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Louisiana Federal-Aid Highway Program Stewardship Agreement 2007 (Amendment #1)

Developed in Partnership by the Federal Highway Administration and the Louisiana Department of Transportation and Development

Table of Contents

I. Introduction

The American Recovery and Reinvestment Act of 2009 (ARRA) was signed into law on February 17, 2009. This law provides significant funding for, among other programs, transportation infrastructure. LADOTD's allocation for highway improvements totaled $429,859,427.

The ARRA legislation has mandated strict timeframes for funding obligations. All of the funds must be obligated within one year of the apportionment to LADOTD; however, 50% of the non uballocated funds, or $183,037,619, must be obligated within 120 days of the apportionment. Failure to meet these timeframes will result in LADOTD losing its unobligated balance. In addition, the legislation has set forth specific project eligibility and selection criteria as well as requiring monthly reporting of project data.

With these additional stipulations placed on the use of ARRA funds, LADOTD employe workloads will increase quickly, resources could approach capacity, and the use of proper contract administration procedures/processes may be tested. These conditions result in additional risks being associated with the delivery of ARRA-funded projects.

LADOTD fully intends to carryout ARRA projects in accordance with the September 2007 Stewardship and Oversight Plan. However, LADOTD recognizes the additional risks that exist with the delivery of the ARRA program and understands FHWA's obligation to enhance their oversight; particularly with "state delegated" projects. LADOTD agrees to fully cooperate with FHWA in carrying out the activities set forth in this plan.

II. Delegation of ARRA Funded Projects

The following table defines oversight responsibility for Federal-Aid projects funded fully or partially with ARRA funds in Louisiana.

Type of ProjectsOversight Responsibility
Interstate projects with an estimated construction cost >$1 millionFHWA
Interstate projects with an estimated construction cost <$1 millionLADOTD
NHS (non-Interstate) projects with an estimated construction cost >$10 millionFHWA
NHS (non-Interstate) projects with an estimated construction cost <$10 millionLADOTD
Non-NHS and Locally Administered Projects with an estimated construction cost >$2.5 millionFHWA
Non-NHS and Locally Administered Projects with an estimated construction cost <$2.5 millionLADOTD
Enhancement Projects with an estimated ARRA construction funds >$5 millionFHWA
Enhancement Projects with an estimated ARRA construction funds <$5 millionLADOTD
Bridge Projects on any route with an estimated construction cost >$50 millionFHWA
All Design-Build ProjectsFHWA

Note 1: NHS-projects are defined by system, irrespective of Federal funding source.
Note 2: Locally Administered Projects = Local Public Agency Projects (i.e., Parish, Municipality).

Exceptions:
  1. State Administered projects (delegated) may be selected for full oversight by mutual agreement between FHWA & LADOTD. The selection will be agreed upon by the FHWA Assistant Division Administrator and the LADOTD Chief Engineer. Examples of projects which may be selected: Major or complex bridge structure projects, or projects which involve a high degree of public controversy or environmental impacts.
  2. A full oversight project may be delegated by mutual agreement between FHWA & LADOTD. The selection will be agreed upon by the FHWA Assistant Division Administrator and the LADOTD Chief Engineer. Examples of projects likely to be selected: NHS projects which do not affect traffic such as landscaping, rest area construction, fencing, signing, and enhancement projects.

III. Purpose of Project Oversight Plan

The purpose of this plan is to (1) ensure the FHWA Louisiana Division provides the necessary stewardship of those funds made available to Louisiana through the ARRA, (2) to establish additional project oversight measures to ensure compliance with project eligibility, and reporting requirements, and (3) to support the Division's risk management plan developed specifically to deliver the ARRA program in Louisiana.

It is important to note that this plan will supplement, not replace, our existing Stewardship and Oversight Plan with LADOTD. While the primary roles and responsibilities outlined in our September 2007 plan will remain intact in carrying out ARRA funded projects, this plan outlines additional actions that the FHWA LA Division and LADOTD will undertake to ensure ARRA funds are obligated and expended in accordance with both Title 23 United States Code and the specific requirements stipulated in the ARRA.

IV. Enhanced Stewardship and Oversight for ARRA Program and Project ACtivities

As stated previously, it is intended for all ARRA projects to be administered in accordance with our existing Stewardship and Oversight Plan. It is anticipated that over 80% of LADOTD's ARRA funding will be applied to "state delegated" projects. However, it is recognized that the spending of ARRA funds will be under high scrutiny from both the public and political officials, as well as government oversight agencies. Therefore, both LADOTD and FHWA recognize that special attention and visibility is needed during the delivery of the entire ARRA program.

1. Program Activities

Planning activities for ARRA funded projects will continue as they do for all other federally assisted projects. Amendments incorporating ARRA projects into LADOTD's STIP will be reviewed by the appropriate individual within the LA Division Program Delivery Team for eligibility, fiscal capacity and constraint, transportation conformity, coordination with MPO TIPS, and public involvement.

Environmental activities for ARRA funded projects will continue as they do for all other federally assisted projects. All NEPA reviews and approvals will follow existing procedures including our Programmatic CE Agreement with LADOTD.

Right of Way acquisition for ARRA projects must comply with 49 CFR 24 (the Uniform Act). Furthermore, the requirements set forth in 23 CFR 710 must be followed if ARRA funding is used for property acquisition. The Division Realty Officer understands the significance of the ARRA legislation and the importance to successfully deliver the program. Therefore, our Realty Officer will initiate additional oversight activities to include (1) incorporating ARRA projects as part of scheduled ROW compliance reviews and (2) participating in LADOTD/FHWA joint compliance ROW reviews on selected ARRA projects.

