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									                                 New York Division Office Procedures

Review, Authorization, and Monitoring of Recovery Act Projects
Approved by /Original signed by Jeffrey W. Kolb, P.E./, Division Administrator, on
April 13, 2009, Revised June 16, 2009


Background

The purpose of this internal office procedure is to develop a process to review, authorize, track,
and monitor Federal-aid projects using American Recovery and Reinvestment Act of 2009
(Recovery Act) funding. These procedures will be in place for the duration of the Recovery Act,
through September 2015. Following this procedure will aid to minimize risks listed in the New
York Division’s Recovery Act Risk Assessment dated March 27, 2009. This procedure is in
addition to the current oversight the New York Division has in place for federally aided projects
as documented in the Division’s Stewardship Agreement dated December 19, 2006, and does not
supersede any oversight presented in that document.

To develop this procedure initially in March 2009, senior Division Office staff identified
potential risks for Recovery Act projects and reviewed risks previously identified in the
Divisions FY 2008 Risk Assessment for regular federal-aid projects. The risks were then
developed into a series of checklists for all aspects of project development, from the STIP
approval phase through the completion of construction. In June 2009, the Division Office
revisited our risk management plan based on the FHWA national Risk Management Plan for
Recovery Act. The national Risk Management Plan identified six key areas for risks that are
directly related to Division office oversight:

      Local Public Agency Oversight
      Plans, Specifications, and Estimates
      Contract Administration
      Quality Assurance
      Disadvantaged Business Enterprise Program
      Eligibility/Improper Payments

The New York Division’s Risk Management Plan developed in March 2009 addressed many
aspects of these six risk areas, but has now been enhanced to provide additional oversight in
these areas.

In addition to the checklists provided below and in the attachments, the Division Office will also
be performing Program Assessment Reviews (PARS) and process reviews related to Recovery
Act activities. The PARS involve “spot checks” of various aspects of programs or projects.
PARS will be conducted for PS&E reviews, DBE reviews, and billing payment reviews, as


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described below. PARS will also be conducted for Quality Assurance, including a review of
Vendor in Place Paving projects (VPP), HMA QC/QA, Bridge Preventative Maintenance, and
Work Zones. The scope and details of these reviews are currently being determined. The
process reviews are formal reviews of a specific process, from beginning to end; topics for
process reviews have yet to be identified.

Instructions

The project form below will be filled out for each project using Recovery Act funds. The forms
will be filled out electronically by the appropriate sections identified below. The form will be
located in a Microsoft Access database at o:\hpcny\Engineering Coordinator\ARRA\
DIVDATABASE\ARRAProject.mdb. Any back-up information received that supports the
answers submitted in the checklist should also be placed electronically at o:\hpcny\Engineering
Coordinator\ARRA\Project Forms, under a folder with the PIN number. The Financial Services
section will also place a hard copy of their portion of the checklist and other significant
information in the fiscal file for each Recovery Act project.

Project Tracking

The Engineering Coordinator will be responsible for maintaining an up-to-date list of Recovery
Act projects, retaining all data reports submitted by the New York State Department of
Transportation (NYSDOT), and ensuring that the project forms are maintained for each
Recovery Act project in the Microsoft Access database.

To assist the Engineering Coordinator in maintaining a project list:

 Financial Services staff will receive draft 1511 certifications from NYSDOT as soon as they
  are available. The financial staff will check the FHWA Economic Recovery website daily to
  determine when the certification is posted on www.recovery.gov.
 Financial Services will print and distribute draft and new 1511 certifications to the Division
  Office Recovery Act team (DA, ADA, Senior Staff, Engineering Coordinator, and Financial
  Specialist), and distribute the PS&E transmittal memos for the projects when received from
  NYSDOT.
 Staff in the appropriate sections will check projects to ensure appropriate environmental
  (NEPA) and property acquisition (Uniform Relocation Act) laws and regulations have been
  followed and met, as documented in the project checklist below. Staff should complete the
  checklists as soon as possible, within one week of receiving the listing. If problems are
  identified, the Director of Financial Services should be notified as soon as possible. The
  Director of Financial Services will notify NYSDOT if a project cannot be authorized.
 The Financial Specialist will update the Division’s Recovery Act report via FMIS weekly
  (every Wednesday) and provide it to the Division Office Recovery Act team. This report
  will include the project number, project description, authorization date, contract award date,
  amount authorized, and amount expended, among other items.




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New York Division Office Procedures
Review, Authorization, and Monitoring of Recovery Act Projects
      (Engineering Coordinator responsible for Data Tables)

Project Information

PIN:
Project Description:
County:
Project Sponsor:
Project Cost:

   Certified             Engineers        Awarded       Orders on   Final Cost        Percent
    Cost                 Estimate          Cost         Contract                      Contract
                                                                                      Growth*

*final cost compared to awarded cost



Project Schedule:

  Letting Date               Award Date       Original          Actual             Final
                                             Completion       Completion         Acceptance
                                               Date              Date               Date



 Yes  No Is the project a Full Oversight project, as defined in the Stewardship
           Agreement?
 Yes  No Is the project locally administered?
 Yes  No Is the project in an Economically Distressed Area (Engineering Coordinator
           will provide)?

Name of Staff Completing this Section ______________________




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STIP Approval

The following questions should be answered prior to the HPD-NY approving amendments in
the STIP for projects using Recovery Act funds. HPD-NY will coordinate with HDO-NY and
HTS-NY as needed to complete the checklist:

 Yes  No Is the project eligible for Federal-aid under Recovery Act (23 USC 133 (b)
           STP or 23 USC 601(a)(8))? HPD-NY will coordinate with the appropriate
           Division staff to determine eligibility if it is not easily apparent.
 Yes  No Is the project description complete enough for the public to understand the
           project to provide the transparency required by the Act?
 Yes  No Does the project description include the terms “various locations,
           maintenance by contract, VPP, JOC, where/when”? If so, coordinate with
           HDO-NY or HTS-NY before approving to ensure it is eligible for
           Federal-aid.
 Yes  No Is the STIP fiscally constrained within the Recovery Act funding category?

Name of Staff Completing this Section ______________________

Pre-Project Authorization

The following questions should be answered as soon as possible (within one week) for all
Recovery Act projects after the 1511 certification (draft or final) is received from NYSDOT
by the appropriate staff in HDO-NY, HTS-NY, and/or HPD-NY.

 Yes  No Based on the project description, does it appear that the project is expected
           to be complete within three years?
 Yes  No For construction projects, based on the project description, does it appear
           that the project is ready to go to construction?
 Yes  No For construction projects, is the NEPA process complete? NEPA
           classification: ___________________ Date: ______________
 Yes  No For construction projects, has the Uniform Relocation Act been followed
           (coordinate with HPD-NY to determine)?
 Yes  No Is the project being competitively bid? (If no, the project must be posted on
           the web per ARRA, Section 1554 and a public interest finding must be
           made, coordinate with the Engineering Coordinator).

