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NYSDOT/FHWA Three (3) Year Pilot Program
SEP 14, Job Order Contracts for Bridge Maintenance

Two (2) Year Summary, December 2008 to December 2010

Background

In November 2007, the NYSDOT sought approval from the FHWA to use Federal funding for a non-determinate quantity, non-determinate location type contract for maintenance activities through the Federal "Alternative Contracting" SEP-14 program. A three year pilot program to contract element-level bridge maintenance activities using the Job Order Contracting (JOC) was approved on December, 2007. Bridge maintenance was chosen because NYSDOT was already approved to use federal funding for element level bridge repair and revised funding legislation all Highway Bridge Program money to be used for maintenance repairs.

The first federal-aid JOC was awarded on December 4, 2008, signaling the beginning of the three year pilot. The following is a summary of contract progress through the second year of this pilot program (12/2008 to 12/2010).

Timetable: December 2008 to December 2010

The summary is broken down by NYSDOT Region. It is important to note that throughout the majority of the period between June 2009 and April 2010, NYSDOT was engaged in extensive discussions with the Office of the New York State Comptroller regarding the use and administration of all NYSDOT JOC contracts. These discussions lead to the development of a guidance document regarding the planning, awarding, and construction management of these contracts. The document is entitled the JOC User's Guide (JUG). (The JUG is attached as Appendix I (.pdf, 0.5 mb)).

Region 1, Schenectady. No Federal Aid Bridge JOC contracts have been let to date. The Region was planning on letting at least one, and possibly two, Fed Aid Bridge JOC's within the Region. The plan involved letting one contract specifically for the "Empire State Plaza Expressway" area in Downtown Albany, and letting another contract to cover either the remainder of Albany County or the Region. The Region's plan was not progressed because it would contradict the agreement to avoid overlapping project limits for the same type of work as there was a current JOC contract in place covering the entire Region.

Region 2, Utica. No Federal Aid Bridge JOC contracts have been let to date.

Region 3, Syracuse. Contract D261205, PIN 3M09.04. The project was let on 6/18/2009 and was awarded to Crane Hogan Structural Contractors on 10/20/2009 for $1,907,100.00. The current completion date is 8/20/2011. This is an ARRA (American Recovery and Reinvestment Act of 2009) contract. Contractor's bid/awarded adjustment factors = 1.129 for Item 21636.01 (% Job Order Contracting, Normal Working Hours) and 1.150 for Item 21636.02 (% Job Order Contracting, Other Than Normal Working Hours). Due to the in the award no work was performed on this contract during the 2009 construction season. In the spring of 2010, the contractor performed work on pedestal and substructure, removal and replacement of bearings, deck joint replacements and deck repairs. Work was performed at two structures (BIN's 1015770, Route 20 over I81 in the Town of Lafayette and 1031660, Ramp to I81 and I90/I81 in the Town of Salina, Onondaga County). Thrie Beam bridge rail work began in November 2010 at BIN 1034450 (State Route 90/ I90, Town of Montezuma). Additional work in various planning stages pedestal and substructure repairs, new bearing installation and joint work at BINs 1051081 and 1051082 (I690/ CSX & Pearl St., Syracuse) and also at BIN 1064679 (Thompson Road/CSX & Pearl Street, Syracuse). Seven job orders were issued to-date totaling $694,283.50 or an average of $115,713.92 per job order.

Region 4, Rochester. No Federal Aid Bridge JOC contracts have been let to date.

Region 5, Buffalo. The Region progressed a Region-wide Federal aid Bridge JOC to the point where it had been received in DOT Main Office (D261285; PIN 5810.73). The contract was proposed as an ARRA funded project. This contract was eventually removed from consideration for use of ARRA funds (no employment or utilization goals in a typical JOC contract). The Region then proceeded with this contract using state funds, but eventually withdrew the contract completely on October 1, 2009. The Region has not pursued a new Federal Aid Bridge JOC.

Region 6, Hornell. Contract D260961, PIN 6JOB.08. This is the first Federal aid Bridge JOC in NYS. The project was let on 12/4/2008 and awarded to the L.C. Whitford Co. on 1/27/2009 for $1,542,297.62. The original completion date was 1/18/2010. The current completion date is 1/18/2011. No additional funds have been requested to date. The contractor's bid/awarded adjustment factors are 1.13for Item 21636.01, and 1.13for Item 21636.02. Work performed through 12/09 on this contract included pedestal modifications and installation of new elastomeric bearings on BINs 1062131 and 1062132 (I86 over Five Mile Creek) and BINs 1061431 and 1061432 (I86 over Babcock Hollow Road). Also, steel and concrete repairs were being performed on BIN 4048050, Route 414 over the Seneca Canal in Watkins Glen, NY. Work performed during the 2010 construction season included approach slab repairs at BIN 1048090 (Route 414/Breakneck Creek, Valois), concrete substructure repairs at BIN 1023559 (Route 36/Loder Street in Hornell) and BIN 1061320 (Route 961A/NS RR in Chemung), pier substructure work at BIN 1012739 (Route 352/I86 in Corning) and scour protection at BIN 1015320 (Route 19A/Wiscoy Creek in Rossburg) and 1043240 (Route 248/Sugar Creek in Canisteo). Nine job orders have been issued to-date totaling $1,358,346.72 for an average of $150,927.41 per job order. The contractor has been paid $1,152,688.94 to date (through 12/1/2010) for work performed on this contract.

Region 7, Watertown. Contract D261152, PIN 7804.76. Letting date 5/21/2009. The contract was awarded to Tuscarora Construction on 8/12/2009 for $2,007,000. Original completion date was 7/31/2010, current completion date is 7/31/2011. This is an ARRA contract. Contractors bid/awarded adjustment factors are 1.21for Item 21636.01 and 1.28for Item 21636.02. No work was performed on this contract during the 2009 construction season. Work performed during the 2010 construction season included milling, membrane and paving work at eight (8) structures (BIN 1034930, Route 95/Farrington Brook, Moira; BINs 1032241 and 1032242, I81 NB & SB over County Route 15; BIN 1008700, Route 11/CSX RR; BIN 1027250, Route 56/Racquette River, South Colton; BIN 1027260, Route 56/Racquette River, Colton; BIN 1027270, Route 56/Racquette River, Hannawa Falls; and BIN 1027300, Route 345/Trout Brook). Fascia repairs were performed at BIN's 1032081 and 1032082, I81 NB & SB/Route178 in Jefferson County. Possible future work includes fascia repairs at BINs 1032031, 1032032, 1032071, and 1032072. Nine job orders have been issued to-date totaling $1,400,094.80 for an average of $155,566.09 per job order.

