Source: http://onlinemanuals.txdot.gov/txdotmanuals/cah/general_requirements_checklist.htm
Timestamp: 2019-05-21 14:46:10
Document Index: 451741134

Matched Legal Cases: ['§231', '§9', '§2155', '§2253', '§406', '§2251', 'Art 3']

Construction Contract Administration Manual: General Requirements Checklist
16. Local Government Contract Oversight | Construction Contract Administration Manual | TxDOT Manual System
▼16. Local Government Contract Oversight
▼2. General Requirements Checklist
Anchor: #CFACIGII
Anchor: #b170002
Review the bid document package received from the local government to ensure that it is complete. Transmit complete bid document packages to the Design Division (DES) for review and approval. Facilitate communication between DES and the local government. Failure to ensure that bid document packages include all of the items listed in the following checklists will lengthen the review and approval process.
Obtain proposed procedures, policies and programs from the local government prior to the preparation of the final proposed bid package and forward to DES for review and approval. DES will, in turn, forward the proposals as appropriate to the offices of primary responsibility for review and approval. Notify the local government (LG) when DES provides approval of the proposed procedures, policies, and programs. Should additional information or revision be required, coordinate the receipt of information or revision between the local government and DES.
Anchor: #t170001Federal Requirement Bid Document Preparation
LG Responsibility
District Monitoring Responsibilities
Bonding and prequalification
Submit qualifying / licensing procedures to the department for approval. Include approved provisions in bid document.
Receive qualifying / licensing procedures and forward through DES to Construction Division (CST) for approval (specific contact: Contract Letting and Contractor Prequalification Branch [CL&CP], [512] 416-2490). Return approved qualifying and licensing procedures received from DES to the LG.
Include provisions in bid document.
Review bid document for inclusion of the provision.
Develop procedures outlining the conditions under which a change order is allowed and include in bid document.
Develop procedures outlining the conditions under which a claim is allowed and include in bid document.
Review bid document for inclusion of the conditions under which a claim is allowed.
Provide procedures to be used.
Forward procedures received from the LG through DES to CST for review and approval.
Submit geometric design criteria.
Ensure 12 controlling elements meet approved design standard.
Formally document design exception.
Ensure design meets minimum AASHTO requirements for the 12 controlling elements. Forward design exception(s) received from the LG to DES for review and approval.
49 CFR 29.510
Include statement of certification in bid document.
Designated material sources /disposal sites
Develop public interest finding if specified in the bid document
Review bid document for designated material sources. If development of a public interest finding is required, ensure that the finding is approved by DES.
Develop a program (in accordance with 49 CFR 26) or adopt the department’s approved DBE program
establish project goals and include in bid document.
include DBE provisions in bid document and
use DBEs certified under the Texas Unified Certification Program.
If the LG develops its own program, obtain copy of the DBE Program to be used by the LG and forward program through DES to the Business Opportunity Programs Office (BOP) for review and approval.
Contact BOP at (512) 486-5500 for additional information and guidance.
Include departmental approved provisions in bid document.
Ensure EEO provisions are included in the bid document in accordance with federal requirements.
Develop procedure based on 48 CFR 31 and include in bid document.
Review bid document for inclusion of the proper payment provision for rental equipment.
Include language verbatim in all contracts and subcontracts.
23 CFR 630.305
Develop rates and include contract provisions and
include contract provision for assessing damages.
Forward liquidated damage rates proposed by the LG through DES to CST (specific contact: CST, Field Engineering Branch [FE]) for approval. Ensure that approved rates are included in bid proposal.
Include certification form in bid documents.
Do not include any local hiring preferences in bid documents.
Review bid document to ensure exclusion of any local hiring preference.
Develop a public interest finding and submit to the department for approval if not using the competitive bidding method.
Forward bidding and award procedures proposed by LG through DES to CST for review and approval (specific contact: CST-CL&CP).
Non collusion Provision
Include certification in bid document.
Include definition of non-responsive bid and list of reasons for a bid being non-responsive in bid document and
Ensure the bid document includes this provision. Forward bidding and award procedures, including provisions for non-responsive bids, proposed by through DES to CST for review and approval (specific contact: CST-CL&CP).
23 CFR 230.409
Include FHWA 1273 in bid documents.
Patented / Proprietary materials
Develop public interest finding (if specified in bid document).
If development of a public interest finding is required, ensure that the finding approved by DES is included in the bid document.
23 USC 113
Include latest Davis-Bacon wage rate in the contract. Current wage rates may be obtained at: http://www.access.gpo.gov/davisbacon.
Review bid document for inclusion of the provision. If the project is located in the border area, contact CST, Labor and Contract Administration Branch (L&CA) for the appropriate border wage rates.