Name of Staff Completing this Section ______________________

Project Plans, Specification & Estimate Reviews

HDO-NY will perform a detailed review of the PS&E packages for a sampling of Recovery
Act projects not under full oversight. HDO-NY will select 10 percent of the projects on each


                                             4
draft certification on which to perform this review prior to project authorization. The
projects will be selected for review based on such factors as project scope, size, and project
sponsor, with an emphasis on locally-administered projects. HDO-NY will document these
reviews using the Division Office’s PS&E checklist dated June 2008, in Attachment 1. Once
completed, the checklist will be uploaded into the New York Division Recovery Act
database.

 Yes  No Was a detailed PS&E review conducted for this project?
 Yes  No If yes, were any problems identified that require follow-up with NYSDOT?
           Comment _____________________
 Yes  No If yes, was the completed PS&E checklist uploaded to the New York
           Division Recovery Act database?

Name of Staff Completing this Section ______________________

FMIS Authorization

The following questions should be answered by the Fiscal Clerk prior to the Director of
Financial Services or a Financial Specialist authorizing projects in FMIS:

 Yes  No Is the project listed on New York’s 1511 Certification, as posted on both
           www.recovery.gov and http://www.dot.gov/recovery/certifications.html?
 Yes  No Is the Effective Authorization Date the same as, or later than the latest date
           that the 1511 Certification was posted on both websites?
 Yes  No Does the FMIS project description match the description in the TIP/STIP
           and the 1511 certification?
 Yes  No Do the FMIS funds match the funds listed in the TIP/STIP and the 1511
           certification?
 Yes  No Are the following conditions included in the State Remarks Section of
           FMIS?

   1. The State agrees to comply with the reporting requirements and terms and conditions set
      forth in the provisions contained in the ARRA and ensure that ARRA requirements and terms
      are included in the terms and conditions of the project agreement. See the FHWA
      implementing guidance, available at:
      http://www.fhwa.dot.gov/economicrecovery/guidance.htm.
   2. ARRA funds are not obligated for advance construction purposes authorized under 23 U.S.C.
      II5(b); and
   3. ARRA funds are not eligible for costs incurred prior to the date of obligation.

 Yes  No Is the FMIS description in the project header designated Special Project
           Grouping – Major Projects –ARRA Funded Projects (Section 1.F)?
 Yes  No Does FMIS include the following (check each line):
                 _____ environmental documentation; no more than 3 years old
                 _____ STIP reference


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                _____ mile markers when necessary
                _____ inventory route number (an * as the inventory route number means
                      the project has multiple locations)
                _____ congressional district
                _____ county code
 Yes  No Does the project include other Federal-aid (split-funded)?
 Yes  No Has the project been Advance Constructed? If “Yes”, complete the
           remaining questions in this section.
 Yes  No Was any part of the project obligated prior to February 17, 2009? If “Yes”,
           project is not eligible for Recovery Act funds, and notify Director of
           Financial Services immediately.
 Yes  No Was the portion of the project that was AC’d prior to February 17, 2009
           withdrawn and resubmitted?
 Yes  No      Is this a separate and distinct project number and authorization for the
                ARRA funds?
 Yes  No Does the State Remarks Section of FMIS identify the project number for the
           AC’d portion of the project?

Name of Staff Completing this Section ______________________

Project Delivery

The following questions shall be tracked throughout the life of the project by the Engineering
Coordinator in coordination with the Area Engineers:

 Yes  No Is the awarded cost 10 percent or more than the cost listed on the
           certification? If yes, discuss reasons with NYSDOT?
 Yes  No Have funds been expended? HFS-NY will run reports weekly to track
           expenditures. Once a project is beyond start-up, if no expenditures occur
           each month, the Engineering Coordinator will coordinate with the Area
           Engineer (AE) and the AE will contact NYSDOT to inquire about the status
           and/or conduct a site visit to the project. If no funds are expended in a 3-
           month period, the Director of Financial Services will coordinate with
           NYSDOT to possibly remove Recovery Act funding from the project.
 Yes  No Have all expenditures been submitted to FHWA?

Name of Staff Completing this Section ______________________




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Construction Monitoring

In addition to the construction monitoring occurring as part of the regular Federal-aid
program for full oversight projects, the Division Office will conduct frequent construction
site visits on a random sampling of Recovery Act projects. The Recovery Act construction
monitoring will focus on, but not be limited to, locally administered projects, and will consist
of three levels:

   1. Full oversight – these are projects that are defined as full oversight as per the
      Division’s Stewardship Agreement dated December 19, 2006, and include full
      oversight throughout the life of the project from planning and design through
      construction. Typically, at least two to four construction inspections per year are
      conducted over the life of these multi-season projects, including initial inspections,
      intermediate inspections, in-depth inspections, and final inspections.

   2. Full construction oversight – the Division Office will select two to three Recovery
      Act projects per region to provide full construction oversight. This will include, at a
      minimum, initial and final inspections, and will include at least one in-depth
      inspection.

   3. Recovery Act site visits – the Division Office will visit two projects per region per
      month (approximately 20 projects per month) for a total of approximately 100
      projects per construction season, over the life of Recovery Act. These site visits will
      be documented in the Division Office’s Recovery Act Construction Monitoring
      Checklist (Attachment 2). The completed Construction Monitoring Checklist should
      be uploaded to the New York Recovery Act Database. These projects will be
      selected to cover a cross-section of geographic areas and project types, and will cover
      both State-administered and locally administered projects, with an emphasis on
      locally administered projects.


 Yes  No Has a construction site visit been conducted? If yes, fill out the
           Construction Monitoring Checklist (Attachment 2), and complete the
           following questions.

 Yes  No Is the project being constructed in accordance with the approved plans,
           specifications and estimates?
 Yes  No Does the project have appropriate documentation such as inspection diaries,
           test results, delivery tickets, certifications, and quantity/pay item
           calculations to support and supplement findings in the field?
 Yes  No Is the project adequately staffed?
 Yes  No Are there any issues that surfaced from the inspection that require follow-
           up? If yes, describe here: _____________
 Yes  No Were any problems identified that require follow-up with NYSDOT?
           Comment _____________________


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 Yes  No Was the Construction Monitoring Checklist uploaded to the New York
           Division Recovery Act database?

Answer the following questions for all Recovery Act projects:

 Yes  No Are there any orders on contract? If yes, date and cost:

Name of Staff Completing this Section ______________________

Disadvantaged Business Enterprise Program

All Recovery Act projects will be reviewed. The Civil Rights Specialist will review the
FHWA Form 1585, Monthly Recipient Project Status Report, which NYSDOT submits to
FHWA HQ the 10th of every month and answer the questions below. Any project that did
not meet goal commitment will have a review of the Good Faith Effort determination. Of
those projects where concerns are raised, they will be scheduled for a more detailed review.

 Yes  No  NA           For projects over $1,000,000, does the contract have a DBE goal?
 Yes  No  NA           If the project has a DBE goal, was it met or did the contractor
                          provide good faith effort documentation?