Region 8, Poughkeepsie. No Federal Aid Bridge JOC contracts have been let to date.

Region 9, Binghamton. Bridge JOC (Tioga Co). Contract D261063, PIN 9805.53. The project was let 3/5/2009 and awarded to C.P. Ward on 3/26/2009 for $1,006,594.21. The Final completion date was 4/20/2010, and the contract was accepted by the NYSDOT on 7/15/2010. No additional funds were requested for this contract as the project limits overlapped with contract D261160 (Bridge JOC Broome, Chenango, & Tioga Counties). The contractor's bid/awarded Adjustment factors were 1.16 for both Items 21636.01 and 21636.02. As of December 1, 2010 a total of $894,794.77 has been paid on this contract. Work has involved nine (9) structures (BINs 1023170, 1023180, 1061481, 1061482, 1061511, 1061512, 1077570, 1054720, and 1090200). The type of work performed includes the installation of new deck joints and wearing surface, Class D substructure and fascia repairs, steel repairs, and approach slab replacement. Six job orders have been issued to-date totaling $894,794.74 for an average of $149,132.46 per job order.

Region 9, Binghamton. Bridge JOC (Broome, Chenango, & Tioga Co). Contract D261160, PIN 9805.66 was let 5/21/2009 and awarded to R. DeVincentis and Sons on 8/12/2009 for $990,974.65. The current completion date is 10/20/2010. NYSDOT and the contractor agreed to execute the option to extend the contract another year, but the Order on Contract was retracted as discussions with OSC prolonged. This is an ARRA contract. The contractor's bid/awarded Adjustment Factors are 1.142 for both Items 21636.01 and 21636.02. Work has included red flag culvert repairs, steel repairs, gusset plate repairs, and scour repair. Nine (9) different structures have been repaired, including BINs 1095360, 103118A, 1031181, and 1003620. Nine job orders have been issued to-date totaling $975,213.34 for an average of $108,357.04 per job order.

Region 9, Binghamton. Bridge JOC (Otsego, Delaware, Sullivan, & Schoharie Co). Contract D261161, PIN 9805.67 was let on 5/21/2009 and awarded to R. DeVincentis and Sons on 8/12/2009 for $968,413.05. The current completion date is 10/20/2010. NYSDOT and the contractor agreed to execute the option to extend the contract another year, but the Order on Contract was retracted as discussions with OSC prolonged. This is an ARRA contract. The contractor's bid/awarded Adjustment Factors are 1.116 for both Items 21636.01 and 21636.02. Work has included structural flag repairs, red flag repairs, deck repairs and rehab. Ten (10) structures have been repaired, including BINs 1020760, 1019800, C940045, 1026520, and 1020850. Ten job orders have been issued to-date totaling $1,015,153.25 for an average of $101,515.32 per job order.

Region 10, Hauppauge. No Federal Aid Bridge JOC contracts have been let to date.

Region 11, New York City. No Federal Aid Bridge JOC contracts have been let to date.

Additional JOC Remarks

The Office of the State Comptroller (OSC) raised concerns with NYSDOT's administration and management of Job Order Contracting. The OSC expressed concerns to the Department regarding several issues with JOC contracts, including letting contracts with similar scope and project limits with overlapping time frames; payment of Engineers Field Offices and associated items such as office supplies and cell phones through these contracts; and the depth and type of guidance Regions are receiving to administer and manage these contracts. Discussions between OSC and NYSDOT occurred in the period between June 2009 and April 2010. OSC requested the Department to provide specific guidelines for the design, scoping, and administration of JOC contracts. During the development and acceptance of this guidance document, the administrative processing of JOC contracts was deferred. In April 2010, OSC approved the Department's "JOC User's Guide" (Attachment I) and the processing of JOC contracts resumed. All JOC contracts comply with the standard contracting requirements and those specified in the JUG.

Discussion on Funding Options: Though Regional planners have the opportunity to use federal aid to fund JOC contracts for bridges during the first two years of the pilot period, thirteen bridge JOCs were or are scheduled to be let using state dedicated funding (SDF), totaling $13.82M instead. The requirement to place the contract on the STIP coupled with the frequent changes in the capital program leads program managers to the use of SDF for maintenance contracting. In addition, contract language in FHWA pilot JOC contracts differs from that in the SDF contracts. In particular, contracts within the pilot are limited to one extension, whereas three extensions are allowable in SDF contracts.

Discussion on Work Selection: Fifty one job orders totaling $6.43M were issued through the end of December 2010. The average job order issued is for $126,114. A descriptive title for each of the job orders is attached (Attachment II). A review of the description given to each of the projects indicates work ordered is consistent with federal-aid eligibility requirements.

Two of the contracts include a job order for a stand-by readiness item requiring the contractor to be prepared to respond to emergencies. The standby readiness item has been removed from all Construction Task Catalogs as of January 3rd, 2011 because of concerns raised by the Office of the State Comptroller.

Descriptions for three job orders warranted additional review. In Region 6 (D260961) the contractor was ordered to repair a waterline (Belmont Waterline Repair) on a recently completed bridge. The approved job order for $51,795.92 was issued on November 1st, 2010. In Region 9 (D261161) the contractor was ordered to perform concrete and deck repairs on a culvert (C940045) in response to a safety flag issued by the inspector. The approved job order for $46,979.08 was issued on October 23rd, 2009. A second culvert repair was ordered under contract D261063 (Route 34 Culvert Invert Paving) for the repair of the invert. The approved job order for $61,782.38 was issued on April 22, 2009. The three job orders amount to $160,557.38 or 2.5% of the total job order amount. Continuation of the program would require additional guidance on eligible job orders under the FHWA agreement for eligible element-level bridge projects.

The standby readiness item has been removed from all CTCs as of January 3rd, 2011. The item may be reestablished in SDF contracts with an approved revision of the specification by the Office of the State Comptroller.

Specific Items of Interest:

Can JOC contracts help the Department meet the forecasted bridge preservation needs?