Financial activities for ARRA funded projects will be similar to the processes for all other federally assisted projects. The Finance Team provides the initial review of all projects to be sure that the authorization is complete, accurate and that all ARRA requirements are present in the authorization. The Finance Team will monitor all ARRA authorizations and expenditures, provide status reports, and help ensure that all ARRA financial deadlines are met to avoid the loss of any ARRA funding. The Division recognizes the heightened financial scrutiny that ARRA projects will receive. To that end, an ARRA billing review will be performed on projects billed during fiscal year 2009 and additional billing reviews will be performed regularly during each year of ARRA funding as more projects incur expenditures. In addition, ARRA projects will be incorporated as a part of regular financial compliance reviews and as a part of the FIRE program.

2. Project Activities

In order to minimize the potential risks associated with ARRA-funded projects, the FHWA will implement additional measures to increase FHWA's stewardship and project oversight activities. Special emphasis has been placed on activities associated with the obligation of ARRA funding as well as enhanced oversight initiatives on "state delegated" projects. The additional measures that will be implemented include the use of a project tracking system, utilization of a project authorization checklist, and conducting a series of project phase reviews of those ARRA projects categorized as "state delegated."

  1. Project Tracking System - An electronic system has been developed to capture all necessary project data for all projects with ARRA funding. This system will assist FHWA in verifying project eligibility, monitoring authorized/award project costs versus project costs allocated in the STIP, and verify the submittal of monthly reports.
  2. Project Authorization Checklist - An authorization checklist has been developed and will be used for all ARRA project funding authorization requests. By using this checklist, the risks associated with the funding obligation phase will be minimized. The checklist will require the FHWA approving official to verify that the authorization request is complete and accurate. Items that will be verified include but are not limited to: consistency with LADOTD's 1511 Certification, compliance with STIP, and that the request includes the required statements set forth in the ARRA.
  3. Project Phase Reviews - FHWA will conduct phase reviews of all Full Oversight projects and a selected sample of "state delegated" ARRA projects (see attached tables) for three specific project development phases: (a) PS&E package, (b) Bid evaluation/contract award, and (c) Construction. It is anticipated that project phase reviews will continue through fiscal year 2011. LADOTD understands the need for these reviews and agrees to fully cooperate with FHWA as they are carried out. All reviews will be documented with copies of reviews provided to LADOTD. ARRA projects categorized as Full Oversight projects will be reviewed in accordance with the Louisiana Federal-Aid Highway Program Stewardship Agreement approved in 2007.
    1. PS&E Checklist: This review will be conducted on all Full Oversight projects and a selected sample of "state delegated" ARRA projects (see attached tables) prior to project authorization/advertisement. LADOTD will be notified of the project PS&E packages to be reviewed at the time that they would be expected to complete the package. This review will be made to assess the quality and completeness of these PS&E packages evaluated. LADOTD will be notified promptly of any findings. The review will assure the projects have met the Recovery Act requirements, General Federal-Aid compliance, plans constructability and clearness, project specifications, and engineer's estimate reasonability. A checklist has been developed for use during this review phase. (See Appendix A)
    2. Local Public Agency Federal-Aid Projects Checklist: This review will be conducted on all Full Oversight locally administered projects and a selected sample of "state delegated" ARRA locally administered projects (see attached tables) prior to project authorization/advertisement. LADOTD will be notified of the project PS&E packages to be reviewed at the time that they would be expected to complete the package. This review will be made to assess the quality and completeness of these PS&E packages evaluated. LADOTD will be notified promptly of any findings. The review will assure the sample projects have met the planning and environmental, Right of way and utility clearance, plans and specifications completeness, engineer's estimate reasonability, and proposal includes all Federal-Aid and Recovery Act (ARRA) requirements. A checklist has been developed for use during this review phase. (See Appendix A)
    3. Disadvantage Business Enterprise Checklist: All Full Oversight projects and a selected sample of "state delegated" ARRA projects (see attached tables) will be reviewed during active construction to assess compliance with contract DBE goals, "good faith" efforts, commercially useful functions, wages complaints, and project bulletin boards information requirements. A checklist has been developed for use during this review phase to be included as part of the inspection report. (See Appendix A)
    4. Quality Assurance Checklist: All Full Oversight projects and a selected sample of "state delegated" ARRA projects (see attached table) will be reviewed during active construction to assess the project staffing by the State or Local Agency, contractor's workmanship, and adequate project record keeping. The frequency of project inspections will vary depending on project scope and size, but it will be no less than one (1) visit for delegated projects. LADOTD or Local Agency Representatives will be promptly notified of any issues or concerns. Additional actions and/or follow-up reviews will be determined based on the findings during the first review. A checklist has been developed for use during this review phase to be included as part of the inspection report. (See Appendix A)
    5. Contract Administration Checklist: Concurrence in contract award will remain as set forth in our Stewardship and Oversight Plan. LADOTD will continue to request concurrence in awards for Full oversight ARRA funded projects. However, the FHWA will required that LADOTD submits a copy of the bid package on all state delegated projects to assist with the independent review of the bid data for each of the ARRA funded projects. This review will check the bid information and a bid analysis will be performed to assess competition on ARRA funded projects. LADOTD will be promptly notified of any issues or concerns. A checklist has been developed for use during this review phase. (See Appendix A)

Furthermore, additional projects may be added based on project size or complexity, and/or environmental sensitivity.

V. ARRA Checklists Sampling Selection

The following tables define the ARRA Checklists sampling goals for Federal-Aid projects funded fully or partially with ARRA funds in Louisiana.