Prison produced material
Develop contract language to prohibit the use of convict-produced materials and include in bid document.
Do not allow in contract
23 CFR 646.107
Include provisions for railroad insurance in bid document when work is in the railroad right of way.
State or local preference
Do not allow in contract.
Review bid document for exclusion of state or local preferences.
Develop contract language for termination for cause, convenience, and default and include in bid document.
Time extensions (see Change Orders and Time Extensions)
Include reasons time extensions are allowed in bid document.
Provide the department with procedures to be used and include approved procedures in bid document.
Anchor: #t170002State Requirement Bid Document Preparation
Family Code §231.006
Include language required by state statute verbatim in bid document.
43 Texas Administrative Code §9.55
Ensure SBE provision requirements are included in bid document.
Review bid document for inclusion of the provision. Applicable to projects that are wholly funded with state funds and federally-funded projects that do not have a DBE goal provided.
Government Code 2258
Include appropriate wage rates in bid document in accordance with state statute.
Projects located in counties adjacent to Mexico or in counties adjacent to counties that are adjacent to Mexico are subject to state prevailing wage requirements. Contact the CST-L&CA for copies of these wage rates.
Anchor: #b170003
Bid Document Components
Obtain the following bid document components from the local government and transmit to DES for proper department coordination. Contact the division/office with primary responsibility, as listed below, for additional information or guidance.
Anchor: #t170003Bid Document Components
Bid Document Component
CST-Contract Letting and Contractor Prequalification (CL&CP), (512) 416-2490
CST-Labor and Contract Administration (L&CA), (512) 416-2532
CST-Claims, Disputes and Special Programs (CDSP), (512) 416-2510
DES, Landscape Design Section, (512) 416-3082
Business Opportunity Programs Office (BOP), (512) 486-5500
Office of Civil Rights (OCR), (512) 936-2741
CST-Field Engineering (FE), (512) 416-3301
Method of Construction (or Bidding)
CST-CL&CP, (512) 416-2490
CST-L&CA, (512) 416-2467
CST-FE, (512) 416-3301
Anchor: #b170004
Letting and Award
As with the Bid Document Preparation phase, receive bid document components from the local government and transmit to DES for review and approval. Facilitate communication between the local government and DES. There are, however, some district responsibilities during this phase included in the checklists above. The following detail is provided as guidance to be used in satisfying these responsibilities.
Advertising and Distribution of Bid Documents. Ensure that the local government’s DBE program and procedures related to bid opening and tabulation have been approved prior to any advertising of the project. Conduct periodic reviews during the advertising time period to ensure local government compliance with the advertising requirement in accordance with procedures approved by DES. At the same time, ensure that bid documents were disseminated at least three weeks prior to the date of bid opening. Notify DES immediately of any discrepancies noted.
Bid Opening. Attend bid openings and observe the letting process to ensure that approved procedures are used. Notify DES immediately of any discrepancies noted.
Lobbying and Non-collusion Certifications. Review at least three apparent lowest bidders of the bid proposals received by the local government to ensure proper contractor completion of these certifications. Notify DES immediately of any improperly completed certifications.
Anchor: #t170004Federal Requirement Letting and Award
Send addenda to the department for approval before release. Make approved addenda available to all bidders.
Forward proposed addenda to DES for review and approval before addenda is made available to all bidders.
Obtain department approval for bid opening and tabulation before advertising
obtain departmental authorization and
advertise contract for a minimum three weeks in advance of bid opening.
Forward proposed advertising requirements through DES to CST for review and approval. Perform “spot checks” of posted advertisements to ensure compliance with approved procedures. Ensure that bid opening and tabulation procedures are approved prior to advertising of the project.
determine lowest responsible / responsive bidder
consider alternate bid items, if used
establish low bid criteria if add alternate bid items are used
request concurrence in award and
proceed with contract execution after notification of concurrence by the department.
Forward concurrence package received from LG through DES to CST for review.
Describe procedures to ensure bids are opened and publicly read at time and location listed in advertisement.
Forward the LG’s proposed procedures through DES to CST for review and approval. Attend bid opening if locally let and ensure that approved procedures are followed.
Minimum three weeks prior to date of letting.
Conduct a “spot check” to ensure required procedures are followed.
Review certification contained in bid document. If the bidding contractor indicates that he/she has participated in lobbying, contact TxDOT for further direction.
Conduct periodic reviews of bid document lobbying certifications. If any of the certifications reviewed indicate lobbying activities were conducted, notify DES immediately.
Review certification contained in bid document to ensure proper completion by contractor.
Conduct periodic reviews of bid document to ensure proper completion of the non-collusion certificate by the contractor. Notify DES of any improperly completed certifications.
