminating the DBE’s
item(s) of work
Removing one DBE and substituting another DBE for the same item(s) of work
Increasing the dollar value of (an) item(s) of work or adding (a) new item(s) of work to a DBE already participating on the contract
Adding a DBE to the contract
Post-Award Revisions
Contractor must submit a revised Schedule of Utilization as well as a Utilization Worksheet for each change
All amended Utilization Worksheets must be co-signed and dated by the DBE
Revisions must be approved before the change is carried out on the project
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Post-Award Review
Post-award review of revisions that add new DBEs or add new work items to existing DBEs undergo the same steps as during the pre-award stage
When the DBE is being removed or when work items are being removed or decreased, confirm the action and the reason with the DBE
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POSSIBLE DBE FRAUD
Commercially Useful Function
Field Monitoring
A team effort – everybody has a role
Briefly (1-2 sentences) record observations: Project Diary
Inspection Reports
Site Visit Checklist/Report
Maintain a copy of all reports, schedules, correspondence, etc. in the field office
Field Responsibilities
Ensure that the work of the Contractor conforms to the provisions of the contract documents
THE DBE REQUIREMENTS ARE CONTRACT REQUIREMENTS
These requirements are to be monitored, reported and documented just like any other contract specification
Any deviation from the Schedule of Utilization and/or Utilization Worksheet is a contract breach similar to the Contractor deliberately using inferior materials
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Field Responsibilities (cont.)
When you become aware of any deviations from the Schedule of Utilization and/or Utilization Worksheet, contact the Contractor to determine whether the deviation is a misunderstanding that can be easily corrected
Inform the Compliance Officer immediately
Field Responsibilities (cont.)
If the deviation is a change for which the Contractor did not obtain approval, a stop work order should be issued for the operation in question
Document all meetings and issue minutes
Commercially Useful Function
A DBE is considered to perform a Commercially Useful Function (CUF) when the firm is responsible for the execution of a distinct element of work on a contract and carries out its responsibilities by actually performing, managing, and supervising the work. [49 CFR 26.55(c)]
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CUF (cont.)
Regardless of whether an arrangement between the contractor and the D/M/WBE represent standard industry practice, if the arrangement between the Contractor and the D/M/WBE erodes the ownership, control or independence of the D/M/WBE or in any other way does not meet the commercially useful function requirement, the Contractor shall receive no credit toward the goal and may be required to backfill the participation.
CUF (cont.)
A DBE does not perform a CUF if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation
When a DBE is not performing a CUF, the participation will not be credited toward the goal and the contractor may be required to backfill
CUF - Resources
Work Force
Supervision
Equipment
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Work Force
The DBE must employ a work force, (including administrative and clerical) separate and apart from that employed by the prime contractor, other subcontractors on the project, or their affiliates
The routine transfer of personnel from another employer to the DBE is not allowed
Monitoring Work Force
Check payrolls for “flip-flopping” of employees, superintendents, etc. In a union environment, there should be a period of time between the same employees moving between firms on the same contract, and it should not be exactly the same group
Is someone is delivering paychecks for more than 1 company, including the DBE firm?
Who do the employees identify as their employer?
Supervision
All work performed by the DBE must be controlled and supervised by the DBE without duplication of supervisory personnel from the prime contractor, other subcontractors on the project, or their affiliates
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Monitoring Supervision
Who is directing the DBE’s employees?
Who do the employees go to for direction?
Is the foreperson, crew chief, etc. on the project on a full-time basis?
Who do the employees identify as their foreperson, crew chief, etc.?
Equipment
DBE subcontractors may supplement their equipment by renting or leasing additional equipment in accordance with customary industry practice. However, no more than 50% of the equipment required to perform the work of the subcontractor may be obtained from the Contractor, other subcontractors on the project, or their affiliates
Equipment (cont.)
If the DBE obtains equipment from any of these sources, the DBE must provide documentation to the agency demonstrating that similar equipment and terms could not be obtained at a lower cost from other customary sources of equipment. The required documentation will include, but not be limited to: copies of the rental or lease agreements, and the names, addresses, and terms quoted by other sources of equipment.
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Monitoring Equipment
Observe name on equipment; note if a leasing company, a different firm, or a firm with a related name (e.g., DBE firm is Westcoast and equipment is Eastcoast)
Look for magnetic signs or removable decals on doors (especially on trucks)
Get to know color and make of equipment for each firm (e.g., black Kenworths, red Macks, all of the same color or make, etc.)
Documentation
EIC makes brief notation in diary (1-2 sentences; e.g., “Ann delivered paychecks for Prime Co. and DBE Co.”)