Bridge preservation includes cyclical maintenance actions and minor repairs. JOC is not the appropriate delivery vehicle for cyclical maintenance actions (washing, sealing, lubricating bearings). JOC does provide a vehicle to attend to minor repairs in a timely manner. The traditional contracting process does not provide the flexibility to respond to the needs of an aging asset.

Is the contracting community willing to accept the JOC format?

Four bids were submitted on three of the six federal-aid bridge JOCs . One had three bidders, two bids were given for the last two. One contractor that had not had any work with NYSDOT submitted a bid for two contracts in Region 9.

What changes in contract language would be necessary to meet Federal Title 23 requirements?

JOC contracts contain the same Federal Title 23 requirements that all NYSDOT contracts contain.

What affect will these changes have in the administration of JOC contracts?
Will the changes impact the JOC process?

No affect, therefore no impact on the JOC process.

What other transportation activities could be effectively contracted through JOC?

NYSDOT has let JOCs for highway, drainage, and overhead sign repairs. There has been some preliminary discussion on the possibility of scoping an element level highway repair JOC that meets federal aid requirements. One other is for traffic control services that would allow bridge inspectors access to the structure and maintenance personnel to perform federal aid eligible element level work.

Can JOC contracts be scoped to meet Federal-aid requirements for additional assets?

Yes. This would require additional guidance for the JOC administrators ordering the work.

Can JOC be used for federally-eligible highway preservation and maintenance projects?

Yes. See above.

How best can Federal requirements such as Buy America, Changed Condition clauses, Davis-Bacon wage rates, and MWBE participation be met?

Buy America requirements are listed in 106-11 - Buy America in the NYSDOT Standard Specifications. A standard note in contracts requires that all work performed is to be covered by and in conformity with the Standard Specifications.

The Standard Specifications include Changed Condition clauses. Work in a JOC contract is issued through work orders. In the event differing site conditions are encountered or a significant change in the quantity for an item of work is discovered, a subsequent job order is created. The practice can be seen in the list of job orders listed (Appendix I). No Disputed Work notices have been filed to-date.

Davis-Bacon requirements are administered in keeping with the Department's Manual of Uniform Record Keeping (MURK).

JOC contracts do not contain MWBE participation goals. This follows Department guidelines for maintenance contracts valued at $1M or less. The indeterminate location/ indeterminate quantity nature of JOC contracts make it difficult to identify and pre-approve subcontracted work. Further, the size of the contracts may allow M/WBE participation as prime contractors.

Evaluation and Measures

Staffing requirements for the oversight and administration of the JOC contracts.

JOC requires an administrator to prepare and prioritize requested projects. This is typically a staff person from the Operations Division. Staffing for the administration of the contract is similar to traditional contracts. In most cases an EIC and an inspector are assigned to the contract.

Is the contractor able and willing to prepare job order proposals in a timely manner?

Contractors are able to prepare job orders in a timely manner. Initially a few contractor superintendants were slow to respond to the State's request for a proposal. Once they became comfortable with the pricing in the Construction Task Catalog, the turnaround time improved.

Is the Construction Task Catalog (CTC) thorough? Are the necessary items and quantities in the book?

The consultant continues to improve the CTC. Although the catalog is extensive, a few items needed to be added or broken down further. During the reporting period the item for form and pour concrete repairs was modified to include fascia repairs and bridge access equipment items were tailored to include over-the-rail scaffolding. These items were included in CTCs of subsequent JOC contracts.

Were additional items added to the Construction Task Catalog? Was the allowable mutually agreed upon extension requested for any of the Federal aid contracts?

New items were not added to the CTC of existing federal aid JOCs. (This has been done on state funded contracts.) As of this time, none of the federal aid contracts were extended. (Many state dedicated funded contracts have been extended.)

Can the benefits of the JOC contracting mechanism be quantified? What can be measured?

The commonly voiced benefit of JOC is the ability to respond to a variety of needs. A limited cost comparison is included in the two year review.

Has all work performed meet the limits of programmatic categorical exclusion? Have the procedures listed in the Environmental Handbook for Transportation Operations been followed?

Each of the job orders is reviewed by the Department's Maintenance Environmental Coordinator and the Construction Environmental Coordinatorprior to directing the contractor to perform the work.

What are the limitations of JOC versus state forces work? How does JOC compare to traditional contracting methods used for preservation and preservation and maintenance work?

State forces are limited by personnel and equipment. Traditional contracting requires considerably more administration effort to accommodate discoveries in the field. For instance, overruns for concrete removal and repair are common in maintenance. Changes in contract quantities are handled by a subsequent job order whereas adjustments in traditional contracts may require agreed price negotiations or force account records.

How can cost savings and/or time savings be determined?

Project costs for similar work using traditional contracting means, force account records, and JOC. The trick is finding comparable work.

Time frames, from the identification of the need to the resolution of the problem, using various contracting methods for comparable projects has not been done.

How does the quality of the work compare to that done by state forces or traditional contracting methods?

The quality of work done by JOC contractors is equal to that of state forces efforts and other contracting methods.

Cost Comparisons

The Department is continually performing price analyses of work performed on various contracts to determine the most cost effective means of getting work done. An initial comparison has been performed on yellow flag steel repairs of bridge girder ends. A comparison was made using an Emergency Standby Readiness contract (Force Account work) and JOC job order involving similar work. Although it is difficult to compare "apples to apples" when comparing any construction contracts, this initial comparison indicates that work performed through the JOC contract is substantially less costly than a Where and When contract. See details below:

New Stiffeners at Girder Ends Taconic State Parkway over Route 100
New Stiffeners at Girder Ends Taconic State Parkway over Route 100
New Stiffeners at Girder Ends Route 17 (I86) over County Route 17
New Stiffeners at Girder Ends Route 17 (I86) over County Route 17

Contract D260524, Emergency Standby Bridge Repair Contract in Region 8. The work entailed the installation of new stiffeners at the bridge girder ends. The location was at the Taconic State Parkway over Route 100. The contractor installed new stiffeners at 16 girder end locations for a total cost of $121,816.00. Therefore, a breakdown by each location is $121,816/16 = $7,613.50 per location. This price includes all labor, materials, and equipment necessary to perform the work (mobilization, work zone traffic control, site access, surface prep, painting, final cleanup, etc...).