1. State Delegated Projects
Plans, Specifications, and Estimate (PS&E) Checklist Local Public Agency Federal-Aid Projects (LPA) Checklist Disadvantage Business Enterprise (DBE) Checklist Quality Assurance (QA) Checklist Contract Administration Checklist Project Authorization Checklist
Descending Order (Contract Cost) Sample Sample Sample Sample Sample Sample Top 20%
  Top 40%
  Top 60%
  Top 80%
 100%
Only on Delegated LPA ProjectsAt least one (1) visit per projectAt least one (1) visit per project

Note 1: FHWA may add more projects to the sampling selection on delegated projects if deemed necessary.

2. Full Oversight Projects
Plans, Specifications, and Estimate (PS&E) Checklist Local Public Agency Federal-Aid Projects (LPA) Checklist Disadvantage Business Enterprise (DBE) Checklist Quality Assurance (QA) Checklist Contract Administration Checklist Project Authorization Checklist
Descending Order (Contract Cost)SampleSampleSampleSampleSampleSample100%
Only on LPA ProjectsAt least one (1) visit per project At least once per visit project

VI. Additional Oversight Opportunities

Both the FHWA LA Division and LADOTD fully appreciate the significance of the ARRA legislation and the importance of successfully delivering the program. While the enhanced activities outlined in this plan will be implemented, the FHWA LA Division and LADOTD will remain cognizant of the status of all Louisiana ARRA projects and consider them as additional oversight opportunities become available. Additional oversight opportunities include the following:

  • Include ARRA projects as part of scheduled follow-up reviews in assessing compliance with implemented FY08 process review action plans.
  • Include ARRA projects as part of FY09 scheduled process reviews.
  • Include ARRA projects in upcoming LADOTD Quality Management Team reviews.
  • Both FHWA Division and LADOTD Headquarters staff will periodically provide contact visits of ARRA projects during normal District visits.
  • Consider ARRA projects as part of the LADOTD/FHWA biannual Traffic Control Reviews.

Louisiana Stewardship Agreement

FHWA and LADOTD mutually agree to the delegations defined in this section of the Stewardship Agreement as allowed by Title 23 Section 106 and further agree to abide by the procedures, practices, and business standards outlined throughout this Stewardship Agreement.

It is further agreed that incremental changes may be made to this agreement with the concurrent approval of the Chief Engineer of the LADOTD and the Assistant Division Administrator of FHWA for Louisiana, while retaining the integrity of the overall Stewardship Agreement.

This agreement supplements the existing stewardship agreement dated 09/01/2007 between the FHWA and the LADOTD.

Charles W. Bolinger /s/
FHWA LA Division Administrator
William D.Ankner, Ph.D. /s/
Secretary
Louisiana Department of Transportation and Development

Effective Date: 7/24/2009

FHWA-LA Division ARRA Project Authorization Checklist

Screen shot of FHWA-LA Division ARRA project authorization checklist

PS&E Checklist

The FHWA Risk Management Plan identifies the major risk areas in implementing the American Recovery and Reinvestment Act of 2009 (Recovery Act). For the consideration of the Division Offices, example checklists have been developed for use in "visible monitoring" efforts. The PS&E checklist assists in evaluating the completeness of the project documents prior construction authorization.

Project Data
Federal Project Number  
State Project Number  
Project Name/Route Number, Section and Mileposts.  
County  
Project Description  
PS&E Checklist review complete and ready for Authorization Engineer's Signature: : Date

General References

Regulations and Guidance
Recovery Act Requirements
Reference Recovery Act Implementing Guidance
http://www.fhwa.dot.gov/economicrecovery/guidance.htm
Item Yes No N/A
Is the project eligible for Federal-aid under Recovery Act 23 USC 133(b) STP or 23 USC 601(a) (8)?   
Based on the project description, does it appear that the project is expected to be complete within three years?    
Is the project listed on the State's 1511 Certification, as posted on www.dot.gov/recovery/?    
Is the project in the TIP/STIP?    
Does the FMIS project description match the description and funds in the TIP/STIP and the 1511 certification?    
Do the requested funds in FMIS match the funds listed in the TIP/STIP and the 1511 certification?    
Is the effective authorization date the same as or later than the latest date that the 1511 Certification was posted on www.recovery.gov?    
Are the following conditions included in the State Remarks section of FMIS?
  1. Agree to comply with the reporting requirements terms and conditions set forth in the Recovery Act and as designated by the FHWA,
  2. Recovery Act funds are not obligated for advance construction purposes authorized under 23 U.S.C. 115(b)
  3. Recovery Act funds are not eligible for costs incurred prior to the date of obligation.
   
Is the FMIS description in the project header designated Special Project Grouping - Major Projects - Recovery Act Funded Projects (Section 1.F)?    
Does the project include other Federal-aid (split funded)? For projects split funded with Recovery Act funds and other Federal-aid funds, the Federal share for each funding category is subject to its own limitations.    
Does the project involve Advance Construction (AC) 115(b) of Title 23 U.S.C.? Recovery Act funds shall not be obligated for purposes authorized under section 115(b) of Title 23 U.S.C. (Advance Construction) (AC). The Recovery Act precludes the use of Recovery Act funding to convert Advance Construction (AC) authorizations into obligations of Recovery Act funds.    
Does the authorization request involve a cancellation of a prior AC authorization?
  • Were there any obligations prior to February 17, 2009 (project not eligible)?
  • Was the AC authorization cancelled and new authorization/obligation established?
  • Does the new authorization request cover the anticipated contract costs under the project agreement (including with both Recovery Act funds and other Federal-aid funds)?
  • Does the authorization request only include work performed after obligation of funds?
   