Inspector makes brief notation in IDR (1-2 sentences; e.g., “3 Green Macks w/magnetic sign ‘Rob Trucking’ delivered stone”)
Photos as part of usual project documentation (equipment with magnetic sign, license plates, etc.)
Wage rate or other interviews
Delivery tickets
Backcharges
Case Study #1 – Spread Too Thin
DBE on many projects at the same time
Analysis Make list of all contracts that the DBE is on Make list of items of work for each contract
From contract documents: Schedule, Worksheets, Plans, etc.
Relate items of work to the contract operations Match the operations to the contract schedule
Verify with the Resident Engineer
Compare all of the schedules Consecutive or at the same time?
Does the DBE have sufficient personnel/equipment?
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Case Study #2 – Bait & Switch
List DBE prior to award; delete before DBE performs work Is replaced with either a DBE or a non-DBE
Analysis Make list of all contracts that the DBE was proposed
Make list of all of the prime contractors
Make list of all replacement firms and status
Note timing of removal and replacement
Note reason for removal
Apparent Fraud
Before making an allegation, gather facts: Document activity as previously described
If already documenting, add more detail such as license plate numbers, employee names, etc.
Interview project personnel
NOTE: Bad business decisions or practices are not fraud; they require supportive services
Monitoring Performance
If the Resident Engineer sees anything that would lead them to believe that the DBE owner does not exercise managerial and operation control, or that the DBE is not doing the work or performing a CUF, report it to the Compliance Officer and note it in the contract records.
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On-Site Visits
Frequency should be monthly, at a minimum
More often: When DBEs are brought on When non-compliance or fraud is suspected When corrective action is being carried out
Process: Observe entire site or at least operations with DBEs Interview employees Meet with Resident Engineer (and other staff, if needed) Review paperwork on file at site
Steps to Gain Compliance
Inform the Contractor of all observed deficiencies
Contractor deficiencies should first be communicated by a verbal instruction from either the RE or the EIC to a project site supervisor
Inform the Compliance Officer of the deficiencies and document the discussion with the Contractor in the project diary
Steps to Gain Compliance (cont.)
Provide the Contractor a time frame for the corrective action to be completed
Conduct close follow-up monitoring
If adequate corrective action(s) are not carried out by the Contractor, the next step is to provide written notice to the Contractor, citing the deficiencies and the specific contract provisions. Include a time frame. Copy the Compliance Officer and other agency personnel (if needed).
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Steps to Gain Compliance (cont.)
Contract provisions should be invoked progressively to obtain compliance:
Stop work for the operation in question
Partial payments
Withholding payments
Stop work for the entire project
Termination
Steps to Gain Compliance (cont.)
If the non-compliance issue(s) go(es) as far as termination, the local sponsor must follow its administrative hearing process in order to determine the net substantive harm to the DBE program and how that can be addressed to rectify the damage to the DBE program
Administrative Responsibility
Agency failure to enforce DBE requirements can result in loss of all Federal aid for the contract
Agency failure to completely pursue administrative process to gain compliance can result in loss of all Federal aid for the contract
If fraud or collusion is suspected, contact the USDOT OIG immediately
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Fraud/Collusion
A Federal offense
Related Federal charges (mail fraud, wire fraud, tax evasion, etc.)
Possible outcomes for DBEs, Primes, et al: Suspension
Debarment (company and individuals)
Fines
Prison
Test Question
Q. CUF stands for?
A. Construction Under Funded
B. Commercially Useful Function
C. Can’t understand Fraud
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The 16 Steps
Minority goal promulgated by US Dept. of Labor• Based on 1970 Census• Underwent public review and comment period• Includes minority females• Minority goal – varies by county except for NYC Same goals for all 5 counties/boroughs Varies by trade Range within the trade
Female goal issued by US Congress• Based on 1970 Census• Includes minority females• Female goal – 6.9% nationwide
2 Separate Goals
No sub-goals
Compliance determination with EEO goals is solely the jurisdiction of USDOL (41 CFR 60)
USDOT and its (sub)recipients determine compliance with non-discrimination (23 CFR 230)
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Not meeting EEO goals could be symptomatic of discriminatory practices and/or policies
Goals are expressed in percentage of hours, not number of people
Both prime contractors and subcontractors are required to meet goals or demonstrate good faith efforts (The 16 Steps – 41 CFR 60-4.3)
Goals should be met in each trade (provided there are sufficient persons in the trade) and over time
Pay particular attention to workforce buildup, as well as when a trade begins and returns
One or two trades should not be “carrying” the goal attainment
Subcontractors should not be “carrying” or “diluting” the goal attainment• Compare the Monthly Utilization Report for the prime,
each subcontractor, and the project composite
Minorities and females should be not be moved from contract to contract for the sole purpose of meeting the goals (“checkerboarding”)
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Prime contractor has AA/EEO policies• Everybody knows about them• Verify through interviews
Prime contractor has complaint procedure• Everybody knows about it• Verify through interviews• Prime contractor is responsible for investigating and
resolving complaints involving its employees
Employment applications are accepted at the job site or at a convenient location
“An AA/EOE” tagline used in advertisements
Prime contractor encourages minorities and females to refer candidates for employment• Verify through interviews
Prime contractor asks minorities and females about recruitment sources• Verify through interviews
There is equivalent treatment in all employment practices: hiring, firing, promotions, layoffs
Conducted after award but before the start of work to ensure a thorough understanding by the Contractor of the affirmative action contract requirements (i.e., EEO, DBE, and training), including required reports.