Contract D260535, Region 9 (Binghamton) Contract D260535 in Region 9 - Bridge Job Order Contract Delaware, Otsego, Schoharie, and Sullivan Counties. One of the Job Orders completed through this contract was the installation of new bearing stiffeners at the bearing ends on BIN 1063421, Route 17 WB over County Route 17. The contractor installed new stiffeners at 6 girder end locations for a total cost of $27,355.49. Therefore, a breakdown per location = $27,355.49/6 = $4,559.25 per location. This price includes all labor, materials, and equipment necessary to complete the work.

Objectives for the Use of Job Order Contracting

The main objective for a Job Order Contract (JOC) is to enable the New York State Department of Transportation (NYSDOT) to augment maintenance activities performed by State forces. A JOC provides a flexible, non-specified quantity, non-specified location(s) contract, suitable for identified maintenance needs within the scope of the contract. In reference to the non-specified quantity, non-specified location aspect, the Department has identified some projects it would like to perform with this contract before the contract is advertised, but this information is not shared with the Contractor at the time of the letting. Additional projects are identified as possible JOC projects during the course of the contract. The Department is responsible for maintaining an ever expanding transportation system while undergoing significant reductions in the resources available to perform cyclical, preventive, element specific replacement in kind and unscheduled maintenance activities. Additional resources that can be called upon to perform the necessary maintenance activities identified below, in a timely manner, are necessary to maintain the existing system at an acceptable level of service to the traveling public. A JOC allows NYSDOT maintenance managers the flexibility to deploy both State and contracted resources to perform a variety of maintenance activities. Currently, the Federal and State Job Order Contracting contracts are a pilot program for the NYSDOT. The pilot program is scheduled to end on 12/3/2011. Any decision by the OSC to agree to its permanency will be made only upon receipt, analysis, and acceptance, by OSC, of a report, to be produced by the DOT, in concurrence with the Federal report that demonstrates if the anticipated benefits of the JOC Pilot Program have been achieved.

Design

JOC types (scopes of work) are limited to Bridge, Highway, Overhead Sign Structures, Culverts, and Combined. They will be used when other existing DOT contracts are not practical or cost beneficial. No additional types will be allowed without prior approval from OSC.

Highway Maintenance - work on highways or appurtenances (ex. paving, drainage, guide rail, signs). Highway maintenance work includes maintaining the traveled lanes, shoulders, drainage structures and drainage surfaces, guiderail, safety hardware (for example signs or impact attenuators) and other appurtenances within the ROW.

Bridge Maintenance - work on bridges (ex. maintenance, cleaning, repair, element specific replacement in kind). Maintenance work is defined as actions that deter or correct deterioration of a bridge asset to extend its useful (service) life; it does not entail structural or operational improvement of an existing bridge beyond its originally designed strength or capacity. Element specific replacement refers to, for example, replacement of all of the bridge joints on a bridge or bridges. A JOC will not be used to construct complete replacements of existing structures.

Overhead Sign Structures - work on sign structures over highways. The work will be performed to address structural condition flags which have been issued on these types of structures based on the Department's inspection program.

Culvert Maintenance - work on culverts under or along a highway. A culvert is a structure with a span up to 20 feet (over 20 feet is considered a bridge).

Combined -includes any combination of the above. (This type will not be allowed if it includes any of the types above that are included in a current JOC contract for the county/region unless prior approval is granted by OSC).

The DOT will limit the JOC's to one per county or Region per type. The smallest jurisdictional (project limits) area of a JOC contract will be the County level. This will allow the Regions to meet the needs of the infrastructure without overlapping project limits. For replacement (new contract with the same scope) JOCs, there may be some overlap during the letting and award process, but new job orders cannot be issued through the current JOC once the replacement JOC has been awarded.

Initial Project Proposal (IPP) Include the Main Office - Office of Transportation Maintenance on all correspondence relating to JOC projects. Of particular importance is the Regional IPP/FDR Approval memo which the designer sends out once Regional approval of the IPP/FDR (Design Approval) has been received. The Office of Transportation Maintenance thereupon will notify the consultant to begin to prepare the Construction Task Catalog (CTC).

The Construction Task Catalog is developed by and provided to the NYSDOT by The Gordian Group. The Construction Task Catalog (CTC) is a location specific document which contains a series of work items with preset unit prices. Each task in the CTC contains a description, unit of measurement, and a unit price. Each unit price contains locally developed direct costs for material, labor, and equipment. The CTC follows the 16 Divisions of Construction format of Construction Specifications Institute (CSI). The CSI is a nationally recognized organization that maintains and advances the standardization of construction language as pertains to building specifications. The CTC Items have also been modified to reflect heavy/highway work such as the NYSDOT performs. The prices in the CTC should be used as the basis for the contractor to bid contract adjustment factors.

As mentioned, upon receipt of an approved IPP/FDR from the Region, the Main Office, Office of Transportation Maintenance, will notify the Job Order Contracting consultant The Gordian Group regarding the proposed contract. The consultant will be informed of the Region, the PIN number, the proposed scoping and the PS&E (Plans, Specifications, and Estimate) due date.

Each contract has a unique Construction Task Catalog (CTC). The CTC is prepared by the Gordian Group in the time between notification by the Department (receipt of the IPP/FDR) and the PS&E due date. Draft copies of the CTC are forwarded to the Region for review prior to final publication. The CTC is applicable for the life of the contract.

Funding and Duration

State Funded JOCS

All types of JOC contracts are eligible for State funds.

The base term is one year, with the completion date being one year (365 days) from the date the contract is awarded (approved) by the New York State Office of the State Comptroller (NYS OSC). The contract proposal will be published to indicate this one year completion date. There are 3 separate one year bilateral (mutually agreed upon) option periods, called terms. Both the NYSDOT and the Contractor must mutually agree to extend the contract into the next term. An additional term cannot be entered into until the current term has completed its complete 12 month lifespan. The initial contract value of all state-funded JOCs is capped at $1.2 Million. There are 3 separate bilateral (mutually agreed upon) increases in funding, called fund replenishment. Both the NYSDOT and the Contractor must mutually agree to extend the contract by fund replenishment. Again, no contract replenishment will be approved until the current contract term has exhausted its complete 12 month lifespan.