Is this a new AC project combined with Recovery Act funds?
  • Are the work or project segments or activities eligible for Recovery Act funding consistent with 23 U.S.C. 133, and the AC authorized work or project segment identified independently by separate and distinct project agreements (federal-aid project authorizations and project numbers in FMIS)?
  • Will all Recovery Act funding be billed within 3 years?
  • Does the State Remarks section in FMIS identify the project number of the AC portion of the project and vice versa?
   
Is the project being competitively bid? (If no, the project must be posted on the web per Recovery Act, Section 1554 and a public interest finding must be made.)    
Is the authorization request a conversion of a non Federal-aid funded project? Does the project meet and document compliance with all Federal-aid requirements? Does the authorization request include only those costs anticipated after authorization/obligation of funds?

Comments:

General Federal-aid Requirements
Reference Item Yes No N/A
450.216 450.220Project included in the current STIP   
627.1A Value Engineering (VE) Study conducted (Required for projects > $25 Million, > $20 Million for bridge projects)   
635.309(e)If other than competitive bid, need cost-effectiveness or emergency determination   
771.113Environmental clearance documented: Date__________________   
771.113Required public hearing transcripts have been received and accepted, if required.   
772.11gAre noise walls included in the project?   
635.309(b)ROW acquisition and relocation complete and certified   
635.309(b)Utility relocation is complete or arrangements have been made   
646.107Railroad insurance provided   
646.216(d)Agreement in writing between State and Railroad   
646.214(b)Adequate railroad grade crossing warning devices are provided   
620.101Air-highway clearances are adequate for safe movement of traffic   
625.2(c)Safety improvements are commensurate with level of work proposed   
Appropriate review of PSE package completed by FHWA   

Comments:

Plans
Reference Item Yes No N/A
Consultant design   
625.3 625.4Geometric standards met: Design speed
Lane width
Shoulder width
Structural capacity
Horizontal alignment
Vertical alignment
Grades
Stopping sight distance
Cross slope
Superelevation
Horizontal clearance
Vertical clearance
   
625.3Design Exceptions documented and approved   
626Pavement design adequate   
Cover sheet includes all required information   
Details, typical sections and profile sheets are adequate to show complexity of work   
650.117Required hydraulic data shown   
Details are sufficient to describe the required installation of drainage facilities including culverts, erosion control structures, headwalls, inlets, and manholes   
Pay items have been checked against construction plans   
Bridge size structures coordinated with Division Bridge/Structures Engineer All bridge plans reviewed by Division Bridge/Structures Engineer and comments resolved   
635.309(k)Railroad and utility work coordinated, utility conflicts relocated, and/or status of utility agreements is acceptable   
635.309(j)Appropriate measures to ensure environmental conditions and commitments are met are clearly shown   
635.309(i)Provisions to minimize water pollution and soil erosion included   
635.309(n)Traffic control devices per MUTCD Construction Permanent   
630.1012Traffic management plan is included and approved   
652.5Pedestrian accommodation included and ADA requirements are met   
652.7(b)Pedestrian and bike routes are pursuant to an overall plan   
635.407Public interest findings are documented for mandatory waste or borrow sites   
635.411Proprietary product use is experimental, justified, or in public interest   
635.413Warranties are approved   
Plans approved by appropriate official (PE if requireded)   
Plan quality is generally acceptable   

Comments:

Specifications
Reference Item Yes No N/A
State or Local specifications: ______________________   
630.205Special Provisions and Supplemental Specifications are satisfactory   
633.102(f)Form FHWA-1273 Required Contract Provisions is included   
635.309(f)Current US Department of Labor minimum wage rates included   
635.107DBE provisions are included   
230.111Training special provisions are included   
630.205(b)Specifications contain the written instructions for constructing the project   
Detailed description of the work, materials, construction methods, measurement method, basis of payment, and pay item for each item of work is outlined   
Supplemental Specifications cover new or additional construction items or substantial changes regarding items not included in the standard specifications   
635.309(j)Special Provisions contain commitments for environmental mitigation which is contained in the environmental documentation   
Contract time is acceptable   
Buy America provision is included   
Non-collusion statement included   
Force account work is adequately justified   

Comments:

Estimates

Reference "Guidelines on Preparing Engineer's Estimate, Bid Reviews and Evaluation" http://www.fhwa.dot.gov/programadmin/contracts/ta508046.cfm

Item Yes No N/A
Engineer's Estimate unit prices reasonable for the areas, times, and characteristics of the work to be done   
Unit prices have been reviewed to determine if changes in estimated unit prices are needed to reflect any trends that have occurred within the past 3-6 months   
Incentive/disincentive or escalation clauses have been considered in determining the estimated unit costs   
Estimate includes an item number, description of the item, estimated quantity, unit, and price for each proposed item of work   
Haul road restoration item provided   
State option borrow costs provided   
Salvage credit shown   
Utility and railroad force account work covered   
Nonparticipating work shown   
Class and breakdown of funding are correct for highway classification   

Comments:

LOCAL PUBLIC AGENCY (LPA) FEDERAL-AID PROJECTS CHECKLIST

The FHWA Risk Management Plan identifies the major risk areas in implementing the American Recovery and Reinvestment Act of 2009 (Recovery Act). For Division Offices consideration, example checklists have been developed for use in "visible monitoring" efforts. The LPA Checklist should be completed by the Division Office in the review of LPA Recovery Act projects to ensure projects are being administered in accordance with all applicable Federal-aid laws, regulations, and policies.