Obtain copies of signed subcontracts, purchase orders, invoices, etc.
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Attendees for Contractor• EEO Officer• EEO Project Site Representative
Attendees for local sponsor• Resident Engineer (RE)• Compliance Officer
The Contractor’s EEO Officer and Project Site Representative can be the same person• The DBE Officer may also be the above
The Officer must have the authority to make decisions and carry out actions on behalf of the company
EEO and Nondiscrimination• Review projected workforce (Workforce Training
Utilization Schedule) Compare against project schedule If any questions, speak to Resident Engineer If a shortfall is projected, discuss recruitment
• Review required posters and reports
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Frequency
Bulletin Board
Non-Segregated Facilities
Facility/Work Environment
Visual Assessment of Workforce
Work Opportunities
Monthly, at a minimum
More often:• During workforce buildup• When a trade starts• When corrective action is being carried out• When non-compliance or fraud is suspected
Must be accessible and visible
Contains all required posters
Contains Contractor’s EEO policy statement• On company letterhead• Signed and dated
Identifies Contractor’s EEO Officer and Project Site Representative• Includes contact information for both
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All employee facilities (e.g., restrooms, drinking fountains, eating and recreational areas, etc.) must be equivalent in functionality, cleanliness, and location
Restrooms must be structurally sound, constructed of solid materials and a functioning lock
Visually observe:• Posters• Calendars• Pin-ups• Graffiti• Screen Savers• Coffee Mugs
The visual assessment of the workforce is intended to verify employment and training data provided in the monthly reports• Does the workforce match the payroll and schedule?
Pay particular attention to apprentices• If the trade is there, are the apprentices there?
Employee identification should be consistent among pay periods and contracts• Trade classification as well as annotation
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Verification• Birth Certificate• School Records• Armed Services Records• Identification/Acceptance by the community
Verification – Native Americans• Tribal identification card• Tribal Clerk
Is overtime offered to all employees?
Is everyone being paid commensurate with their trade classification?
Is the crew or trade working together?• If split up, working in equivalent conditions?• If split up, are they using equivalent supplies
and/or equipment?
Walk or drive around the project site
Observe
Talk to employees and supervisory staff
Check the payrolls, reports, correspondence, etc. that are on file in the field office
Take notes of observations, conversations, records
Send a copy of the site visit report to the field office for its files
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A team effort – everybody has a role
Briefly (1-2 sentences) record observations:• Project Diary• Inspection Reports• Site Visit Checklist/Report
Maintain a copy of all reports, schedules, correspondence, etc. in the field office
THE CIVIL RIGHTS REQUIREMENTS ARE CONTRACT REQUIREMENTS
These requirements are to be monitored, reported and documented just like any other contract specification
Non-compliance is a contract breach similar to the Contractor deliberately using inferior materials
RE makes brief notation in diary (1-2 sentences; e.g., “No posters on board.”)
Inspector makes brief notation in IDR (1-2 sentences; e.g., “No females in Master’s carpentry crew.”)
Annotated payrolls• Annotated for race and gender• Information is obtained after hiring
Wage rate or other interviews
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Inform the Contractor of all observed deficiencies.
Contractor deficiencies should first be communicated by a verbal instruction from the RE to a project site supervisor.
Inform the Compliance Officer of the deficiencies and document the discussion with the Contractor in the project diary.
Provide the Contractor a time frame for the corrective action to be completed.
Conduct close follow-up monitoring.
If adequate corrective action(s) are not carried out by the Contractor, the next step is to provide written notice to the Contractor, citing the deficiencies and the specific contract provisions. Include a time frame. Copy the Compliance Officer and other agency personnel (if needed).