In addition, the Civil Rights Specialist will conduct a detailed Program Assessment Review
(PAR) on the DBE program by reviewing a sampling of Recovery Act projects. This DBE
review will be based on the checklist provided by FHWA HQ (Attachment 3). DBE
commercially useful function will be reviewed at the project level.
If applicable, post award good faith effort documentation will be reviewed during the on-site
visit.

 Yes  No Was a detailed DBE review conducted for this project?
 Yes  No If yes, were any problems identified that require follow-up with NYSDOT?
           Comment _____________________
 Yes  No If yes, was the DBE review documentation uploaded to the New York
           Division Recovery Act database?

Name of Staff Completing this Section ______________________

Financial Oversight and Monitoring

HFS-NY will conduct program and project financial oversight reviews to ensure that
NYSDOT and local project sponsors are compliant with Federal-aid procurement, project



                                              8
funds management and Cash Management Improvement Act (CMIA) requirements. These
reviews will entail a series of program assessment reviews (PARs).

Annually, until September 30, 2015, the Division will conduct a PAR of the billing and
payment process of State and local governments (Attachment 4). The annual billing and
payment PAR will be conducted for 30% of all local agencies that are administering ARRA
projects each year for three years. Annually, a PAR will be conducted to examine the indirect
costs of NYSDOT, and 30% of all local governments (Attachment 5) that are reimbursed an
indirect cost on ARRA-funded projects.

The Financial Services section will also conduct a number of project-specific billing reviews
using the New York Division’s Billing Review Checklist (Attachment 6). Initially, all 22
projects that received authorization prior to obligation will be reviewed for ineligible
expenses. All locally-administered projects will be reviewed at least once for ineligible
expenses. In addition, the section will review one State-administered project per NYSDOT
region per quarter for a total of 44 projects per year.

The Financial Services section will monitor Recovery funds expenditures during the life of
the Recovery Act. Using FMIS, the Financial Specialist will provide the Recovery Act team
a weekly report on the time elapsed between project obligations, contract award, and
expenditures billed of Recovery Act funds. As appropriate, Division staff will contact
NYSDOT to determine any corrective actions necessary to deliver a project, or reassign the
Recovery Act funds to a different project.

Finance Monitoring Checklist

 Yes  No Was a billing review conducted for this project?
 Yes  No If yes, were any problems identified that require follow-up with NYSDOT?
           Comment _____________________
 Yes  No If yes, was billing review checklist uploaded to the New York Division
           Recovery Act database?




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ATTACHMENTS FOLLOW




        10
Attachment 1 – PS& E Checklist
                                                            New York Division
                                                   Project Approvals – PS&E Checklist
Name of Reviewer:                                                     Date:

PIN:                                                                  Contract #:

Letting Date:                                                         Engineer’s Estimate:


Program Control
                                                                            Reference                              N
General                                                                                                 Y N              Comments
                                                                            (from 23 CFR)                          A
Is the project on the STIP?                                                 450.216
What is the funding source?
If the project uses Advance Construction funds, is the                      630.701
appropriate condition1 included in the authorization?                       630.106(d)
Has all ROW been secured? If not, has a ROW waiver                          635.309(g)
been approved (access restrictions noted on the plans)?
Is the advertising period at least three weeks?                             635.112(b)
If utility work is necessary, is there a utility agreement?                 635.307
(It’s needed prior to contract award.)                                      645.113
If railroad work is necessary, is there a railroad                          635.307
agreement? (It’s needed prior to contract award.)                           646.216(d)
Has NYSDOT ensured the project will have adequate                           635.105
supervision and inspection? How will construction
inspection be done? (NYSDOT/Consultant/NYSTA)
                                                                            Reference                              N
Special Situations                                                                                      Y N              Comments
                                                                            (from 23 CFR)                          A
If this is a demo project, does the project activity match
the legislated description?
If this is an Interstate asphalt paving project, does the                   Nat’l Perf Obj for
proposal include the appropriate AC pavement                                Pavement
smoothness spec? EI 05-17 and/or EI 05-18                                   Smoothness
If this project includes ITS components, did you                            23 CFR 940 &
coordinate with the Division ITS specialist?                                NYDO Implementation
                                                                            Policy
If this project includes a structure2, did you coordinate
with the Division Bridge Engineer? Attach the
completed Bridge Checklist.
If the project cost is > $25M, was a Value Engineering                      627.1(a)
Study conducted?
If the project cost is between $100M and $500M, did                         12/08/05 memo
NYSDOT prepare a financial plan? It needs to be                             from HIPA-40
submitted to our office for review even though the
approval action has been delegated to NYSDOT.
If this is a Major Project (Cost > $500M), was a project                    01/27/06 memo
management plan submitted? Attach the plan and the                          from HOA-01
initial annualized financial plan.
If this project is within two miles of an airport, was there                23 CFR 620,
coordination with FAA?                                                      Subpart A
1.   Authorization to proceed is not a commitment or obligation to provide Federal funds for that portion of the undertaking not fully funded herein. (The Division
     Admin Section usually adds this comment prior to requesting approval.)
2.   A structure can be a bridge, tunnel, or hydraulic or geotechnical structure that is major or with unusual or atypical/unique design, a storm water pumping facility, a
     dam, a stream levee formed by highway fills, complex stream stability countermeasures, unusually deep cuts or high fills, or new/complex retaining wall systems or
     ground improvement systems.




                                                                                   1-1
Environment
                                                          Reference       Y   N   NA   Comments
                                                          (from 23 CFR)
Has a NEPA Document been processed?                       771.115
□ EIS, Date ROD signed __________
□ DR, Date Cat Ex Approved __________
□ EA, Date of FONSI __________
Was the NEPA document approved within the past three      771.129
years? If it’s more than 3 years and no Federal action
was taken since then, a re-evaluation is needed.
Have environmental commitments been incorporated          635.309(j)
into the final design?
□ Historic Preservation -- under 36 CFR §800
□ Wetland Mitigation                                      777
□ Noise Abatement                                         772
□ Section 4(f) -- under 49USC303                          771.135
□ Endangered Species Act – 50 CFR §402.14(c)
□ Other
Was NYSDOT’s Environmental Commitments &
Obligations Package for Construction (ECOPAC)
submitted? [See NYSDOT’s EB 99-055]
Have all permits been secured?
□ Section 401, DEC Water Quality Cert
□ Section 404, ACOE Individual Wetlands Permit
□ Section 404, ACOE Nationwide Permit #23
□ Coast Guard
□ SPDES General Permit
□ Adirondack Park Agency General Permit
□ Other


Plans
                                                          Reference       Y   N   NA   Comments
                                                          (from 23 CFR)
Are the plans consistent with Design Approval?            625
Have all non-standard features been justified and         625.3(f)
approved?
Are permanent traffic control devices consistent with     655.603(d)
MUTCD?
Is the Temporary Traffic Control (M&PT) Plan              630.1012
consistent with the MUTCD?
Does the project accommodate pedestrians,                 652.13
handicapped, and bicyclists?
Are ROW easements and control of access lines shown
on the plans (including access restrictions for ROW to
be secured after contract award)?
Have the plans been signed by the proper authorities at
NYSDOT, NYSTA, or the local sponsor?




