Anchor: #CFACIGII

Section 2: General Requirements Checklist

Anchor: #b170002

Bid Document Preparation

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.

Federal requirements

Anchor: #t170001Federal Requirement Bid Document Preparation

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Bonding and prequalification

23 CFR 635.110

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.

-

Buy America

23 CFR 635.410

Include provisions in bid document.

Review bid document for inclusion of the provision.

-

Change orders

23 CFR 635.120

Develop procedures outlining the conditions under which a change order is allowed and include in bid document.

Review bid document for inclusion of the provision.

-

Claims

23 CFR 635.124

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.

-

Contract time

23 CFR 635.121

Provide procedures to be used.

Forward procedures received from the LG through DES to CST for review and approval.

-

Design Standards

23 CFR 625

  • 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.

-

Debarment certification

49 CFR 29.510

Include statement of certification in bid document.

Review bid document for inclusion of the provision.

-

Designated material sources /disposal sites

23 CFR 635.407

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.

-

Disadvantaged Business Enterprise (DBE)

49 CFR 26

  • 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.

-

Equal Employment Opportunity

23 CFR 230

Include departmental approved provisions in bid document.

Ensure EEO provisions are included in the bid document in accordance with federal requirements.

-

Equipment rental rates

FAPG NS 23 CFR 635.120

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.

-

FHWA-1273

23 CFR 230

Include language verbatim in all contracts and subcontracts.

Review bid document for inclusion of the provision.

-

Liquidated damages

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.

-

Lobbying certification

49 CFR 20

Include certification form in bid documents.

Review bid document for inclusion of the provision.

-

Local hiring preference

23 CFR 635.117

Do not include any local hiring preferences in bid documents.

Review bid document to ensure exclusion of any local hiring preference.

-

Method of construction (or method of bidding)

23 CFR 635.104

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

23 CFR 635.112

Include certification in bid document.

Review bid document for inclusion of the provision.

-

Non-responsive bid

23 CFR 635.112

  • Include definition of non-responsive bid and list of reasons for a bid being non-responsive in bid document and
  • review bid document for inclusion of the provision.

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).

-

Non-segregated facilities

23 CFR 230.409

Include FHWA 1273 in bid documents.

Review bid document for inclusion of the provision.

-

Patented / Proprietary materials

23 CFR 635.411

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.

-

Prevailing minimum wage

23 USC 113

23 CFR 633A

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

23 CFR 635.417

Develop contract language to prohibit the use of convict-produced materials and include in bid document.

Review bid document for inclusion of the provision.

-

Publicly-owned equipment

23 CFR 635.106

Do not allow in contract

Review bid document for inclusion of the provision.

-

Railroad insurance provision

23 CFR 646.107

Include provisions for railroad insurance in bid document when work is in the railroad right of way.

Review bid document for inclusion of the provision.

-

State or local preference

23 CFR 635.409

Do not allow in contract.

Review bid document for exclusion of state or local preferences.

-

Termination

23 CFR 635.125

Develop contract language for termination for cause, convenience, and default and include in bid document.

Review bid document for inclusion of the provision.

-

Time extensions (see Change Orders and Time Extensions)

23 CFR 635.121

Include reasons time extensions are allowed in bid document.

Review bid document for inclusion of the provision.

-

Warranty clauses

23 CFR 635.413

Provide the department with procedures to be used and include approved procedures in bid document.

Review bid document for inclusion of the provision.

-



State requirements

Anchor: #t170002State Requirement Bid Document Preparation

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Child support documentation

Family Code §231.006

Include language required by state statute verbatim in bid document.

Review bid document for inclusion of the provision.

-

Small Business Enterprise (SBE)

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.

-

Prevailing minimum wage

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

Office of Primary Responsibility (OPR)

Bonding and prequalification

CST-Contract Letting and Contractor Prequalification (CL&CP), (512) 416-2490

Change Orders

CST-Labor and Contract Administration (L&CA), (512) 416-2532

Claims

CST-Claims, Disputes and Special Programs (CDSP), (512) 416-2510

Contract Time

DES, Landscape Design Section, (512) 416-3082

Design Exception

DES, Landscape Design Section, (512) 416-3082

Disadvantaged Business Enterprise Program

Business Opportunity Programs Office (BOP), (512) 486-5500

Equal Employment Opportunity

Office of Civil Rights (OCR), (512) 936-2741

Liquidated Damages

CST-Field Engineering (FE), (512) 416-3301

Method of Construction (or Bidding)

CST-CL&CP, (512) 416-2490

Non-responsive Bid

CST-CL&CP, (512) 416-2490

Prevailing Minimum Wage

CST-L&CA, (512) 416-2467

Warranty Clauses

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.