Contract provisions should be invoked progressively to obtain compliance:
• Stop work for the operation in question
• Partial payments
• Withholding payments
• Stop work for the entire project
• Termination
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If the non-compliance issue(s) go(es) as far as termination, the local sponsor must follow its administrative hearing process.
Agency failure to enforce EEO and Nondiscrimination requirements can result in loss of all Federal aid for the contract
Agency failure to completely pursue administrative process to gain compliance can result in loss of all Federal aid for the contract
If non-compliance with EEO goals, refer the contractor to USDOL
Q. Female goal set by Congress is? A. 1% B. 5% C. 6.9% D. 25%
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RETAINAGE
Prompt Payment
Revised Federal Regulation 49 CFR 26.29 was issued in July 2003
Provided 3 retainage options for use on FA Projects:
Hold no retainage from primes prohibit primes from holding retainage from subs
Hold no retainage from primes allow primes to withhold retainage from subs require primes to make prompt and full payment of any retainage held
within 30 days after sub's work is satisfactorily completed
Hold retainage from primes provide for prompt and regular incremental acceptances of portions of the prime
contract pay retainage to primes based on these acceptances require the prime to pay all retainage owed to the sub for satisfactory
completion of work within 30 days after payment to the prime
Revised NYS Highway Law
NYSDOT submitted legislation in 2004 to amend NYS Highway Law to comply with the new requirementNot enacted
NYSDOT resubmitted legislation in 2005Legislation eliminates requirement for NYSDOT
to withhold retainageLegislation modifying Section 38 of the Highway
Law was signed into law by the Governor on July 26, 2005
Effective immediately
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Revised NYSDOT Specification
NYSDOT then issued EI 05-029 Eliminates retainage on all construction contracts
let on or after September 8, 2005 (advertised on 7/27/05)
The revision is not retroactiveNo contracts let prior to September 8, 2005 were
modifiedNo held retainage was released
Impacts of Eliminating Retainage
NYSDOT will no longer consider “deferring” the collection of Engineering Charges or Liquidated Damages in cases of financial hardship
Primes may have difficulty getting Subs to: Return to address punch-list work Return to repair faulty work
NYSDOT may have some difficulty getting Primes to: Complete punch-list work to allow Final Acceptance Provide submissions/drawings required for project closeout
Locally Let Projects
Local Sponsors must comply with 49 CFR 26.29Local Sponsors must meet one of the three optionsLocal Sponsors’ contract documents must be in
compliance with the regulation
Compliance with Federal requirements is a condition of using Federal Aid on construction projects.
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Retainage Option 3 Implementation
Retainage Option 3 – Hold retainage from primes – Implementation considerations:Provide for prompt and regular incremental
acceptances of portions of the prime contractPay retainage to primes based on these acceptancesRequire the prime to pay all retainage owed to the
sub for satisfactory completion of work within 30 days after payment to the prime
Option 3 (cont.)
What is incremental?Annually?At milestone points? As defined by the Sponsor?
The goal of 49 CFR 26.29 is to pay subs in a timely manner for completed work, including the release of any retainage held
Traditional retainage provisions are viewed to cause a delay in payment to subs, particularly when the overall contract extends beyond when a sub completes its work
Option 3 (cont.)
49 CFR 26.29 also states that: (a) there must be a contract clause to require primes to
pay subs for satisfactory performance of their contracts no later than 30 days from each payment made to the prime, and
(b) you must ensure prompt and full payment of retainage from the prime to the sub within 30 days after the sub's work is satisfactorily completed, and you must use one the three cited options to comply with this requirement.
Therefore, the incremental release of retainage is tied to the satisfactory completion and payment of work It is not an arbitrarily defined time or period
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Prompt Payment
Section 139-f(2) of the NYS Finance Law
The Contractor shall pay each Subcontractor and materialman for the value of work performed pursuant to contract no later than seven (7) calendar days from the receipt of each payment the Contractor receives from the State
Payment by the Contractor to Subcontractors or materialmen shall reflect the quantities or percentage of work completed by the Subcontractor or materials furnished by the materialmen and paid by the State
Such payment shall be based upon the actual conditions of the subcontract or purchase order
Prompt Payment (cont.)
The Contractor shall not hold any retainage
The Contractor may deduct an amount necessary to satisfy any claims, liens or judgments against a Subcontractor or materialman which have not been fully discharged
Prompt Payment (cont.)