                                                               1-2
Proposal
                                                              Reference
General Provisions                                                             Y   N   NA   Comments
                                                              (from 23 CFR)
Is the FHWA 1273, Required Contract Provisions                633.102
Federal-Aid Construction Contracts included?                  (b)(d)(e) &
[except Appalachian projects]                                 633.103
Are the Goals for EEO Participation included? Note the        230.409                       Minority Goal:
goals for minority and female participation in the            (d)(1),(3) &
                                                                                            Female Goal:
comments column.                                              (e)(6)(i)
Are DBE provisions included?                                  635.107 &                     DBE Goal:
What is the DBE contract goal?                                49 CFR 26.55
If Item 691.03 is used, have the Training Special             230.111&
Provisions been included? See EI-06-018                       App B to
                                                              Subpart A
Is a non-collusion provision (Anti-Collusion Certificate)     635.112(f)
included?
Are the minimum wage rates determined by US                   635.309(f)
Department of Labor included?
Is the contract time realistic (given that award is usually   635.121                       Sch Completion:
about two months after letting)?
                                                                                            Anticipate Award:

Situations when additional FHWA approval is required
(Interstate Justification Report, public interest finding)
If access to the Interstate System is changed, was the        620.203(d-h)
modification approved at the appropriate level in
FHWA? [Federal Register Notice Feb. 11, 1998]
If this is a Design-Build contract, has FHWA reviewed         635.112(i)
and approved the Request for Proposals?                       636
If there are any incentive/disincentive clauses, have they
been reviewed and approved by FHWA?
If there are any experimental features, did you                                             Follow District
coordinate with the Division T2 Engineer?                                                   Ops Office
[Attach Experimental Features Work Plan]                                                    Procedure #4
If there is any State furnished material (other than signal   635.407
controllers) used, was FHWA approval given?
If there is a mandatory disposal or storage site              635.407(g)
designated, was FHWA approval given?
If it is known that foreign steel will be used, has a Buy     635.410
America waiver request been approved by FHWA?
If there are any patented, proprietary, or sole source        635.411
materials specified for use, was FHWA approval given?
Are warranties limited to electrical or mechanical            635.413
equipment, landscaping planting, pavement markings, or
the installation of motorist-aid facilities? If not, verify
FHWA approval and attach public interest finding.
If the project involves any parking facilities, was FHWA      810.106(a)
approval given?
If the project is a “Significant Project”, has an             630, Subpart J
acceptable Transportation Management Plan (including
both a Traffic Operations Plan and a Public Information
Plan) been developed?




                                                                   1-3
Estimate
                                                           Reference      Y   N   Comments
Do item numbers, descriptions, and quantities agree with
those shown on the plans?
Are estimated prices reasonable?
Is the work eligible for the type of funds requested?
Is there a separate fiscal share for each appropriation
code?
Are non-participating items in a separate fiscal share?
Are lump sum items and non-construction items
(engineer’s office, M&PT, computers, etc.) properly
distributed to the contract shares?
Is the amount requested through FMIS consistent with
the Federal portion of the Engineer’s Estimate?



In signing, I affirm that the bidding documents are satisfactory. The electronic signature authorizing the project
serves as the approval of the PS&E. If there are any conditions on the authorization, I will prepare a
memorandum to NYSDOT and note the conditions in the Division remarks section of FMIS.


________________________________________                               _____________
Reviewed by                                                            Date



     Note: Additional Federal-aid requirements are covered by NYSDOT Standard
     Specs, General Provisions. The engineer should note if the proposal introduces
     changes to any of these sections.
          Buy America Act…………………………………………..…..§106-11
          Changed Conditions Clause (including Differing Site Conditions,
           Suspension of Work, and Significant Changes in the Character of
           Work………………………………………………………..….§109-16
          Extra Work , Force Account Work , Dispute Compensation, and
           Recordkeeping …………………...……………………………§109-05




                                 In accordance with the new Work Zone regulations, the
                                   Transportation Management Plan will also include a
                                  component on Temporary Traffic Control Devices by
                                                   December 8, 2008.
                                               See 23 CFR 630, Subpart K




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                                      AMERICAN RECOVERY and REINVESTMENT ACT (ARRA)
Attachment 2 – Construction                CONSTRUCTION MONITORING CHECKLIST                                 Monitoring Checklist


PIN:_________________________ CONTRACT NUMBER:______________________ COUNTY: ____________________________
PROJECT DESCRIPTION: _______________________________________________________________________________________
INSPECTION DATE: ___________ INSPECTION CONDUCTED BY: ____________________________________________________
SPONSOR: ___________________________________ CONTRACTOR: ___________________________________________
Interviewed: ___________________________________________               EIC ____ Res. Engr.____ Off Engr. ____ Inspt. ____
Is the Project Locally‐Administered? YES NO Local Sponsor Official Present During Inspection? YES    NO     NA

Project Cost & Schedule:
Award Date: ________________ Orig. Completion Date:_______________ Award Amount: $___________________________
Current/Final Contract Amount: $________________________________ % Growth: __________ % Complete:_________
Is project on‐schedule? YES NO            if “NO”, Reason(s): ________________________________________________________
Time extension(s) granted? Yes NO Expected if “Yes” then: a) New Completion Date:_____ b) with charges/without charges
 c) Is this new completion date in compliance with the established ARRA timeframe thresholds? YES NO  NA

Project Staffing:
Was a pre‐construction meeting held for this project? YES NO Date of meeting:_____________________
Has a Construction Monitoring Plan (CMP) been prepared for this project? YES NO STATE PROJECT
Is the CMP available for review? YES NO N/A (Make a copy and attach to report)
Does the CMP specify a required level of on‐site project staffing? YES NO N/A
If YES, what is the specified project staffing:______ EIC/RE/PM _______ Office Engineer ________ On‐site Inspectors
Is the project staffing requirement being met? YES NO N/A If NO, why? __________________________________________
ACTUAL on‐site construction inspection staff: State/Local Forces Consultant:__________________________________________
 ____ EIC/RE ____ Office Engineer ____ Inspectors Are Inspectors NICET Certified: YES      NO
Does the project rely on off‐site project personnel? YES NO Role:______________________________________
Is inspection coverage adequate for a project of this size? YES NO
Additional Staffing Details: _____________________________________________________________________________________

ARRA Job Reporting
Have the appropriate ARRA Special Contract Requirement been incorporated into the contract with the prime Contractor, in all subcontra
cts, in all consultant agreements, and all force account agreements in accordance with EI‐09‐013? YES NO
Are all applicable entities providing the required ARRA Job Creation documentation? (provide copy) YES NO
How are all applicable entities determining the number of jobs and hours created by ARRA (certified payroll, EBO, etc.) _________
__________________________________________________________________________________________________________
Additional Job Reporting Details: _______________________________________________________________________________