Also refer to the Financial Management Checklists :
  • Local Project Administration Policies and Procedures
  • Billing/Payment Process of State and Local Governments
  • Indirect Costs of State and Local Governments
PROJECT DATA
Item No.  
Federal Project Number  
County  
Route  
Engineer's Estimate  
Contract ID  
Letting Date  
Description  

GENERAL REFERENCES

Regulations and Guidance (On StaffNet)
PLANNING
Checklist Item Yes No N/A
1. Is the project programmed in the currently approved STIP? 23 CFR 450.216 Ref._________   
2. Is this project in an MPO area and programmed in the MTP and TIP? 23 CFR 450.322 MTP Ref.___________ 23 CFR 450.324 TIP Ref.____________   

Comments:

ENVIRONMENT
Checklist Item Yes No N/A
1. Has the environmental documentation for the project been approved? 23 CFR 771
□ Programmatic Categorical Exclusion (PCE) Date Approved ____________
□ Categorical Exclusion Level 1 (CE-1) Date Approved _____________
□ Categorical Exclusion Level 2 (CE-2) Date Approved _____________
□ Categorical Exclusion Level 3 (CE-3) Date Approved _____________
□ Environmental Assessment (EA) / FONSI Date of FONSI ___________
□ Environmental Impact Statement (EIS) / ROD Date ROD Signed _____________
     
2. Is a reassessment or re-evaluation of the environmental document needed? 23 CFR 771.129      

3. Have environmental commitments been incorporated into the final design and contract documents?

Y □ N □ N/A □ Historic Preservation 36 CFR 800 Prop./Plan Ref. _________
Y □ N □ N/A □ Stream/Wetland Mitigation 23 CFR 777 Prop./Plan Ref. _________
Y □ N □ N/A □ Noise Abatement 23 CFR 772 Prop./Plan Ref. __________
Y □ N □ N/A □ Section 4f 23 CFR 771.135 Prop./Plan Ref. __________
Y □ N □ N/A □ Endangered Species Act 50 CFR 402.12(c))
Prop./Plan Ref. _________
Y □ N □ Other ______________________ Prop./Plan Ref. ___________

     
4. Have all permits for the project been secured?      
5. Is the contractor responsible for obtaining any permits or external agency approvals for this project? Permit/Agency Approval ____________________________________ Prop./Plan Ref. _________      

Comments:

RIGHT OF WAY & UTILITIES
Checklist Item Yes No N/A

1. Has all Right-of-Way for the project been secured? 23 CFR 635.309

□ Right-of-Way Certificate
Date Approved __________
Proposal Ref. __________

   

2. If the Right-of-Way will not be clear prior to authorization, are proper stipulations contained in the proposal?

Y □ N □ N/A □ Restrictions on the contractor Proposal Ref. __________
Y □ N □ Estimate of when the Right-of-Way will be clear
Prop. Ref. _________

   

3. Is the project located within 2 miles of an airport? 23 CFR 620.103

Y □ N □ Coordinated with FAA
Y □ N □ Vertical clearance adequate

   
4. Have utility agreements for all utilities affected by this project been completed and approved?    
5. Have all utilities affected by this project been relocated or will be relocated prior to advertisement? Utility Clearance Note Proposal Ref. _________    
6. If all utilities have not been relocated prior to advertisement, does the proposal include a special provision stipulating utility coordination with the prime contractor for each utility? For each utility relocation coordinated with the prime contractor, provide the utility name, relocation date specified in the utility agreement, and a proposal reference: Utility Co. Name: _________________ Relocation Date:__________
Prop. Ref.___________
Utility Co. Name: _________________ Relocation Date:__________
Prop. Ref.___________
Utility Co. Name: _________________ Relocation Date:__________
Prop. Ref.___________
   

7. Does the project require use of or adjustment of railroad facilities?
23 CFR 646

Y □ N □ Railroad Agreement approved
Y □ N □ Liability Insurance requirements provided in proposal
Proposal Ref. __________

   

Comments:

PLANS & SPECIFICATIONS
Checklist Item Yes No N/A
1. Have all comments and issues from previous review reports, meeting summaries, etc. been satisfactorily addressed?   

2. Do the contract plans describe the location and design features and the construction requirements in sufficient detail to facilitate construction and the estimation of construction costs of the project? 23 CFR 630.205 Do the contract plans contain the following:

Y □ N □ Title Sheet
Y □ N □ Typical Sections
Y □ N □ Summary of Quantities
Y □ N □ Plan Sheets
Y □ N □ Profile Sheets
Y □ N □ Drainage Sheets
Y □ N □ Cross Sections
Y □ N □ Traffic Control Plans
Y □ N □ Signing Plans
Y □ N □ Lighting Plans
Y □ N □ Traffic Signal Plans
Y □ N □ Special Detail Sheets
Y □ N □ Structure/Bridge Plans

   
Y □ N □ Utility Relocation Plans Other ____________________________    
3. Does the design conform to Federal-aid design standards for geometric and structural design of highways and/or STA policy and guidance manuals? 23 CFR 625    
4. Are any design exceptions incorporated into this project? 23 CFR 625.3(f) Design Exception: ______________________________________________________________
Y □ N □ Reviewed and approved by the STA and FHWA (if applicable per current State DOT/FHWA Stewardship Plan) Date Approved_____________
   
5. Does the project involve new or revised Interstate Access?
Y □ N □ Interchange Justification/Modification Study approved by FHWA Date Approved_____________
   
6. Are Right-of-Way, easement, and control of access lines shown on the plans?    
7. Is the Right-of-Way acquired adequate to facilitate construction of the project?    
8. Are all traffic control devices provided with this project consistent with the current edition of the Manual on Uniform Traffic Control Devices (MUTCD)? 23 CFR 655.603    
9. Is a temporary traffic control plan provided and consistent with regulations on Work Zone Safety & Mobility as described in 23 CFR 630 (J)? Prop./Plan Ref. _________
Y □ N □ N/A □ Transportation Management Plan (TMP) Approved by the STA and FHWA (if applicable per current STA/FHWA Stewardship Plan) Date Approved_____________
   