The contract cannot extend beyond 4 years from the date of award, or four times (4 x) the original contract value ($4.8 Million), whichever comes first.

Federal Aid Bridge JOCS, 3 Year Pilot Program

NYSDOT was given approval from the FHWA to use Federal Aid on Bridge JOCs on December 21, 2007 (12/21/07) under Special Experimental Project 14 (SEP 14), Innovative Contracting Practices pilot. The original approval was modified in February, 2009. The duration of the SEP 14 pilot project is 3 years, beginning on 12/4/2008 (the letting date of the first FA Bridge JOC) and ending on 12/4/2011. As of April 2010 the Department has awarded four (4) ARRA funded Bridge JOC contracts. The Department has elected not to use ARRA funding for JOCs in the future.

The initial contract value of Federal Aid Bridge JOCs is capped at $1 Million for one year in Regions 1, 2, 3, 4, 5, 6, 7, and 9 (upstate Regions). Total contract value can be $2 Million in these upstate Regions (two years). The initial contract value of Federal Aid Bridge JOCs is capped at $2.5 Million for one year in Regions 8, 10, and 11 (Metro Regions), or a total value of $5 Million after two years.

Federally funded (FA) JOC contracts can be extended once during this pilot period. If the initial contract dollar value is exhausted prior to the end of the first term (first 12 month contract period), additional funds will not be approved until the 12 month term is expired.

LETTING

Naming Convention:It is very important to use consistent naming with all JOC contracts across the Department. All Job Order Contracts will use an appropriate contract description from the list below from the IPP to the final acceptance of construction:

Job Order Contract: Bridge Maintenance

Job Order Contract: Highway Maintenance

Job Order Contract: Overhead Sign Structures

Job Order Contract: Culvert Maintenance

Job Order Contract: Combined*.

*As noted earlier, Combined will not be allowed if an existing type mentioned above is an already approved JOC contract for the existing county/region unless prior approval is granted by OSC.

Typical Design Milestones
Bid Opening Date PS&E Deadline Special Spec Deadline Follow up ROW Cert. deadline Newspaper Ad Published Amendment Dead-line
6 Wk Ad 5 Wk Ad 4 Wk Ad 6 Wk Ad 5 Wk Ad 4 Wk Ad 6 Wk Ad 5 Wk Ad 4 Wk Ad 6 Wk Ad 5 Wk Ad 4 Wk Ad
April 1, 2010 Dec 17 Dec 24 Dec 31 Nov 19 Nov 25 Dec 3 Jan 27 Feb 3 Feb 10 Feb 17 Feb 24 Mar 3 March 3, 2010
Letting Date 15 Wks before letting 14 Wks before letting 13 Wks before letting 19 Wks before letting 18 Wks before letting 17 Wks before letting 9 Wks before letting 8 Wks before letting 7 Wks before letting 6 Wks before letting 5 Wks before letting 4 Wks before letting 4 Wks before letting

Advertisement: Design Quality Assurance Bureau (DQAB), the Project Letting and Management Bureau, and the Contracts Management Bureau work together to ensure that the project is properly advertised. As applicable, Project Letting and Management Bureau either authorizes advertisement or obtains FHWA's authorization to advertise. The naming (title) used in the advertisement shall be in accordance with the naming convention.

Pre-Bid Meeting: A pre-bid meeting is typically held at the Regional Office, 3 to 4 weeks prior to the letting date. The meeting is held to provide the prospective bidders with an overview of how a JOC contract with the Department works, as it is different from traditional construction contracts. The overview is provided by the Departments JOC consultant, with assistance from appropriate Department staff, including Regional and Main Office personnel.

Preconstruction Meeting: The Contractor, EIC, maintenance staff, and other interested parties involved in the contract meet to discuss the contract scope, work plan and schedule and review administrative procedures necessary to begin work. Potential job orders should be discussed and at least one job scope field review should be scheduled.

Contract Administration

All recordkeeping will be maintained in accordance with Manual for Uniform Recordkeeping (MURK), Part 1A Contract Administration Manual (CAM). In addition to the typical recordkeeping performed using CEES or Site Manager, contract management also includes using the consultant's web- based contract management program "PROGEN". An electronic version of the "PROGEN User's Guide" is available on line at www.egordian.com. Typically, the proposed candidates (work type and locations) are selected by Regional Maintenance staff, while the field construction is monitored by an Engineer in Charge (EIC) from the Regional Construction Group. Therefore, duringthe construction phase, a strong working relationshipbetween the Regional DOT Construction group and the Regional DOT Maintenance group is crucial to the success of the contract.

Job Orders

All Job Orders are to be consistent with the scope of work listed in the proposal.

Individual job orders are capped at $500,000. Approval to exceed this threshold must be obtained from the Office of the State Comptroller prior to ordering the work. Notice of this provision will be included in the contract proposal.

Individual Job Orders in excess of $150,000 where the aggregate Non Pre-priced task value is in excess of 10% of the Job Order value, the Non pre-priced task will require the prior approval of the OSC. All requests for this approval will be through the Main Office -Office of Transportation Maintenance, JOC Program Manager.

All job orders are to be reviewed for compliance to NEPA, SEPA, ROW, Railroad FA, Traffic control, permit requirements, etc.

Job Orders should not be issued if the Contractor cannot complete the work, including allowances for weather delays, by the contract completion date.

Field personnel managing Job Order Contracts will work out of State owned facilities whenever possible. However, if space in a State owned facility is not available, or if a majority of the proposed work is in a remote area, an Engineers Field Office may be necessary. If an Engineers Field Office is required for the contract, payment will be made as follows:

  • For an anticipated construction inspection staff of 1 to 3 employees, the office furnished shall meet the requirements of Standard Specification Item 637.11, Engineers Field Office- Type 1.
  • An Item is contained in the Construction Task Catalog to mirror this DOT Standard Specification.
  • Basic office supplies such as printer paper, pens, envelopes, etc. are to be supplied by the Regional office.
  • Cell phones and other personal communication devices are to be supplied by the Regional office.

Orders-on-Contract

Time Extensions.

Requests for a contract time extension must be submitted in an OOC. If the contract is to be extended for a new term, the EIC or Project Manager must include Form CONR 250 Application for Extension of Completion Date signed by the Contractor in the OOC, in accordance with the Contract Administration Manual (CAM). This OOC will be submitted to the OSC up to 30 days prior to the current completion date.