DBE/EEO Goals & Wage Rates:
Contract goal for DBEs: ____ % Current DBE % ____ Projected DBE % _____ (If applicable, attach listing of DBE Firms)
Has any DBE work started? YES NO NA                  If “NO”, when is the DBE work anticipated to begin? ______________________
Are the DBEs providing a commercially useful function? Yes No NA Is EIC familiar w/ DBEs from previous jobs? YES NO NA
Is a Bulletin Board in‐place w/ applicable info such as “EEO is The Law”, Wage rates, False Statements, etc.?  YES NO NA
EEO Minority Utilization Goal: _____ % Current Use % ______ Comments: _____________________________________________
EEO Women Utilization Goal: __6.9__ % Current % ____ _ Comments: _________________________________________________
If goals aren’t being met, is/has the Contractor demonstrated a “good faith effort”?      YES NO       NA
Is the “good faith effort” documented? YES NO NA (if YES, attach copy of documentation)
Is the employment utilization report available for review? YES NO NA (Attach copy of latest report)
Are the Davis‐Bacon Act (23 U.S.C. 113) minimum wage rates being met? YES NO
Additional DBE/EEO details: ____________________________________________________________________________________

Order‐On‐Contract (OOC) Process:
# Orders‐on‐Contract (attach listing): ______ Major Items/Work Added to Contract? YES NO Description: _______________
___________________________________________________________________________________________________________
Is added work eligible for federal‐aid? YES   NO      NA      Are time extension(s) properly justified? YES NO NA
Is the added work subcontractable to DBEs? YES NO NA If “YES”, review solicitation efforts to add DBEs and attach copies.
Do the OOCs provide sufficient explanation to document the work necessary, consistent with specifications, and within the scope of th
e project (make a copy of a representative sample)? YES NO NA Were approved OOC procedures followed? YES NO NA
                                                              2-1
Ongoing Contractor disputes? YES NO      Description: ____________________________________________________________
Additional OOC details: _______________________________________________________________________________________

Project Documentation:
Are the federal contract requirements (FHWA‐1273) included in the contract package? YES NO
Are documentation standards such as MURK and/or CMP established documentation procedures and protocol for documentation
and project record keeping being followed (Provide a sample of project documentation such as IDRs)? YES NO
Is a project daily diary kept and updated?      YES NO
Are Inspector’s Daily Reports (IDRs) being kept and up to date for all work activities? YES NO
 ‐ Are the IDRs clear, concise and adequately describe the work performed? YES NO
 ‐ Are pay items properly documented with quantities and supporting documentation? YES NO NA
 ‐ Are material test results properly referenced and available to verify acceptability? YES NO NA
 ‐ Are failed tests properly cross‐referenced to retests?    YES NO NA
 ‐ Are field measurements being conducted and properly documented? YES NO NA
 ‐ Are “pay‐per‐plan” items properly field measured to verify quantities? YES NO NA
 ‐ Are corrections/changes made utilizing the “single‐line strike out” method? YES NO NA
 ‐Are the IDRs being signed by the inspector AND checked/verified/signed by the EIC? YES NO
 ‐ Identify dates of IDRs reviewed: __________________________________________
What is the frequency at which project documentation is being checked/verified/signed by another individual of the project staff?
 DAILY WEEKLY MONTHLY OTHER:________________________________
Are material certifications kept on file? YES NO YES, BUT KEPT OFFSITE
Is CEES being utilized to track pay item quantities? YES NO If “NO”, what is the system being utilized? ___________________
Additional Documentation Details: _______________________________________________________________________________

Work Items & Material Quality Assurance:
Major work items included in contract: Earthwork HMA Paving PCC Paving Surface Treatments/Overlays
 Bridge Structures Culverts/Drainage Roadside Hardware/Signs Other:_______________________
Work activity observed/reviewed:________________________________________________________________________________
____________________________________________________________________________________________________________
Were these work activities performed according to plans and specifications? YES NO If “NO”, Explain:___________________
____________________________________________________________________________________________________________
Has a QC Plan been submitted and being complied with?                                                                YES       NO
Is satisfactory material QA testing being performed according to specification, within the control of the sponsor, and at a certified
 lab (review sample & provide copy)?        YES NO
Review material QA test results for a random sample of work items. Does the material meet specification? YES NO
Are the delivery tickets & testing results available for review and organized in a clear and concise manner? YES NO
Who is conducting the independent QA testing? __________________________________ Representing: ______________________
List the work items reviewed (item #/description) for specification compliance:______________________________________
____________________________________________________________________________________________________________
Is the project in compliance with the Buy America Requirements (23 CFR 635.410)? YES NO NA
Does the project include environmental permits? YES NO If “YES”, list the permits: ___________________________________
If a SPDES permit is req’d, are the SWPPP and inspection reports located in the Engineer’s Field Office? YES NO NA
Are the environmental commitments (ECOPAC) and permit requirements for this project being complied with? YES NO NA
 If “NO”, explain: _______________________________________________________________________________________
Additional QC/QA Details: ______________________________________________________________________________________

M&PT Comments:
Is the Contractor complying with the traffic control plan? YES NO NA Are the TCDs clean and in good condition? YES NO NA
Are inspections of work zones being conducted (check diary and IDRs)? YES NO NA
Describe M&PT operations observed: ____________________________________________________________________________
___________________________________________________________________________________________________________

Field Observations/Noted Deficiencies (attach additional documentation if necessary): ____________________________________
____________________________________________________________________________________________________________
____________________________________________________________________________________________________________

Is the project being constructed in accordance with the approved plans, specifications and estimates? YES NO
If “NO”, Explain: ______________________________________________________________________________________________
                                                               2-2
Attachment 3 – DBE Checklist




                   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/s                                Working (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_____________________

                                                      3-1
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:
                                                             3-2
Attachment 4 – Billing/Payment Process Checklist


                              Program Assessment Review
                                   New York Division
            Billing/Payment Process of State and Local Governments Checklist
                                                                               Check
        Review 1.     Review of State DOT billing/payment process             _______       Part 1 only
         Type:
               2.     Review of State DOT Local Project Administration
                      (LPA) billing/payment process                           _______       Part 2 only

                 3.   Review of Miscellaneous FAHP recipients not run
                      through the State’s billing system                      _______       Part 3 only

Complete only the Parts of the review that are checked


Part 1. Review of State DOT billing/payment process
   Does the Division conduct periodic billing transaction reviews (other than the required IPIA review)? YES
    NO
    o If no, describe how the Division verifies that billings submitted through RASP are accurate/supportable?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