Federal requirements

Anchor: #t170004Federal Requirement Letting and Award

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Addenda

23 CFR 635.112

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.

-

Advertising

23 CFR 635.112

  • 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.

-

Bid analysis and contract award

23 CFR 635.114

  • Evaluate bids
  • 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.

-

Bid opening and tabulation

23 CFR 635.113

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.

-

Distribution of bid documents

23 CFR 635.112

Minimum three weeks prior to date of letting.

Conduct a “spot check” to ensure required procedures are followed.

-

Lobbying certification

49 CFR 20

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.

-

Non-collusion

23 CFR 635.112

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.

-



State requirements

Anchor: #t170005State Requirements Letting and Award

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Advertising

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

Contract Execution

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.

Federal requirements

Anchor: #t170006Federal Requirements - Contract Execution

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Disadvantaged Business Enterprise (DBE)

49 CFR 26

  • 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.

-

Railroad insurance

23 CFR 646.107

23 CFR 646.216

  • 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.

-



State requirements

Anchor: #t170007State Requirements - Contract Execution

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Bonding

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.

-

Child support documentation

Family Code §231.006

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.

-

Small Business Enterprise (SBE)

43 Texas Administrative Code §9.55

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.

-

Workers’ compensation insurance

Labor Code §406.096

Ensure the contractor has filed the required certificate of insurance prior to contract execution.

Ensure that the required information is included in the concurrence package and forward through DES to CST for review.

-



Anchor: #b170006

Contract Administration

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.

Federal requirements

Anchor: #t170008Federal Requirements - Contract Administration

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Americans with Disabilities Act (ADA)

49 CFR 37

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.

-

Change orders

23 CFR 635.120

  • 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.

-

Claims

23 CFR 635.124

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.

-

Contract time

23 CFR 635.121

Administer time in the manner approved.

Ensure that time is charged on the project in accordance with procedures approved by CST.

-

Convict labor

23 CFR 635.117

Ensure that the contractor does not use convict labor.

Conduct periodic reviews of the project to ensure compliance.

-

Differing site conditions

23 CFR 635.109

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.

-

Disadvantaged Business Enterprise (DBE)

49 CFR 23

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
  • Contact BOP at (512) 486-5500 for additional information and guidance.

-

Environmental concerns

23 CFR 450

23 CFR 771

23 CFR 777

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.

-

Equal Employment Opportunity

23 CFR 230

  • 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.

-

False statements

23 CFR 635.119

Furnish Form FHWA-1022 and ensure it is posted on the project bulletin board.

Conduct periodic project inspections to ensure compliance.

-

Final inspection and acceptance

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.

-

Liquidated damages

23 CFR 630.305

Assess in accordance with specifications included in contract documents.

At final inspection, ensure the assessment of any liquidated damages in accordance with contract specifications.

-

Non-segregated facilities

23 CFR 230.409

  • 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
  • contact OCR at (512) 936-2741 for additional information and guidance.

-

Payrolls

23 CFR 635.118

  • 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.

-

Prevailing minimum wage

23 USC 113

23 CFR 633 Subpart A

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.

-

Progress payments

23 CFR 635.122

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.

-

Quality Assurance (QA) Program

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.)

-

Records

23 CFR 635.123

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)

23 CFR 635.108

Safety provisions are contained in the contract under FHWA-1273. Contact OSHA with any suspected contractor / subcontractor safety violations.

Conduct periodic inspections to ensure compliance.

-

Salvage credits

49 CFR 18.36

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.)

-

Subcontracting

23 CFR 633

23 CFR 635.116

  • Monitor 70% maximum for subcontracted work.
  • Check debarred list for subcontractors.
  • Conduct periodic project record reviews to ensure compliance and
  • contact CST-FE at (512) 416-2532 for additional information and guidance.

-

Supervision and staffing

23 CFR 635.105

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).

-

Termination of contract

23 CFR 635.125

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.

-

Time extensions (see Change Orders and Time Extensions)

23 CFR 635.121

Obtain department approval prior to extending time.

Review and approve time extensions received from the LG.

-

Warranties

23 CFR 635.413

Follow procedures previously approved by the department and included in the bid document.

Conduct periodic reviews to ensure compliance.

-



State requirements

Anchor: #t170009State Requirements - Contract Administration

Requirement

Reference

LG Responsibility

District Monitoring Responsibilities

÷

Progress payments

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
  • copies of invoices
  • copies of checks
  • 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.

-



Previous page  Next page   Title page