The Contractor shall maintain an accounting system acceptable to the agency to track payments made by the State to the Contractor and payments made by the Contractor to each Subcontractor, Manufacturer, Fabricator, or Material Supplier by item and by date
The Contractor shall report payment data with any exceptions noted and explained (AAP 21)
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AAP 21LL Submission
Submitted monthlyCo-signed and co-dated by Prime and Sub or Supplier
(unless contract is in EBO)
Submitted as part of a compliance reviewMust be co-notarized as well (unless contract is in
EBO)
Submitted upon request of the agencyMust be co-notarized as well (unless contract is in
EBO)
AAP 21LL Verification
Compare against submitted estimates If any questions, ask the Resident Engineer
Compare against current Utilization Worksheet or Approval to Subcontract
Request copies of invoices, purchase order, canceled checks, etc. as neededGet front and back copies of canceled checks
Core Elements of a Construction QA Program Graphic Illustrating the Six Core Elements of a Quality Assurance Program (From
NETTCP Transportation Construction Quality Assurance Reference Manual – 2008)
3
Contractor Quality Control
(QC)
Independent Assurance
(IA)
Dispute Resolution
Laboratory Accreditation
and Qualification
Personnel Qualification/ Certification
Agency Acceptance
October 23, 2012
Materials Acceptance Valeriya Remezova FHWA – NY Division
To meet FHWA 23 CFR 637 Requirements: To assure the quality of materials and construction in all
Federal-aid highway projects through the following: I. Acceptance Process (QC)
II. Independent Assurance Process (IA) III. Proficiency Samples
IV. Qualified Laboratories V. Qualified Sampling and Testing Personnel
VI. Quality assurance
2
Why Is Materials Acceptance Required?
4
Poorly written or non-existing QC/QA roles & responsibilities in CMP and contract plans
Improper or inadequate sampling approaches
Lack or appropriately trained/certified personnel
Lack of construction oversight personnel
What are FHWA Experiences from Local Project Inspections?
5
What are FHWA Experiences from Local Project Inspections?
Improper location of saw cut – not
lined up with base slab joint
Failed reinforced concrete pipes
storage operations
“Shoving” due to poor mix design and compaction
effort
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What Materials Acceptance Measures Should be Used?
I. Manufacturer’s Certifications (traceability, pedigree)
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What Materials Acceptance Measures Should be Used?
II. NYSDOT Materials & Equipment Approved List
www.nysdot.material approved list
NYSDOT Materials & Equipment Approved List Example
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MANUFACTURER and LOCATION APPROVED PRODUCT GROUPS and PRODUCTION STATUS
1 2 3 4 5 6A&R Concrete Products Specialties, Inc.
Newburgh, NYInitial Routine -- -- Initial --
Binghamton Precast & Supply CorporationPhelps Street Plant
Binghamton, NY
Routine Routine Routine Initial Routine Initial
Binghamton Precast & Supply CorporationThomas Street Plant
Binghamton, NY
Initial Routine Routine Initial Routine Routine
Camp Precast Concrete Products, Inc.Milton, VT
Initial Initial -- -- Initial --
Coastal Pipeline Products CorporationCalverton, NY
Routine Routine Initial -- Routine --
Concrete Building SupplyPlattsburgh, NY
Initial Initial Initial Initial Initial
Garden State Precast, Inc.Wall Township, NJ
Initial Initial Initial -- Initial Initial
Great Lakes Concrete Products, LLCHamburg, NY
Initial Routine Initial -- Routine Initial
Husted Concrete Products, Inc.New York Mills, NY
Initial Routine -- -- Routine --
J&R Slaw, Inc.Lehighton, PA
-- -- Initial -- -- Initial
Jefferson Concrete CorporationWatertown, NY
Initial Routine Initial -- Routine Initial
Jersey Precast Hamilton, NJ
-- -- Routine -- -- Initial
Kistner Concrete Products, Inc.Lockport, NY
Routine Routine Routine Initial Routine Routine
Lakelands Concrete Products, Inc.Lima, NY
Routine Routine Routine Initial Initial Initial
L.C. Whitford Materials Co. Inc.Wellsville, NY
Initial -- Initial -- Initial --
LHV Precast, Inc.Kingston, NY
Routine Routine Routine Initial Routine Routine
Long Island Precast, Inc.Brookhaven, NY
Initial Initial Initial -- Initial Initial
Oldcastle PrecastAvon, CT
Initial Initial Initial Initial Initial --
Oldcastle Precast, Inc.Middle Island, NY
Initial Routine Initial Initial Initial --
Pallette Stone CorporationSaratoga Springs, NY
Initial Routine Routine -- Routine --
Roman Stone Construction CompanyBay Shore, NY
Routine Routine Routine Initial Routine Routine
The Fort Miller Company, Inc.Schuylerville, NY
Routine Routine Routine Initial Routine Routine
William E. Dailey, Inc.Shaftsbury, VT
Initial Initial Routine Initial Initial Routine
The following Manufacturers are approved for the product groups indicated:
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What Materials Acceptance Measures Should be Used?