10. Are the clear zone and safety appurtenances provided for this project in accordance with the current edition of the AASHTO Roadside Design Guide?   
11. Are appropriate accommodations provided for bicyclists and pedestrians along the project and intersecting roadways? 23 CFR 652   
12. Are pedestrian facilities designed in accordance Americans with Disabilities Act requirements? http://www.access-board.gov/    
13. Does the project utilize the current version of Standard Drawings?   
14. Are local standard drawings, sepia drawings, or special details incorporated into the project? Prop./Plan Ref. _________
Y □ N □ Reviewed and approved by the STA and FHWA (if applicable per current STA/FHWA Stewardship Plan) Date Approved_____________
   
15. Does the project utilize the current version of the State Standard Specifications?   
16. Are local specifications or supplemental specifications utilized on the project? Proposal Ref. ___________
Y □ N □ Reviewed and approved by the STA and FHWA (if applicable per current STA/FHWA Stewardship Plan) Date Approved_____________
   
17. Are all pay items covered by an appropriate specification that agrees with the plans for basis of payment?    
18. Are any materials to be supplied by the Local Public Agency or the State? 23 CFR 635.407 Material:________________________________________
Y □ N □ Public Interest Finding (PIF) approved by the STA and FHWA (if applicable per current STA/FHWA Stewardship Plan) Date Approved_____________
   
19. Are patented or proprietary materials shown in the plans or specifications? 23 CFR 635.411 Material/Product:_____________________________________
Y □ N □ Use of Material approved by the STA and FHWA (if applicable per current STA/FHWA Stewardship Plan) Date Approved_____________
   
20. Is state or local force account construction work to be utilized on this project? 23 CFR 204
Y □ N □ Cost Effective Determination approved by the STA and FHWA (if applicable per current STA/FHWA Stewardship Plan)Date Approved_____________
   
21. Are experimental features utilized on this project? (Federal-aid Policy Guide G 6042.4) Experimental Feature:_______________________________________
Y □ N □ Work Plan approved by the STA and FHWA (if applicable per current STA/FHWA Stewardship Plan) Date Approved_____________
   

Comments:

ESTIMATE
Checklist Item Yes No N/A
1. Does the estimate include a pay item for all work included in the plans?   
2. Are all estimated unit prices reasonable and comparable to average unit bid prices or construction industry trends?   
3. Are Federal-aid non-participating items included in this project?
Y □ N □ Non-participating items separately listed in the estimate and/or plans items include: ___________________________________________________
   
4. Is the amount of the estimate consistent with the amount of Federal-aid funding requested for the construction phase?   

Comments:

PROPOSAL
Checklist Item Yes No N/A
1. Is the FHWA-1273 Required Contract Provisions for Federal-Aid Construction Contracts included? 23 CFR 633.102 Proposal Ref. __________   
2. Are Equal Employment Opportunity (EEO) special provisions included? Proposal Ref. _________   
3. Does the proposal contain a Disadvantaged Business Enterprise (DBE) goal? 23 CFR 635.107 & 49 CFR 26 DBE Goal:_____________ Proposal Ref. _________   
4. Is a non-collusion provision included? 23 CFR 635.112(f) Proposal Ref. _________   
5. Are standardized changed condition clauses included? 23 CFR 635.109 Specification/Proposal Ref. _________   
6. Are training special provisions included? Proposal Ref. _________   
7. Are the minimum wage rates determined by the United State Department of Labor included? 23 CFR 117(f) Proposal Ref. _________   
8. Are the Buy America Act Provisions included? 23 CFR 635.410 Specification/Proposal Ref. _________   
9. Is the contract time/completion date realistic and adequately supported? 23 CFR 635.121 Proposal Ref. _________ Completion: Date / Work Days / Calendar Days (Circle One)   
10. Does the proposal contain incentive/disincentive clauses? Proposal Ref. _________   

Comments:

AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 (RECOVERY ACT)

This category of items will ensure contract documents for projects utilizing Recovery Act funds satisfy additional requirements and include the necessary provisions as set forth in the Recovery Act. For additional guidance and information related to the Recovery Act, please visit
www.fhwa.dot.gov/economicrecovery/index.htm

Checklist Item Yes No N/A
1. Is this project included in Section 1511 Certification and is the information accurate?   
2. Does the contract package for the project include provisions regarding the special reporting requirements of the Recovery Act?   
3. Does the contract package for the project include a provision to override the general applicability provisions in form FHWA-1273, Section IV and V? Note that Davis-Bacon Prevailing Wage Rate requirements shall apply to all Recovery Act funded construction projects regardless of location / roadway classification. Proposal Ref. _________   
4. Does the contract package require installation of Recovery Act Project Construction Signing?   
5. Does the contract package for the project include a provision for Section 902 regarding U.S. Comptroller General authority?   
6. Does the contract package for the project include a provision for Section 1515 regarding Inspector General authority?   

DISADVANTAGED BUSINESS ENTERPRISE (DBE) CHECKLIST

The FHWA Risk Management Plan identifies the major risk areas in implementing the American Recovery and Reinvestment Act of 2009 (Recovery Act). For Division Offices consideration, example checklists have been developed for use in "visible monitoring" efforts. Review of Recovery Act projects in the DBE area will require monitoring from the bidding process through final acceptance. The DBE Checklist provides guidance in the review of program monitoring and enforcement, commercially useful function, and good faith effort.