   If the Division performs periodic billing transaction reviews:
    o    What is the date of the latest review? Date: ____________________
    o    Have all findings been satisfactorily resolved? YES NO If No, provide brief explanation:
         _____________________________________________________________________________________
         __________________________________________________________________
         _________________________________________
    o    Have there been any changes to the billing system/process since last assessment?
                 YES NO If YES, provide brief explanation:
         __________________________________________________________________
         __________________________________________________________________
         __________________________________________________________________
    o    What is the Division/State doing to address any concerns resulting from these changes?
         __________________________________________________________________
         __________________________________________________________________
             _______________________________________________________________
             ___
                                                        4-1
                                                                                                  Revised: 6/11/09
    o   Has resolution to concerns been tested? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
    o   Are results of tests conclusive? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
    o   Are results of tests Sufficient? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
    o   Were the review, results, and follow-up documented? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________

   Does the Division insure credits have been applied when an Ineligibility Notice has been issued?
       YES NO If No, provide brief explanation:
    _____________________________________________________________________
    _____________________________________________________________________
    ____________________________________________________________________
   Is documentation of the credits maintained? YES NO If No, provide brief explanation:
    _____________________________________________________________________
    _____________________________________________________________________
   Is the State implementing a new accounting and billing system or billing module? YES NO
         o If YES, Has the Division been working with FHWA FST to mitigate risks of new system
             implementation?            YES NO
         o What conclusions have been reached regarding evaluations of new billing modules? N/A
            ________________________________________________________________
            ________________________________________________________________
        o   Have all applicable concerns been satisfactorily resolved/mitigated? YES NO If No, provide
            brief explanation:
            ________________________________________________________________
            ________________________________________________________________
        o   Is resolution satisfactorily documented? YES NO      If No, provide brief explanation:
            ________________________________________________________________
            ________________________________________________________________



                                                       4-2
                                                                                                Revised: 6/11/09
Part 2. Review of State DOT Local Project Administration (LPA) billing/payment process

NYSDOT Region: _________________________________________________
Local Project Administrator: ________________________________________

   Does the State DOT have written procedures for processing claims for reimbursement submitted by
    subrecipients of Federal funds?    YES NO
        o If No, describe how reimbursement claims are submitted and processed
            _________________________________________________________________________________
           ________________________________________________________________
           ________________________________________________________________
   Does NYSDOT conduct periodic billing transaction reviews (other than the required IPIA review)?
       YES NO
       o If NO, describe how NYSDOT verifies that billings submitted through RASP are
         accurate/supportable?
       __________________________________________________________________
       __________________________________________________________________
       __________________________________________________________________
   If NYSDOT performs periodic billing transaction reviews:
       o   What is the date of the latest review? Date: ____________________
       o   Have all findings been satisfactorily resolved?     YES NO
           If No, provide brief explanation:
           _________________________________________________________________________________
           _____________________________________________________________________
           ________________________________________________________________

   Does the State DOT reimburse the local agency according to their procedures and in a timely manner?
       YES NO

   Does NYSDOT have a systematic process of auditing the claims submitted by local agencies?
       YES NO
       o If YES, briefly describe the process.
           ________________________________________________________________
           ________________________________________________________________
           ________________________________________________________________
   Does the LPA accounting and billing process comply with generally accepted accounting principles and
    standards of internal controls?    YES NO
        o If NO, briefly explain:
            _________________________________________________________________________________
           ________________________________________________________________
           ________________________________________________________________


                                                       4-3
                                                                                              Revised: 6/11/09
   Does the documentation submitted by the local agencies support the claims for reimbursement?
       YES NO
       o If NO, briefly explain:
            ________________________________________________________________
            ________________________________________________________________
            ________________________________________________________________
   Does NYSDOT or Local Agency have an audit function that reviews final claims for locally administered
    federal-aid projects?      State: YES NO       Local Agency: YES NO
        o If NO, briefly explain:
            ________________________________________________________________
            ________________________________________________________________
            ________________________________________________________________
           Are these final claims supported with audit reports and do they accompany the claim?
                YES NO
        o   Do persons with authority to take appropriate action receive and review the reports?
                YES NO
        o   How does State or Local Agency handle the disposition of significant findings that impact the claim
            for Federal funds?
            ________________________________________________________________
            ________________________________________________________________
            ________________________________________________________________
        o   Has the quality of these audits been determined   YES NO and what were the results of this
            review?
            ________________________________________________________________
            ________________________________________________________________
            ________________________________________________________________
   Did the State or local agency have any Single Audit findings involving Federal-aid billing processes?
          YES NO

        o   If so, were findings satisfactorily resolved and documented?
            ________________________________________________________________
            ________________________________________________________________
            ________________________________________________________________
Part 3. Review of Miscellaneous FAHP recipients not run through the State’s billing system

   Does the Division periodically review claims for reimbursement from recipients of Federal Funds who do not
    use the current billing process RASP (Recreational Trails for example)? YES NO
   Periodic billing transaction reviews performed by the Division Office:
    o   What is the date of the latest review? Date: ____________________




                                                       4-4
                                                                                                 Revised: 6/11/09
    o   Have all findings been satisfactorily resolved? YES NO If No, provide brief explanation:
        _____________________________________________________________________________________
        _________________________________________________________________________
        __________________________________________________________________
    o   Have there been any changes to the billing system/process since last assessment?
                YES NO If YES, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
    o   What is the Division/State doing to address any concerns resulting from these changes?
        __________________________________________________________________
        __________________________________________________________________
        _______________________________________________________________
    o   Has resolution to concerns been tested? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
    o   Are results of tests conclusive? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
    o   Are results of tests Sufficient? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
    o   Were the review, results, and follow-up documented? YES NO If No, provide brief explanation:
        __________________________________________________________________
        __________________________________________________________________
        __________________________________________________________________
   Does the Division insure credits have been applied when an Ineligibility Notice has been issued? YES         NO
    Is documentation of the credits maintained? YES NO
   Does the recipient’s accounting and billing process comply with generally accepted accounting principles and
    standards of internal controls? YES NO
   Does the documentation submitted by the recipient support the claims for reimbursement? YES NO
   Does the recipient have an audit function that reviews final claims for federal-aid projects not processed
    through the state DOT’s billing system? YES NO
        o   Are these final claims supported with audit reports and do they accompany the claim? YES        NO
        o   Do persons with authority to take appropriate action receive and review the reports? YES      NO
        o   How does the recipient handle the disposition of significant findings that impact the claim for Federal
                         funds? YES NO


                                                        4-5
                                                                                                   Revised: 6/11/09
       o   Has the quality of these audits been determined and what were the results of this review? YES   NO
   Was the recipient subject to the Single Audit requirements under OMB A-133? YES NO
       o   Were there any findings involving Federal-aid funds? YES NO
       o   Were the findings adequately resolved and documented? YES NO




Completed by:                                                          Date:




                                                     4-6
                                                                                              Revised: 6/11/09
Attachment 5 – Indirect Costs Checklist


                                      New York Division Office
                      Indirect Costs of State and Local Governments Checklist
                                                                                 Check
      Review 1.         Annual approval of State DOT indirect cost allocation             Complete
       Type:            plan (ICAP) and indirect cost (IDC) rate(s)             _______   Parts 1 - 5

                 2.Periodic checking of rate application to Federal-aid                   Complete
                   projects                                                     _______   Part 5 only
Complete only the Parts of the review that are checked

Part 1. Annual approval of State DOT indirect cost allocation plan (ICAP) and indirect cost (IDC) rate(s)
(if applicable)

   Does the State DOT apply an indirect cost (IDC) rate(s) to FAHP projects?
        YES     NO
If No, sign, date and file this review. Otherwise complete the remainder of this checklist.