III. On-Site Inspection
On-Site Inspection Records
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On-Site Inspection Records
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Example of On-Site-Inspection
PCC Field Inspection
Conducted by Certified Quality Assurance Technicians – do not rely on contractor data Sponsor’s Responsibility to Coordinate Plant Inspection Request with NYSDOT
Regional Material Engineer Unit Structural Concrete
Slump & Air Content Test – 1 set for each Structural component, thereafter 1 set per 50 CY for the duration of placement
Temperature and Cylinder – 1 set for each Structural component, thereafter 1 set per 200 CY for the duration of placement
Pavement Concrete Slump & Air Content Test & Temperature– 1 set from the first placement of each day, thereafter 1
set per 150 -200 CY for the duration of placement Supplementary Tests – may be required for unit weight of mix, yield test, uniformity, etc.
Inspector Must Check – cumulative batch-delivery time duration and max # of rotations on Revolving Drum Mixers compliance with NYSDOT SS
Records Available Inspectors Daily Work Report & Delivery Tickets (Structural or Pavement) Concrete Cylinder Report Daily Concrete Batch Plant Record
12
13
What Materials Acceptance Measures Should be Used?
IV. Independent Assurance Sampling/Testing HMA & Concrete Plant Inspections
Example of Independent Quality Assurance
PCC Plant Inspection
No Material Acceptance Decisions NYSDOT staff and/or agents (Quality Control Technicians – QCT) Plants are NYSDOT inspected annually (mix design approval, automation system calibration,
admixture storage & lockout, transit truck fleet, water supply, etc.) Aggregate source approval is conducted by NYSDOT every 2 years
Typical Sampling & Testing Conducted by QCT at PCC Plant Monitor Aggregate Stockpiles – Daily Course Aggregate Gradation & Cleanliness – Every 500 CY for Structural or 1000 CY for
Pavement/minimum of once/day. Fine Aggregate Gradation & Fineness Modulus – Every 500 CY for Structural or 1000 CY for
Pavement/minimum of once/day Aggregate Visual Identification and Free Moisture – Daily
Production Records Available Material Acceptance Record Batch Record Daily Concrete Acceptance Reports
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Where Can You Find Materials Acceptance Requirements?
Contract Plans/Special Proposal Notes/Special Specifications/Standard Sheet
NYSDOT Standard Design Sheets
NYSDOT Standard Specifications (Each NYSDOT SS Section refers to a “Materials” narrative in 700 Series of Specifications, detailing the Materials Acceptance requirements for a given item)
MURK Part 2A - Materials Inspection Manual
NYSDOT Material Approved List
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Materials Acceptance Documentation Compliance Requirements
16
All Construction Materials Must Be In Conformity with American Society for Testing and Materials (ASTM), American Association of State Highway Transportation Officials (AASHTO), Test Requirements or Actual Chemical & Physical Test Results
All Steel Must Be In Compliance with “Buy America” Requirements
23 CFR 635.410 requires ALL bidders for Federal or Federal-aid contracts to submit bids based on furnishing domestic steel and iron materials (manufacturing processes including application of coatings MUST be performed domestically). The contract will be awarded to the bidder who submits the lowest total bid based on furnishing domestic steel and iron materials. Foreign source materials may be used if the total project bid using foreign source materials is 25% less than the lowest total bid using domestic materials. When steel and iron materials are used in a project, the requirements of this section do not prevent a minimal use of foreign steel and iron materials if the cost of such materials used does not exceed one-tenth of one percent (0.1 percent) of the total contract cost or $2,500, whichever is greater. The cost is the value of the steel and iron products as they are delivered to the project. NYSDOT may request a waiver of the provisions of this section if: (i) The application of those provisions would be inconsistent with the public interest; or (ii) Steel and iron materials/products are not produced in the United States in sufficient and reasonably available quantities that are of a satisfactory quality.