Anchor: #t170005State Requirements Letting and Award
Government Code §2155.083
Place notice on Texas Department of Economic Development Internet site (Texas Marketplace) a minimum of 21 calendar days prior to bid opening.
Advertise the place and time bids are to be opened and read.
Conduct periodic reviews of advertising publications to ensure compliance.
Anchor: #b170005
Anchor: #t170006Federal Requirements - Contract Execution
Send the DBE goal to the department for determination that it has been approved by a US DOT agency before the project is advertised and
review DBE participation to ensure contract goals are satisfied in accordance with provisions contained in the bid document prior to contract execution.
Send the LG’s DBE Program through DES to BOP for review and approval prior to advertising of the project. If the project includes a DBE goal requirement, ensure that the required DBE documentation is included in the concurrence package and forward through DES to BOP for review.
Ensure that contractor has submitted the required insurance and
ensure that railroad agreement has been executed prior to contract execution.
Conduct periodic reviews of bid documents to ensure compliance.
Anchor: #t170007State Requirements - Contract Execution
Government Code §2253.021
Performance bonds required if the contract is in excess of $100,000 and
payment bonds required if the contract is in excess of $25,000.
Ensure that the required bond information is included in the concurrence package and forward through DES to CST for review.
Collect names and social security numbers of all individuals owning 25% or more of the company that is awarded the contract.
Ensure that the required information is included in the concurrence package and forward through DES to CST for review.
Review SBE participation to ensure goals are satisfied in accordance with provisions contained in the bid documents prior to contract execution.
If the project includes an SBE goal requirement, ensure that the required SBE documentation is included in the concurrence package and forward through DES to BOP for review.
Labor Code §406.096
Ensure the contractor has filed the required certificate of insurance prior to contract execution.
Anchor: #b170006
District responsibilities are primarily contained within this contract phase. Specifics and guidance related to each component of this phase is included in the checklist below. During this phase and unless otherwise indicated, contact the CST, Field Engineering Branch at (512) 416-2455 for additional information and guidance. Specific contact information, where applicable, is provided in the checklist.
Conduct at least two periodic reviews or project site visits during the life of the Contract once the work has started to ensure compliance with various contracting requirements as listed in the following checklists. During this phase, and unless otherwise indicated, contact CST-FE at (512) 416-2455 for additional information and guidance. Specific contact information, where applicable, is provided in the checklist.
Conduct at least two periodic reviews or project site visits during the life of the contract once the work has started. Conduct at least one site visit during peak activity. Conduct a final inspection prior to release and final approval of the project. Periodic reviews of required reports and submissions may be conducted separately by desk audit or may be conducted in conjunction with the site visit of the project. During these periodic reviews or site visits, review all areas of the project to ensure compliance as listed below. This includes a review of invoices, copies of checks, and work reports.
Anchor: #t170008Federal Requirements - Contract Administration
Ensure all transportation facilities are in compliance. Guidance for local governments may be obtained at the U. S. Department of Justice and the U. S. Access Board.
Ensure compliance when conducting the final inspection.
Develop definition of major / non-major change orders
gain approval of major changes before starting work
approval of non-major changes can be given later if a definition is developed and
maintain documented cost analysis of negotiated prices.
Review and approve the LG’s definitions of major / minor change orders.
Review and approve ALL change orders.
Contact CST-L&CA, (512) 416-2435 for additional information and guidance.
Develop claims procedure as required and administer in accordance with procedures developed.
Review and approve all claims, while ensuring that approved procedures are administered. Forward proposed claims procedures developed by the LG through DES to CST-CDSP, (512) 416-2510, for approval.
Administer time in the manner approved.
Ensure that time is charged on the project in accordance with procedures approved by CST.
Ensure that the contractor does not use convict labor.
Conduct periodic reviews of the project to ensure compliance.
Should such a condition exist, handle in accordance with provisions contained in contract documents.
Review and approve any change orders processed by the LG regarding differing site conditions.
Monitor progress / good faith efforts through monthly DBE progress reports submitted by the contractor.
Conduct periodic reviews of the project to ensure compliance with DBE program requirements. Receive and approve any good faith efforts submitted. At final inspection, ensure that all DBE program requirements, including goal satisfaction, have been accomplished
Environmental commitments are often made during the environmental process. Carry these commitments forward in the construction plans. Contact the Environmental Affairs Division (ENV) with questions or concerns related to environmental issues.
Periodically review project records to ensure compliance with environmental requirements. Forward any environmental concerns immediately through DES to CST for proper coordination. Review and approve any change orders arising as a result of environmental concerns.
Collect contractor’s and subcontractors annual FHWA 1391 reports and submit to the department’s area or district office and
ensure all subcontractors comply with EEO requirements
Conduct periodic project inspections to ensure compliance with EEO requirements. Consolidate project information into FHWA 1392 annual report provided to OCR and
contact OCR at (512) 936-2741 for additional information and guidance.