   Has Division Office approved current ICAP and IDC rates for use by State DOT?
        YES     NO Date: ____________________
   Was the ICAP submitted and approved in a timely manner?
        YES     NO Date: _______________
   Is there documented evidence of review of the ICAP submittal in the Division Office files?
        YES     NO File Number: ____________________
If No, provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
   Did the Division utilize the Health and Human Services, FHWA ICAP Review Guide, or other appropriate
    checklist to determine that the State’s ICAP conforms to the requirements of 2 CFR 225?
        YES     NO If No, provide brief explanation:
________________________________________________________________________
________________________________________________________________________
   Has an agreement been executed by both the State DOT and FHWA Division?
        YES     NO Date: ____________________
If No, provide brief explanation:
________________________________________________________________________
________________________________________________________________________



                                                         5-1
                                                                                                 Revised: 6/11/09
   Is the State DOT observing the FHWA prohibition on indirect cost projects? (see Indirect Cost Policy memo:
    FHWA Indirect Costs May 5 2004)
       YES NO      If No, provide brief explanation:
___________________________________________________________________________________________
___________________________________________________________________________________________

Part 2. State’s responsibilities for Local Public Agency (LPA) ICAP and IDC rate approvals
   Do LPAs apply an IDC to Federally-aided highway projects

        YES    NO If NO, Continue to Part 3.

   Is the State aware of, and is it exercising its responsibilities for negotiation and monitoring LPA ICAPs, in
    accordance with 23 USC 106(g)(4) and 2 CFR 225 Appendix E(D)(1)(b)?
        YES     NO      Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Are there any LPAs for which the State is not exercising this responsibility?      YES NO
        o If yes, identify steps being taken to ensure compliance:
___________________________________________________________________________________________
___________________________________________________________________________________________
       o Are the follow up steps tied to the Office of Infrastructure’s LPA corrective action plan?
        YES    NO

Part 3. Other subrecipients with ICAPs

   Do other LPAs apply an IDC to Federally-aided highway projects
        YES    NO      If No, Continue to Part 4.
   Has the State exercised its responsibilities regarding non-profit ICAPs (per 23 U.S.C. 106(g)(4)(A)(ii)) and
    their compliance with 2 CFR 230?
        YES     NO      Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

   Is the State aware of the most recent approved ICAP for universities? (likely approved by either HHS or the
    Office of Naval Research, depending on who provides the most federal funding)?
        YES     NO      Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________


                                                        5-2
                                                                                                   Revised: 6/11/09
Part 4. Effects of infusion of ARRA funds on equity of indirect cost allocation to all benefiting cost
objectives (2 CFR 225 Appendix A(F)(1), Appendix E(D)(2)(c) and (D)(3)(e))

   States – Has the Division discussed impacts of ARRA funding infusion on the continued equity of distribution
    of indirect costs to all benefiting cost objectives, including FAHP and ARRA funded projects?
         YES NO If YES, Date: ____________________

   If applicable, have risks been appropriately mitigated? (This will likely involve either not allowing any
    charging of indirect costs to ARRA funded projects for the remainder of the State’s FY 2009 or taking
    necessary steps to adjust rates for the remainder of FY 2009 to take into account the increased infusion of
    Federal funds and to avoid unnecessary over recovery of indirect costs)
        YES     NO     Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

   LPAs – Has the Division discussed potential impacts of ARRA funding on LPA administered projects where
    indirect costs are involved? YES NO       N/A

   Does the State have plans to adequately address risk of effects on FAHP and ARRA funded projects?
        YES     NO     Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

Part 5. Periodic checking of rate application to Federal-aid projects

   Has the Division verified that IDC rates are properly charged to FAHP and ARRA funded projects, in
    accordance with current FHWA approval letter, and/or subsequently modified rates to mitigate effects of
    ARRA infusion of funding
        YES     NO     Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
        o   For State administered projects?
       YES NO Provide brief explanation:
___________________________________________________________________________________________
___________________________________________________________________________________________
___________________________________________________________________________________________
       o For LPA administered projects?
        YES     NO     Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
         _______________________________________________________________

                                                        5-3
                                                                                                  Revised: 6/11/09
      Is the State charging indirect costs to projects funded with Emergency Relief funds?      YES NO
            o If YES, has the Division ensured that such allocations do not result in a “windfall” of federal
                funding to the State?    YES NO Provide brief explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
           o    Has the Division documented efforts to avoid over recovery of indirect costs to the ER program,
                such as special ER indirect cost rate(s) being developed? YES NO Provide brief
                explanation:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________




Completed by:                                                           Date:




                                                      5-4
                                                                                                Revised: 6/11/09
Attachment 6 – Billing Review Checklist

                            AMERICAN RECOVERY and REINVESTMENT ACT (ARRA)
                                 BILLING REVIEW MONITORING CHECKLIST

PIN:_________________________ CONTRACT NUMBER:______________________ COUNTY:
____________________________
PROJECT DESCRIPTION:
_______________________________________________________________________________________
_____________________________________________________________________________________________________
_____
INSPECTION DATE: ___________ INSPECTION CONDUCTED BY:
____________________________________________________
SPONSOR: ___________________________________          CONTRACTOR:
___________________________________________
Interviewed: ___________________________________________     EIC ____ Res. Engr.____ Off Engr. ____ Inspt. ____
Is the Project Locally-Administered?  YES     NO     Local Sponsor Official Present During Inspection? YES   NO
NA

Project Cost & Schedule:
Authorization Date:________________________________ Advertise
Date:___________________________________________
Award Date: ________________ Orig. Completion Date:_______________ Award Amount:
$___________________________
Current/Final Contract Amount: $________________________________               % Growth: __________ %
Complete:_________
Is project on-schedule? YES NO            if “NO”, Reason(s):
________________________________________________________
________________________________________________________________ Time extension(s) granted? Yes NO
Expected
 if “Yes” then: a) New Completion Date:__________________ b) with charges/without charges
 c) Is this new completion date in compliance with the established ARRA timeframe thresholds?        YES NO