Buy America Requirements
BA applies to the Federal-Aid highway construction program only
Applies to iron and steel products and their coatings
Raw materials waived in 1995 (such as iron ore, pig iron, raw alloys)
All manufacturing processes must take place domestically Materials must be permanently installed
Alternate bid allows foreign source materials use if the total project bid for foreign source < 25% the lowest total bid with use of domestic materials
North American Free Trade Agreement (NAFTA) does not apply 1994 National Waiver applies to specific ferryboat parts BA is not Buy American – applies to all federal direct procurements
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Comparison of FHWA & FTA Buy America Regulations
FHWA FTA
Source Law 23 USC 313ISTEA, § 1041(a) & 1048(a)
49 USC 5323(j)
Regulation 23 CFR 635.410 49 CFR 661
Applicability All construction contracts All FTA grantee purchases> $100,000
Coverage Steel or iron materials permanently incorporated; all manufacturing
Steel, iron & manufactured products other than rolling stock
Waiver FHWA Administrator (OPA) FTA AdministratorProgrammatic/natio
nwide waivers2-9-94 certain ferryboat equip;3-24-95 raw materials
Chrysler 12-passenger vans; microcomputers; small purchases; other
Alternate bid Yes, 635.410(b)(3) Yes, 49 CFR 661.7(d)
Subject to NAFTA? No No
Resolution for an after-the-fact discovery of incorporated foreign iron and steel products
FHWA will review the following information : The state's material certification procedures
for determining Buy America compliance.
Degree of diligence by the State DOT and contracting agency in ensuring Buy America compliance.
Contract provisions prescribing Buy America requirements.
Availability of domestic iron and steel products or its equivalent at the time when excess foreign iron and steel products were incorporated into the project.
Issues associated with removal and replacement with domestic iron and steel products during construction/completion.
FHWA HQ’s concurrence and penalty options are: Remove the excess foreign iron and
steel products and replace with domestic iron and steel products.
Make the non-compliant iron and steel products Federal-aid non-participating.
In instances where there is evidence of carelessness, negligence, incompetence, or understaffing on the part of the contracting agency, the Division Office may determine that all project costs are ineligible.
19
FHWA Web-site for Buy America Guidance
20
What Are the Known Penalty for Material Certification Non-Compliance?
21
When material and installation costs are not eligible for federal
funding:
FHWA may request to move the cost(s) to a non-participating share
FHWA may reduce amount of federal funding
FHWA may restrict local administration of a federal-aid project
FHWA may prohibit allotment of federal funds to a local agency/town/county
Audit by Office of Inspector General (OIG)
Quiz Question:
Which of the following are required Materials Acceptance documents:
A. Buy America(when applicable) B. Approved List C. Certifications
D. All of the above
22
Federal Aid Essentials for Local Public Agencies
23
http://www.fhwa.dot.gov/federal-aidessentials/catmod.cfm?id=80
24
QUESTIONS ?
25
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Construction Documentation
EIGHTEENTH Statewide Conference on Local Bridges
Kenneth Rupert, P.E., NYSDOT Local Programs Bureau
October 23, 2012Syracuse, New York
Why Document Construction?Verify Contract requirements are followedWhy?Federal Requirement 23CFR635.123 Determination and documentation of pay quantities
Who?
Why Document Construction? 23CRF635.105 Supervising Agency NYSDOT Sponsor 635.105(2) All requirements must be met, adequate staffing
Consultant (3) supervised by Sponsor PMFederal Requirement 23CFR635.123 Determination and documentation of pay quantities
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Why Document Construction?Verify Contract requirements are followedHOW?Create uniform procedures and processes
MURK – Manual of Uniform Record Keeping
MURK manual sectionsMURK Part 1A – The Contract Administration Manual (CAM) Corresponds to Section 100 – General Provisions of the Standard Specifications
MURK Part 1B – Construction Inspection Manual (CIM) Corresponds to Section 200 through 600 of the Standard Specifications
Murk Part 1C – Office of Construction Safety and Health Program Manual
MURK manual sections (cont’d)MURK Part 1D – The Construction Consultant Manual Reference for administration of Consultant Services
MURK Part 2A – Material Inspection Manual (MIM) Is being updated or replaced by the Materials and Geotechnical Methods Manuals available on the web at;
https://www.dot.ny.gov/divisions/engineering/technical‐services/materials‐bureau/forms‐manuals and
https://www.dot.ny.gov/divisions/engineering/technical‐services/geotechnical‐engineering‐bureau/manuals
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Automated Record Keeping APPIACEESOthers?
Derivation of MURK ‐ 23CFR635 §635.116 Subcontracting and contractor responsibilities§635.117 Labor and employment§635.118 Payroll and weekly statements
Derivation of MURK ‐ 23CFR635 §635.119 False statements §635.120 Changes and extra work §635.121 Contract time and contract time extensions§635.122 Participation in progress payments
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Derivation of MURK ‐ 23CFR635 §635.123 Determination and documentation of pay quantities (a) procedures.. provide adequate assurance ..quantities determined accurately ..uniform basis. Source documents.. payment is based.. matter of record.
