Virginia American Recovery and Reinvestment Act (ARRA)

APPENDIX B
Checklists

PS&E
CHECKLSIT

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
23 CFR 630, Subpart B - Plans, Specifications, and Estimates

23 CFR 633, Subpart A – Required Contract Provisions - Federal-aid Construction Contracts (Other than Appalachian Contracts)

Construction Program Guide
https://www.fhwa.dot.gov/construction/cqit/
Guidelines on Preparing Engineer's Estimate, Bid Reviews and Evaluation
https://www.fhwa.dot.gov/programadmin/contracts/ta508046.cfm
Contract Administration Core Curriculum Manual and Reference Guide
https://www.fhwa.dot.gov/programadmin/contracts/coretoc.cfm
Development and Review of Specifications
https://www.fhwa.dot.gov/legsregs/directives/techadvs/t508016.htm
Recovery Act Implementing Guidance
https://www.fhwa.dot.gov/economicrecovery/guidance.htm

RECOVERY ACT REQUIREMENTS

Item	Yes	No	N/A
Reference Recovery Act Implementing Guidance https://www.fhwa.dot.gov/economicrecovery/guidance.htm
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? Agree to comply with the reporting requirements terms and conditions set forth in the Recovery Act and as designated by the FHWA, Recovery Act funds are not obligated for advance construction purposes authorized under 23 U.S.C. 115(b) 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
450.216 450.220	Project included in the current STIP
627.1	A 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
771.113	Environmental clearance documented: Date__________________
771.113	Required public hearing transcripts have been received and accepted, if required.
772.11g	Are 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
646.107	Railroad insurance provided
646.216(d)	Agreement in writing between State and Railroad
646.214(b)	Adequate railroad grade crossing warning devices are provided
620.101	Air-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

N/A

Consultant design

625.3
625.4

*Geometric 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*

625.3

Design Exceptions documented and approved

626

Pavement design adequate

Cover sheet includes all required information

Details, typical sections and profile sheets are adequate to show complexity of work

650.117

Required 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

630.1012

Traffic management plan is included and approved

652.5

Pedestrian accommodation included and ADA requirements are met

652.7(b)

Pedestrian and bike routes are pursuant to an overall plan

635.407

Public interest findings are documented for mandatory waste or borrow sites

635.411

Proprietary product use is experimental, justified, or in public interest

635.413

Warranties 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: ______________________
630.205	Special 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
635.107	DBE provisions are included
230.111	Training 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" https://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:

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Page last modified on January 31, 2017