Publicly owned equipment rental rates
FAPG NS 23 CFR 635.126
Ensure that contractor does not specify mark-ups.
Ensure that LG does not include markups on publicly owned equipment rental rates for change orders.
Furnish Form FHWA-1022 and ensure it is posted on the project bulletin board.
Conduct periodic project inspections to ensure compliance.
FHWA/TxDOT Oversight Agreement (10/13/06)
Perform final inspection for quality of work and compliance with specifications and regulatory requirements and
prepare final acceptance report.
Conduct final inspection on all projects and transmit the report to FIN. Maintain the final inspection form in the project file.
Assess in accordance with specifications included in contract documents.
At final inspection, ensure the assessment of any liquidated damages in accordance with contract specifications.
Ensure compliance with Form FHWA-1273, Section III Non-segregated facilities) and
visit site periodically to verify compliance.
Conduct periodic project inspections to ensure non-segregated facilities are maintained and
Obtain payrolls weekly for all contractors and subcontractors
review for completeness and certification and
retain for subsequent review by the department or the United States Department of Labor (USDOL). Payrolls must be retained for a minimum of three years following project completion and acceptance.
Conduct a review of at least 1 payroll per project to ensure compliance. If any discrepancies are identified, notify CST-L&CA immediately and
contact CST-L&CA at (512) 416-2467 for additional information and guidance.
Ensure that the contractor is paying the minimum wages as contained in the contract through review of certified payrolls, employee interviews, etc.
See “Payrolls” above.
Base payments on work completed. Payments may include stockpiled material with certain restrictions.
Review at least 10% of the monthly estimates per project to ensure compliance. Notify CST-FE immediately of any discrepancies.
Prompt payment to subcontractors/vendors (See Disadvantaged Business Enterprises)
49 CFR 26.29
Ensure prompt payment provisions are included on all subcontracts associated with federally funded projects.
Work with LG to resolve complaints and
contact CST-FE at (512) 416-2532 for additional information and guidance.
23 CFR 637, Subchapter B
Adopt and implement a department approved Quality Assurance (QA) program to ensure the quality of the workmanship and materials adhere to contract requirements.
Conduct periodic inspections to ensure compliance with approved program. (LG program must be forwarded through DES to CST for approval.)
49 CFR 18.42
FHWA 1273 Item V.2
Ensure that project records provide adequate assurance that the quantities of completed work are determined accurately and uniformly, and maintain them for a minimum of three years following contract completion and acceptance.
Conduct periodic reviews to ensure compliance.
Safety: Accident Prevention (OSHA)
Safety provisions are contained in the contract under FHWA-1273. Contact OSHA with any suspected contractor / subcontractor safety violations.
Follow Texas Building and Procurement Commission rules.
Ensure compliance with approved procedures. (Forward any proposed LG procedures related to salvage credits through DES to CST for approval.)
Monitor 70% maximum for subcontracted work.
Check debarred list for subcontractors.
Conduct periodic project record reviews to ensure compliance and
Outline procedures to ensure compliance with plans and specifications. Ensure that a full time LG employee is in charge of the project (name and title).
Conduct periodic on-site inspections to ensure LG is following approved procedures (proposed LG procedures must be forwarded through DES to CST for approval).
Administer contract terminations in accordance with contract provisions.
Forward proposed contract through DES to CST for approval and
contact CST-CL&CP at (512) 416-2490 for additional information and guidance.
Obtain department approval prior to extending time.
Review and approve time extensions received from the LG.
Follow procedures previously approved by the department and included in the bid document.
Anchor: #t170009State Requirements - Contract Administration
Government Code §2251.021
Texas Constitution - Art 3-Sec. 5D
Ensure payment to LG contractor is issued before requesting reimbursement from TxDOT.
Invoices to TxDOT must include sufficient details to answer who, what, when, where, and how expenses billed, including, but not limited to the following:
clear and concise description of items billed
clear description of services rendered and materials purchased.
Example of travel/expenditure:
denote purpose and date of travel
clear description or conference/seminar
benefits gained by travel to conferences/seminars
vendor/contractor payments for materials/service
For any agreement where the LG has 20% share, the invoice will clearly denote the 100% cost, and the 80% reimbursable amount.
Process monthly estimate and resolve disputes in accordance with approved procedures.
Conduct at least two site visits for the purpose of verifying items being billed are legitimate and the items exist and are within the scope of the contract. The other visit should occur during peak activity, to ensure the local government (LG) has submitted sufficient supporting documentation for file and verify that expenses have been incurred before requesting reimbursement from TxDOT.