Derivation of MURK ‐ 23CFR635 §635.123 Determination and documentation of pay quantities b) Initial source documents pertaining to the determination of pay quantities are among those records and documents which must be retained pursuant to 49 CFR part 18.
The Hook‐ 23CRF635.105(c)(2)(2) When the work is to be performed under a contract awarded by a local public agency, all Federal requirements including those prescribed in this subpart shall be met.49 CRF – Transportation not 23 CRF Highways
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CAM and Standard Specifications
CAM sections 102 and up are number and named the Same as the NYSDOT Standard SpecificationsCAM includes 5 sections numbered in the 90’s
CAM Section 90 to 99Section 90 ‐ Record Keeping ProceduresSection 95 ‐ Preconstruction MeetingSection 98 ‐ Contract Civil Rights Compliance ReviewsSection 99 ‐ Contract Administration Guidelines
CAM Section 90 Record Keeping ProceduresIntroduction contains a mapping of Documents to CAM sections. If you need to document something during construction it is probably in this list.
The CAM section related to the document will contain guidance on documenting and disposition.
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Daily DocumentationDaily Inspector’s ReportProject or Engineer’s Diary
Common to all documentationDay and DateProject IdentificationNumbered pagesSheet numbersTemperature and WeatherDescriptions
Common to all documentationNO ERASURE – Errors are crossed out with a single line and initialed by the party making the change.
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Other important DocumentsMaterial AcceptancePayments on Contract (estimates)CorrespondenceMeeting minutesPhotographs ‐ Video
Record RetentionMinimum Federal Requirements – 3 yearsSource documents (project records) must be available for audit purposes
Additional GuidanceFederal Aid Essentials –http://www.fhwa.dot.gov/federal‐aidessentials/index.cfm
FHWA Construction Program Guidehttp://www.fhwa.dot.gov/construction/cqit/
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Additional GuidanceProcedures for Locally Administered Federal Aid Projects (PLAFAP)https://www.dot.ny.gov/plafap
NYSDOT Office of Construction General Informationhttps://www.dot.ny.gov/main/business‐center/contractors/construction‐division
Eighteenth Statewide Conference on Local BridgesEngineering the Federal Aid Process - Local Projects Manual
PLAFAP 2012 Revisions Questions1. Q. What contract provisions were inserted into all Sponsor’s Federal aid Local Project Agreement? A. Iran Divestment Act B. Revised FHWA 1273 C. Civil Rights Title VI Provisions D. None of the Above E. All of the above
2. Q. Define Obligation Authority?A. The total amount of funds which may be obligated in a Federal Fiscal Year (FFY)B. The ability to spend funds without prior approvalC. The Total Amount of funds assigned to a projectD. All of the above
3. Q. A common locally administered federal aid agreement between NYSDOT and a Sponsor is called? A. A municipal resolution B. A contract for a construction project C. A procurement contract D. Federal aid Local Project Agreement (SLA)
EBO4. Q. CUF stands for?A. Construction Under FundedB. Commercially Useful FunctionC. Can’t understand Fraud
5. Q. Female goal set by Congress is? A. 1% B. 5% C. 6.9% D. 25%
6. Q. A Good Faith Effort Review is required when? A. When the contractor proposes DBE utilization greater than the goal B. When the contractor’s proposed DBE utilization equals to the goal C. When the contractor’s proposed DBE utilization is less than the goal
Material Acceptance in Construction7. Q. The CFR section dealing with material acceptance is? A. 23 CRF 635B. 49 CRF 26C. 23 CRF 637D. 23 CRF 1.33
8. Q. Which of the following are problems found by FHWA on locally administer Projects?A. Poorly written or non-existing QC/QA roles & responsibilities in CMP or contract plansB. Improper or inadequate sampling approachesC. Lack or appropriately trained/certified personnelD. Lack of construction oversight personnelE. All of the above.
9. Q. Which of the following are required Material Acceptance documents?A. Buy America (when applicable)B. Approved ListC. CertificationsD. All of the above.
Construction Documentation Requirements10. Q. The CFR section dealing with construction documentation is?A. 23 CRF 635B. 49 CRF 26C. 23 CRF 637D. 23 CRF 1.33
11. Q. Which section of the CFR must be followed during construction?A. 23 CRF 635B. 23 CRF 637C. All of the aboveD. None of the above
12. Q. MURK procedures must be followed when documenting construction procedures?A. Only when using paper formsB. Only when using APPIAC. Only when using CEESD. All the time.