PROJECT DATA
Federal Project Number
State Project Number 
Project Name/Route Number, Section 
County 
Prime Contractor 
DBE Firm/sWorking (Y/N)Type of Work Being Performed
  
  
  
  
FHWA Signature:Date:

GENERAL REFERENCES

Regulations and Guidance

49 CFR 26

Disadvantaged Business Enterprise Program

Guidance Memorandum-FY 2006 DBE Goal Setting Approval Process & DBE Program Plans
http://osdbuweb.dot.gov/DBEProgram/dbeqna.cfm

Information Memorandum - Lease or Use of Prime Contractor's Equipment by DBE Firms

DBE COMPLIANCE
Item Yes No Comments
Contract DBE Goal____________________   
Contractor's DBE Goal_____________________   
Copy of contract Bidder DBE information form in the project files   
If contractor's goal is less than the contract goal, there is a "good faith" statement in the project files   
Monitoring of progress and good faith efforts through monthly DBE progress reports submitted by the contractor    
DBE goal compliance is being checked using ______Payrolls ______Interviews ______Diaries ______Material invoices ______Other_______________________________    
DBEs performance of a commercially useful function is being checked using ______Payrolls ______Interviews ______Diaries ______Material invoices ______Other_______________________________    
Change Orders affects DBEs    
Additional work provided to DBEs    
Changes to DBE goals    
DBE goal changes approved    
Quarterly Report of amounts credited as DBE participation    
Quarterly Report sent to Region local programs engineer    
DBE firm is exercising complete and independent control over its subcontract work items    
DBE firm depends on the Prime contractor, or another firm for supervision of the work    
Does any of the equipment belong to the Prime or another contractor?    
DBE owns and operates trucks on hauling contracts    
Have any employees of Primes or Subs made any complaints such as incorrect wages, sexual or racial harassment or other? If yes, provide name of employee, who they work for and brief description of the complaint: _______________________________________________ _______________________________________________    
Bulletin Board - The following are posted in an accessible location and are clear and legible. Reference http://www.fhwa.dot.gov/programadmin/contracts/poster.cfm
_____OFCCP1420 (EEO-1) EEO Is THE Law
_____Form WH-1420 - Your Rights Under Family and Medical Leave(only applicable when a company employs more than 50 employees and more than 50 employees are working within 75 miles of the project site)
_____Form FHWA -1495 - Wage Rate Information
_____Form FHWA -1022 - False Statements
_____US-DOL Wage Decision
_____Form OSHA - 3165 - Job Safety & Health It's The Law
_____Form WH - 1462 - Notice Employee Polygraph Protection Act
_____Others as appropriate
 

Comments:

QUALITY ASSURANCE CHECKLIST

The FHWA Risk Management Plan identifies the major risk areas in implementing the American Recovery and Reinvestment Act of 2009 (Recovery Act). For the consideration of the Division Offices, example checklists have been developed for use in "visible monitoring" efforts. The Quality Assurance Checklist provides inspection guidelines in regard to materials testing/acceptance and project inspection.

PROJECT DATA
Date  
Federal Project Number  
State Project Number  
Project Name/Route Number, Section and Mileposts  
County  
Project Description  
Percent Work Complete  
Percent Time Elapsed  
Original Contract Completion Date  
Current Contract Completion Date  
Award Amount  
Current Contract Estimate  

GENERAL REFERENCES

Regulations and Guidance

23 CFR 630 Subpart J - Work Zone Safety and Mobility 23 CFR 635.105 - Supervising Agency 23 CFR 637 - Construction Inspection and Approval 29 CFR 1926 - Safety and Health Regulations for Construction

Construction Program Management and Inspection Guide

http://www.fhwa.dot.gov/construction/cpmi04tc.cfm

Questions and Answers on 23 CFR 637

http://www.fhwa.dot.gov/pavement/materials/qanda637.cfm

Federal-Aid Policy Guide, NS 23 CFR 637B, transmittal #36, published July 19, 2006.

http://www.fhwa.dot.gov/legsregs/directives/fapg/0637bsup.htm

Technical Advisory T 6120.3 Use of Contractor Test Results in the Acceptance Decision, Recommended Quality Measures, and the Identification of Contractor/Department Risks, published on August 9, 2004.

http://www.fhwa.dot.gov/legsregs/directives/techadvs/t61203.htm

Quality Assurance Stewardship Review - Summary Report for Fiscal Years 2003 through 2006

http://www.fhwa.dot.gov/pavement/materials/stewardreview2007.cfm

STAFFING
Reference Item Yes No N/A
635.105Full time State Engineer in responsible charge of the construction work   
635.105Staffing is adequate   
Field staff has all equipment required to perform necessary inspections and materials tests   
637.209Material testers are certified   

Comments:

WORKMANSHIP
Reference ItemYesNoN/A
637.207 Quality control plan has been prepared for the project   
637.207 Contractor is undertaking processes included in approved QC plan   
637.209 Personnel performing inspection work are qualified per the approved qualification program, or otherwise suitably experienced to perform successfully   
637.207 State is conducting sampling and testing to verify contractor data as defined in the state quality assurance program.   
637.209 Testing to accept materials are conducted in a certified laboratory as required in the state's quality assurance program.   
    