Fund Replenishment

Fund replenishment is done through an Order on Contract (OOC). The value of the OOC is limited to the original contract amount. Increasing the dollar value of the contract will be approved only after the current term has completed, i.e. you must complete the current 12 month period of the existing term before replenishing funds for the contract.

In order to achieve a smooth transition from one term to the next and not experience any gaps in the time available to perform work, the Department will submit OOC's to the OSC up to 30 days prior to the current completion date. This will allow the OSC sufficient time to review, and approve, the OOC and prevent any lost time toward actual field construction. This approval is based on the OSC receiving a complete OOC package.

Both contract time extensions and fund replenishments will be performed via an OOC. If both a time extension and fund replenishment are requested simultaneously, the Department will submit both requests to the OSC at the same time (OSC cannot approve fund replenishment without a time extension).

Bid Factor Adjustment

Allowable adjustments made to the Contractor's bid adjustment factors will be made through an OOC. These adjustments will be made at the written request of the Contractor, not more frequently than annually, on the contracts anniversary date. Adjustments will be calculated as stated in the Special Note, Job Order Contract, found in the contract proposal.

Job Order Tracking Report

All OOCs shall include a list of all Job Orders which have: (1) been completed, (2) are in progress, and (3) are planned to be performed during the extended period (this will not be an all inclusive or complete list). An easy way to document this information is by including a copy of the "Job Order Tracking by Status" report from PROGEN, or by including a copy of the "Job Order Tracking by Region" report from PROGEN. This report should be exported into Excel, and the other contracts should be deleted from the report.

Development of a Job Order:

Work needs are typically identified by Regional Maintenance staff. The EIC, in conjunction with the appropriate NYSDOT Maintenance staff, will investigate the work to be accomplished, the availability of the use of existing DOT non JOC related contracts (where practical or cost beneficial), the availability of information and documents concerning the site and the existing conditions (as built drawings), the availability of information and documents concerning the proposed work (drawings, sketches, etc...), and will review items to be discussed at the Joint Scope Meeting. Following this preliminary investigation, the EIC and the appropriate maintenance personnel will prepare a preliminary Scope of Work. The EIC will then schedule a Joint Scope Meeting with the Contractor and all other stakeholders. The EIC will send a Notice of Joint Scope Meeting to all invitees.

A. The Joint Scope Meeting is held on site of the proposed work. The EIC and the appropriate DOT Maintenance staff will explain the preliminary Scope of Work to the Contractor. During the Joint Scope Meeting, the following, at minimum, should be discussed: the overall intent of the work and the specific tasks to be performed; a duration for the construction in days and a possible start date; the hours of the day during which the work can be performed; access to the site and requirements for work zone traffic control; the presence or absence of any hazardous materials, and testing required for such hazardous materials; sketches, drawings, catalog cuts, shop drawings, technical data on materials, material samples, or other submittals which may be required; necessity of permits or special inspections; requirements for as- built drawings; whether liquidated damages will apply, and the due date for the Proposal. During the Joint Scope Meeting, NYSDOT personnel and the Contractor should take any necessary measurements of key project conditions. This will assist in developing and approving the Contractor's Price Proposal.

B. Detailed Scope of Work. Following the Joint Scope Meeting, the EIC and the NYSDOT Maintenance staff will prepare the Detailed Scope of Work. The Detailed Scope of Work may reference drawings, sketches, Standard Specifications, Standard Sheets, or other documents, and should also include any work zone traffic control requirements and/or reference to a standard MUTCD plan. The EIC will then forward the Detailed Scope of Work to the Contractor along with a Request for Proposal (RFP) which will set forth the date on which the Proposal is due and indicates whether Liquidated damages will apply.

C. Contractor's Proposal. Following the Joint Scope Meeting, and a Request for Proposal from the owner (NYSDOT), the Contractor will begin putting together a cost proposal for performing the work. The Contractor will use items and prices found in the Construction Task Catalog. Design, estimating, and coordination work in developing the project (developing the cost proposal for the Job Order) will be performed using the Departments JOC consultant's web-based software called "PROGEN". The consultant will provide assistance for both the NYSDOT and the Contractor in learning and familiarizing themselves with this program throughout the duration of the contract.

The Contractor's Proposal Package should include a Price Proposal (with cover sheet and back-up for all Non Pre-priced tasks) and a construction schedule expressed in number of days, not dates. The Contractor shall prepare, and be ready to provide to the NYSDOT, all back-up calculations, diagrams, etc. used to determine quantities included in the Price Proposal.

When a work task has been identified but a corresponding item is not available in the Construction Task Catalog, the proposed work will be developed using a Non Pre-priced task. The documentation supporting each Non Pre-priced task should include a cover sheet setting forth in detail the calculation appearing in the Special Note in the contract proposal and copies of all material and subcontractor quotes.

D. Owners proposal review. When the Contractor has developed an acceptable Proposal package, the Contractor will submit the Proposal Package to the EIC for review. The EIC and the appropriate NYSDOT Maintenance staff will review the Proposal, keeping in mind the following steps in the review process: review the Detailed Scope of Work and Standard Specifications, drawings, or other materials referenced therein; review the Contractor's proposed schedule; determine whether all necessary documents and information have been submitted; request any information which is missing. For each Pre-priced task (for which there is an Item in the CTC) the reviewer should consider the following when reviewing: is this task required?; is the task used the most appropriate task in the CTC for the work specified?; is the task part of another task?; are the quantity(ies) correct? (ask for calculations, conversions, sketches, etc... to clarify); has the Contractor used the correct Adjustment Factor in calculating the proposal?

For each Non Pre-priced task included in the Contractor's proposal, the reviewer should consider the following during review: is this task required? should the Contractor have used a Pre-priced task from the CTC? If not, then is there any task in the CTC that covers a portion of this item of work?; is the required back up provided, including the calculation from the Special Note and three independent quotes for material and subcontractor prices (which should be verified as independent); and has the Contractor used an Adjustment Factor of 1.0 for this Non Pre-priced task calculation.

Following this initial review of the Contractor's Proposal, the EIC should transmit comments to the Contractor with an explanation. The reviewer should not approve a task or quantity if he/she is not sure it is appropriate. All quantities should be verified in the field or from approved drawings.