Order-On-Contract (OOC) Process:
# Orders-on-Contract: _______
         Description(s):__________________________________________________________________
_____________________________________________________________________________________________________
_______
Major Items/Work Added to Contract? YES NO Description:
______________________________________________________
_____________________________________________________________________________________________________
_______
Added work eligible for federal-aid? YES NO        if “NO”
explain:______________________________________________________
Does the OOC provide sufficient explanation to document the work necessary, consistent with specifications, and within the
scope of the project (Please make a copy of a representative sample)? YES    NO
Were approved OOC procedures followed? YES             NO
Ongoing Contractor disputes? YES NO          Description:
____________________________________________________________
_____________________________________________________________________________________________________
______

               Project Documentation:

                                                           6-1
                                                                                                        Revised 6/11/09
Are documentation standards such as MURK and/or CMP established documentation procedures and protocol for
documentation and project record keeping being followed (Please provide a sample of project documentation such as
IDRs)? YES          NO
Is a project daily diary kept and updated?                                                         YES       NO
Are Inspector’s Daily Reports (IDRs) being kept and up to date for all work activities?            YES       NO
          - Are the IDRs clear, concise and adequately describe the work performed?                YES       NO
          - Are pay items properly documented with quantities and supporting documentation? YES              NO
          - Are material test results properly referenced and provided to verify acceptability?    YES       NO
          - Are field measurements being conducted and properly documented?                        YES       NO
          - Are “pay-per-plan” items properly field measured to verify quantities?                 YES       NO
          - Are corrections/changes made utilizing the “single-line strike out” method?            YES       NO
          -Are the IDRs being signed by the inspector AND checked/verified/signed by the EIC?      YES       NO
          - Identify dates of IDRs reviewed: __________________________________________
What is the frequency at which project documentation is being checked/verified/signed by another individual of the project
staff? DAILY                 WEEKLY MONTHLY             OTHER:________________________________
Are material certifications kept on file?       YES     NO       YES, BUT KEPT OFFSITE
Is CEES being utilized to track pay item quantities? YES         NO If “NO”, what is the system being utilized?
___________________

Additional Documentation Details:
_______________________________________________________________________________
_____________________________________________________________________________________________________
_______




Pay Estimate Process Review:
Pay estimates issued to date:_____________________ Amount Paid $______________________ Freq.
Prepared:______________
Is retainage being withheld?______________________ If “Yes” what percentage? _____________%
          1. Select a recent project pay estimate and select a representative number ( 12-15 ) of pay quantity items for
              review. Pay quantity items should be selected based on differing payment measures ( e.g. each, lump sum,
              SQM, CM, etc. ) which will provide information on how each type of measurement is processed. Pay special
              attention to even dollar amounts, credits, costs over $100,000, non participating costs.
          2. With the assistance of NYSDOT project staff, a report should be generated from NYSDOT”S Computerized
              Engineer’s Estimate System ( CESS ) or equivalent, which details the IDRs that support the quantities billed on
              the selected pay estimate. This report should contain the IDR number and date, interim quantity, final
              quantity, estimate number, description location, item specification number, and fiscal share.
          3. Using the CEES report, trace the IDR number for the selected item(s) back to the actual IDR reported filed in
              the project records. Review the individual IDR report for description of work preformed including item
              numbers, interim quantities, final quantity, supporting documentation / calculations and appropriate
              signatures confirming review and acceptance of the IDR.
          4. Check and confirm the quantities on the IDR with the information on the CEES report and the pay estimate.
              Also check the pay item against the standard specifications to ascertain that the pay items were properly
              calculated.
          5. Report findings including any noted discrepancies or deficiencies and recommendations. A standard inspection
              report ( Form FHWA 1446-A ) can be used to report findings. Coordinate the results of your review with HAM-
              NY. Please obtain copies of any correspondence / documentation needed to demonstrate the findings of the
                              inspection.


                                                            6-2
                                                                                                           Revised 6/11/09
       6.   Improper Payments: Were charges for work prior to authorizations / obligation submitted?
            _____________________
            __________________________________________________________________________________________
            ______

Field Observations/Noted Deficiencies (attach additional documentation if necessary):
        1. Completeness of data:
             ______________________________________________________________________________
             __________________________________________________________________________________________
             _______
        2. Data Accuracy:
             __________________________________________________________________________________________
             __________________________________________________________________________________________
             ______________
        3. User Access:
             ______________________________________________________________________________________
             __________________________________________________________________________________________
             _______
        4. Processing:
             _______________________________________________________________________________________
             __________________________________________________________________________________________
             _______
        5. Recovery:
             _________________________________________________________________________________________
             __________________________________________________________________________________________
             _______
        6. Is there written project payment and reimbursement process? ( Obtain copy )
             _________________________________
             __________________________________________________________________________________________
             _______
        7. How does actual process compare?
             ___________________________________________________________________
             __________________________________________________________________________________________
             _______
        8. How long to pay / timeframes?
             _______________________________________________________________________
             __________________________________________________________________________________________
             _______
        9. Are there any disputed pay estimates?
             _________________________________________________________________
             __________________________________________________________________________________________
             _______
        10. Inquire intake process for Consultant Invoices:
             __________________________________________________________
             __________________________________________________________________________________________
             _______
        11. Who verifies, codes, approves.
             _______________________________________________________________________
             __________________________________________________________________________________________
             _______
        12. Is there retainage?
             _________________________________________________________________________________
             __________________________________________________________________________________________
                            _______


                                                  6-3
                                                                                        Revised 6/11/09
        13. IS CEES, Site Manager, or similar software being used?
            ____________________________________________________
            __________________________________________________________________________________________
            _______
        14. Are there any under runs – potential cost savings?
            _______________________________________________________
            __________________________________________________________________________________________
            _______




        15. Was the cost incurred after FHWA approval?
            ___________________________________________________________
            __________________________________________________________________________________________
            _______
        16. Was the payment eligible for Federal participation?
            ______________________________________________________
            __________________________________________________________________________________________
            _______
        17. Was the cost charged to the correct project?
            ____________________________________________________________
            __________________________________________________________________________________________
            _______
        18. Was the payment approved by the appropriate State or local official?
            ________________________________________
            __________________________________________________________________________________________
            _______
        19. Was the indirect cost distribution in support of the payment in accordance with Federally approved plans? (
            This question applies ONLY to items that represent indirect costs )
            ______________________________________________
            __________________________________________________________________________________________
            _______
        20. Was the amount paid by the State accurate and in agreement with the source document(s)?
            _____________________
            __________________________________________________________________________________________
            _______
        21. Is the Federal billing amount within the Federal share percentage?
            __________________________________________
            __________________________________________________________________________________________
            _______
        22. If job is Locally Administered, has the state provided written procedure for processing claims?
            __________________________________________________________________________________________
            _______
        23. Does State DOT reimburse the local agency according to their procedures and in a timely manor?
            __________________________________________________________________________________________
            _______
        24. Does documentation submitted by local agencies support claims for reimbursement?
            ___________________________
            __________________________________________________________________________________________
            _______
_____________________________________________________________________________________________________
_______
              _________________________________________________________________________
              ____________________________
                                                         6-4
                                                                                                      Revised 6/11/09
6-5
      Revised 6/11/09

								
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