Environmental
Erosion and sediment control devices are installed properly and are well maintained   
Contract specific environmental requirements are in compliance   
Inspections are conducted in accordance with contract requirements   
Environmental permits are available onsite   
    
Earthwork
Fill placement complies with contract requirements   
Compaction test results are satisfactory   
Sampling and testing (frequency/location) are conducted in accordance with contract requirements   
Structures
Pile Driving records are on file (including welder certifications and procedures)   
Placement, tying, and cover of reinforcing steel comply with contract requirements   
Bolt certifications are on file along with test results   
Curing process complies with specifications   
Sampling and testing (frequency/location) are conducted in accordance with contract requirements   
Asphalt
Base is in good condition   
Mix is delivered at proper temperature   
Tacking complies with specifications   
Mix is spread properly (thickness, crown, joints, uniform texture, continuous operation of paver)   
Proper density is being obtained   
Ride quality is in conformance with specifications   
Sampling and testing (frequency/location) are conducted in accordance with contract requirements   
    
PCC
Mix spread to correct thickness   
Curing and tining applied in timely manner   
Dowel baskets properly installed   
Ride quality is in conformance with specifications   
Sampling and testing (frequency/location) are conducted in accordance with contract requirements   
Work Zone
Traffic control devices installed in accordance with Traffic Control Plan   
Traffic control devices are clean and well maintained   
Travel way is well delineated   
Work zone inspections are completed in accordance with contract requirements   
    

Comments:

DOCUMENTATION AND RECORD KEEPING
Reference Item Yes No N/A
635.123Project field records adequately maintained to quantities submitted for payment   
Inspector Daily Reports and Project Diary adequately support work progress, time charges etc.   
Contract change documentation is adequately maintained   
Acceptance sampling and testing reports are on file   
Materials sampling and testing conducted as required   
Failed tests are documented with cross-references to re-tests   
Materials Certifications are on file   
Buy America requirements included on invoices and certifications for all iron and steel products   
Approved mix designs are on file   
Trial batch results are properly identified and acceptable   
    

Comments:

CONTRACT ADMINISTRATION CHECKLIST

The FHWA Risk Management Plan identifies the major risk areas in implementing the American Recovery and Reinvestment Act of 2009 (Recovery Act). For the consideration of the Division Offices, example checklists have been developed for use in "visible monitoring" efforts. The Contract Administration Checklist focuses on the risks in procurement, bidding, and management of contract changes.

PROJECT DATA
Federal Project Number:  
State Project Number:  
Project Name/Route Number and Section  
County:  
Project Description  
Authorization Date  
Advertisement Date  
Letting Date:  

GENERAL REFERENCES

Regulation, Policy, and Guidance

23 CFR 635 A, B, C & D -- Construction and Maintenance Headquarters memorandum dated July 12, 1963, Subject: Participation in Engineering Errors

http://www.fhwa.dot.gov/programadmin/contracts/071263.cfm

Headquarters memorandum dated September 8, 1978, Subject: Participation in the Cost of Corrective Work Resulting from Construction Engineering Errors

http://www.fhwa.dot.gov/programadmin/contracts/090878.cfm

FHWA Policy Letter dated November 15, 1996

http://www.fhwa.dot.gov/programadmin/contracts/111596.cfm

FHWA Policy Memo dated September 18, 1990

http://www.fhwa.dot.gov/programadmin/contracts/091890.cfm

Contract Administration Core Curriculum Participant's Manual and Reference Guide

http://www.fhwa.dot.gov/programadmin/contracts/coretoc.cfm

Guidelines on Preparing Engineer's Estimate, Bid Reviews and Evaluation

http://www.fhwa.dot.gov/programadmin/contracts/ta508046.cfm

BID INFORMATION
Engineer's Estimate:  
Low Bid:  
Percent over/under Engineer's Estimate:  
High Bid:  
Number of Bids:  
Number of Competitive Bids: (A competitive bid is a bid within 20% of the low bid)  
BID ANALYSIS
Reference Guidelines on Preparing Engineer's Estimate, Bid Reviews and Evaluation
http://www.fhwa.dot.gov/programadmin/contracts/ta508046.cfm
Reference ItemYesNoN/A
635.112 PS&E was approved and project authorized prior to advertisement   
635.112 Project advertised for at least 3 weeks   
Competition adequate see table below    
635.114 Unit prices do not differ significantly from the estimate   
Unit prices do not differ significantly from other bidders   
Unit prices do not differ significantly from similar projects in the same letting?   
635.114 No significant mathematical unbalancing of the bids   
635.114 No material unbalancing of the bids   
No errors in the engineer's estimate   
No problems with the bid documents identified   
Bidders acknowledged receipt of all addenda   
49 CFR 29 Apparent low bidder not suspended or debarred (General Services Administration's Excluded Parties Listing System - http://epls.arnet.gov/)    
No issues with the identity/geography of the bidders   
49 CFR 26 DBE participation meets the DBE goal   
Conditional items of authorization adequately addressed   
Low bidder considered responsive   
Deferral contrary to the public interest   
Potential for savings, if the project is re-advertised   
635.114 Project will be awarded to the low bidder   

Comments: Assessing Competition (This table can be used as a guideline for assessing competition)

Number of competitive bids * (*Range = low bid + 20 percent) Competition May be considered adequate when low bid does not exceed **
5 120 percent of engineer's estimate
4115 percent of engineer's estimate
3110 percent of engineer's estimate
2105 percent of engineer's estimate
1The engineer's estimate

-- NOTE -

The State transportation agency's (STA) bid information contains agency Engineer's Estimate, which may be CONFIDENTIAL! The responsible FHWA transportation engineer will not discuss the details of the estimate with anyone other than the FHWA or State contact.

CONTRACT CHANGES
Reference Item Yes No N/A
635.120Major change in plans or contract provisions or major extra work   
635.120Use of force account procedures necessary   
635.120Scope clearly defined   
635.120Need adequately justified   
635.120Independent cost estimate developed   
635.120Costs adequately justified   
635.120Contract modification executed in a timely manner   
635.120Appropriate approvals documented   
635.120Change in contract time submitted at the same time as the contract change or extra work   
635.121Contract time extension fully justified and adequately documented   

Comments:

Contact

Firas Ibrahim
Office of Program Administration
202-366-1564
E-mail Firas

 
 
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Updated: 04/29/2013
 

FHWA
United States Department of Transportation - Federal Highway Administration