E. Proposal Review Meeting. If the NYSDOT and the Contractor feel a Proposal Review Meeting is necessary, the DOT should follow these guidelines: before the meeting, the DOT should document clearly and specifically changes which have been made/suggested to the Contractor's original Proposal. The DOT should be knowledgeable of and ready to explain all requested changes to the Proposal. Also, prior to the meeting the EIC should forward a marked up copy of the Contractor's Proposal to the Contractor. This will make the Contractor aware of the proposed changes. During the proposal Review meeting, the DOT should be prepared to make changes to the Price Proposal and/or the Detailed Scope of Work. The Contractor should have his supporting documentation available and be prepared to explain the tasks he selected and calculations performed. If an agreement on specific tasks or quantities cannot be reached, a second site visit with all interested parties is suggested.

F. Issue Job Order: When the NYSDOT has reviewed the Contractor's Proposal and has determined that it is fair and reasonable compensation for the proposed work, then the DOT will issue a Job Order. Once an acceptable Proposal is received and accepted by the NYSDOT, the EIC, or the DOT's Project Manager, will approve the Price Proposal in PROGEN, schedule the start date for construction, enter the Job Order Issued date in PROGEN, and print out the approved Job Order. The EIC, or DOT's Project Manager, will obtain the required signatures for the Job Order and will forward a signed copy of the Job Order to the Contractor. The EIC, or Project Manager, should maintain at a minimum the following information in the files for each approved Job Order: copies of the Notice of Joint Scope Meeting, Detailed Scope of Work, Request for Proposal, Price Proposal with all back up, and the approved Job Order. As work progresses, it is crucial that the EIC or project Manager update the tracking dates in PROGEN with accurate information (construction start date, construction completion date, etc.)

No Job Orders will be issued if an OOC for additional funding is required and not approved. No Job Orders will be issued if a time extension is required to reasonably complete the work.

G. Perform Work: All work performed via Job Orders which are issued on a Job Order Contract shall conform to all NYSDOT Standard Specifications, Standard Sheets, etc. or as per specific information contained in the approved Job Order.

H. Supplemental Job Orders. If, after the Job Order is issued, the EIC or Project Manager determines that additional, extra, or changed work is or has been required in connection with the construction of the approved Job Order, a supplemental Job Order will be developed. This supplemental can be either a positive quantity or a negative quantity depending on the situation involved (extra work performed or work in the original approved Job Order which was not performed). The development and approval of the Supplemental Job Order will follow the same guidelines as used when developing the original Job Order (Detailed Scope of Work, submittal and review of Proposals, issuing a Supplemental Job Order, etc...). The original Job Order and Detailed Scope of Work, and all related documentation, shall not be modified and shall be retained in its original condition as part of the permanent Job Order File records.

I. Payments. Payments to the Contractor will be made at the completion of the work identified in each Job Order. Semi monthly or monthly payments will generally be made to the contractor in accordance with the provisions of Section 109-06 of the NYSDOT Standard Specifications.

Glossary

The following are definitions of key words, or phrases, used throughout the JOC process:

Adjustment Factor: is the competitively bid adjustment to the pre-set Unit Prices appearing in the Construction Task Catalog. There are two adjustment factors for each contract. One factor is to be applied to tasks performed during Normal Working Hours. The second adjustment factor is to be applied to tasks performed during Other Than Normal Working Hours (see Special Specification 21636.01 and 21636.02 for more info regarding Normal Working Hours and Other Than Normal Working Hours).

Construction Task Catalog: the unit price book containing all Pre-priced Tasks.

Detailed Scope of Work: is a document prepared by the EIC after the Joint Scope Meeting describing in detail the work the Contractor will perform in connection with a particular Job Order.

Job Order: is a document prepared by the EIC and issued to the Contractor authorizing the Contractor to proceed with the Detailed Scope of Work and setting forth the Job Order Price and the Job Order Completion Time.

Job Order Price: is the lump sum price appearing on the Job Order to be paid to the Contractor for completing the Detailed Scope of Work.

Job Order Completion Time: is the period of time, expressed in calendar days, set forth in the Job Order within which the Contractor must complete the Detailed Scope of Work.

Job Order File: is a file containing the documents generated as part of the Job Order development process.

Joint Scope Meeting: is a meeting held at the site of the proposed work during which the EIC, Contractor, and appropriate others review the proposed work and any other issues relating to the Job Order.

Non Pre-priced Task: is a construction task for which a pre-set price is not contained in the Construction Task Catalog.

Notice of Joint Scope Meeting: is a document prepared by the EIC and sent to the individuals invited to the Joint Scope Meeting.

Pre-priced Task: is a construction task for which a pre-set price is contained in the Construction Task Catalog.

Price Proposal: is a PROGEN generated document prepared by the Contractor containing the unit priced tasks required to accomplish the Detailed Scope of Work multiplied by the quantities multiplied by the appropriate Adjustment Factor.

PROGEN: is the internet based software developed by the Gordian Group and used by the Department to manage the development of Job Orders and to assist in the administration of the Job Order Contracts.

Project: the services and construction necessary to accomplish a specific and identified work requirement, of which a Job Order may be all or part. A Project may require multiple Job Orders.

Proposal Package: is all documents submitted by a Contractor in response to a Request for Proposal including: (1) Price Proposal and (2) construction schedule.

Request for Proposal (RFP): is a document prepared by the EIC and sent to the Contractor requesting the Contractor to prepare a Proposal Package for the Detailed Scope of Work.

References

NYSDOT Standard Specifications for Construction and Materials, May 1, 2008

NYSDOT Standard Sheets

The Gordian Group PROGEN Users Manual

Addendum

This section has been added to address areas of concern that the DOT and the OSC may have with existing JOC contracts.

In cases where the needs justify a second JOC of the same work type within similar or overlapping project limits, approval to overlap counties must be obtained from OSC prior to letting the contract. If there are multiple JOC's in the same region for the same type of work, the DOT will include language within the bid and resulting contract to explicitly state how work will be assigned among the multiple JOC contractors. DOT will submit draft language to the OSC within 45 days of the next letting of a JOC contract in the same region for the same type of work.

Federally funded JOCs with an initial contract value of more than $1 Million cannot have funds

replenished. An exception has been granted for contracts D261152 (R7) and D261205 (R3).

Again, this note is for existing contracts as of April, 2010.

Use of existing overlapping JOCs: use the JOC with the lower adjustment factor.


Appendix II - List of Job Orders
Reg Contract# Project Title Total
3 D261205 BIN 1015770 Furnish and Deliver Bearings $12,779.40
BIN 1015770 Bearing and Substructre Repair $98,553.56
BIN 1015770 Joint Replacement $57,271.21
BIN 1015770 Supplemental 1 
BIN 1031660 Furnish and Deliver Bearings $18,895.88
BIN 1031660 Bearing and Substructure Repair $159,608.60
BIN 1031660 Joint Replacement and Deck Repairs $176,457.75
BIN 1031660 Supplemental 1 
BIN1008400 Snow Fence $16,094.64
BIN 1051081 & BIN 1051082 Furnish and Deliver Bearings 
BIN 1051081 Bearing and Substructure Repairs 
BIN 1034450 Thrie Beam Bridge Rail $56,190.97
BIN 1051082 Bearing and Substructure Repair 
BIN 1064679 Furnish and Deliver Bearings $41,245.40
Total $637,097.41
6 D260961 BINS 1062131/2 1061431/2 Remove & Replace Bearings $310,756.11
Belmont Water Line Repair $51,735.92
BIN 1015320 - Heavy Stone Fill around Pier $10,596.50
BIN 1043240 Scour Repairs $10,410.86
BIN 1061320 concrete substructure repairs to both piers $132,914.30
BIN 4048050 Canal Bridge Superstructure Steel Repair & Concrete Repair $470,896.71
Concrete substructure repairs BIN 1023559 SR 36/Loder Street $271,788.44
Gibson Bridge Pier 3 Substructure Concrete Work BIN 1012739 $45,542.39
Remove Gravel Bar BIN 1048410 $99,361.30
Valois approach slab replacement BIN 1048090 $53,705.49
Total $1,457,708.02
7 D261152 BIN 1008700 - NYS Route 11 over CSX RR, Philadelphia: Mill, Deck Repair, Membrane, & Pave $210,393.84
BIN 1027300 - NYS Route 345 over Trout Brook, Madrid: Mill Membrane & Pave $72,410.22
BIN 1034930 - NYS Route 95 over Farrington Brook, Moira: Mill, Membrane, & Pave $87,510.90
BINs 1027250, 1027260, 1027270 - NYS Route 56 over Raquette River; South Colton, Colton, Hannawa Falls: Mill, Membrane, & Pave $544,563.04
BINs 1032031/2 - I81 NB/SB over South Sandy Creek, Adams: Concrete Fascia Repair 
BINs 1032071/2 - I81 NB/SB over Sandy Creek, Adams: Concrete Fascia Repairs 
BINs 1032081/2 - I81 SB/NB over NYS Route 178, Adams: Concrete Fascia Repairs $105,855.29
BINs 1032241/2 - I81 NB/SB over CR 15, Pamelia: Mill, Membrane, & Pave $369,361.51
JOC Standby Readiness Provision Payment Mechanism for Contract D261152 $10,000.00
Total $1,400,094.80
9 D261160 (B) I-81 NB Over Loughlin Rd. Joint Repair $31,615.91
(B) I-81 Over Chenango St. Joint, Curb and Bolster Repairs $363,931.40
(B) I-81 SB Over Loughlin Road - Pier Joint Repairs $46,651.75
(B) I-88 Over Osborne Creek Culvert Repairs $311,683.78
(B) Route 17 EB Over Glenwood Rd. - App. Slab/Deck Repairs $32,576.18
(B) Rt. 17 EB Over Chenango River - Loose Curb Repair $20,020.24
(B) Rt. 17 EB Over Mygatt St.: Structural Deck Repair $17,797.10
(B) Rte 79 Over Occanum Creek: Scour Repair $112,911.62
(B) Tompkins Street Bridge Repairs $38,025.36
Route 81 Bridge Repair $51,752.15
Total $1,026,965.49
9 D261161 0063 WOODBOURNE BIN 102490 MEMBRANE OVERLAY $64,943.01
042 BAXTER BROOK BIN1020760 RTE 30: Structural Flag & Deck Repairs $109,956.43
043 GLADSTONE HOLLOW BIN 1019800 RTE 28: Structural Flag & Deck Repairs $134,513.27
044 HUBBELL HILL BK BIN 1020850 RTE 30: Structural Flag & Deck Repairs $46,905.85
045 CALLICOON CREEK DECK REPAIR BIN 1026520: Structural Flag & Deck Repairs $137,854.62
047 ROUTE 206 CULVERT IN TROUT CREEK BIN C940045: Structural Flag & Deck Repairs $46,979.08
BIN 1013820 RTE 17: DECK AND SUB STR REPAIR. $309,440.21
BIN 1020790 RT 30 OVER DEL RVR DOWNSVILLE: FLAG 9Q090095 $126,267.64
BIN 1094300 I88 EXIT 10: JOINT REPLACEMENT $38,293.14
Total $1,015,153.25
9 D261063 BINs, Campville Bridge over Susquehanna and Various: Deck Repairs & Joint Replacement $163,021.77
RR FLAGGER ADJUSTMENTS $9,167.66
Rte 17 Bridges Waverly: Fascia Repair, Joint Replacement, Steel & Concrete Repairs $434,788.88
Rte 34 Bridges Waverly: Joint Replacement & Deck Patching $211,034.05
Rte 34 Culvert Invert Paving $61,782.38
Standby Readiness $15,000.00
Total $894,794.74
Fed-aid Bridge JOC contracted amount to date - Jan 2011 $6,431,813.71

Appendix III -NYSDOT JOC usage Summary

September 30th, 2004 to January 6th, 2011

Total of NYSDOT Job orders to date: $64,397,383.64

Total number of Job Orders: 1,649

Average Job Order: $39,052.38

Total Number of JOC Contracts to date: 46

General Highway Contracts: 26

Sign Structure Contracts: 2

Bridge Repair Contracts: 14

Culvert repair Contracts: 4

Contact

Jerry Yakowenko
Office of Program Administration
202-366-1562
E-mail Jerry

 
 
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Updated: 05/06/2013
 

FHWA
United States Department of Transportation - Federal Highway Administration