TED Contracting Process Diagram Guidance

Updated 08.12.13      

Introduction

 

Objective: Develop standard contract language for a new “On-Call” Regional/District Traffic and Safety RAAP contracts, to ensure statewide consistency, while meeting the unique requirements of each region/district.
The purpose of this guidance is to assist the Regional Operations and Districts staff, in developing “On-Call” Regular Advertisement and Award (RAAP) contracts. RAAP contracts are used for all work that could be Federally or State funded and may be “plan”, or “no-plan” projects.
On-Call projects are designed primarily for simple, low-risk, remove/replace/upgrade projects, consisting of one targeted asset, task or activity. They are not suitable for handling work that is already contracted out, for example “hits” work, or larger, more complex projects.
Once a contract guide is developed for a targeted asset, the Regions/Districts personnel may use these guidelines to develop contracts as needed. Significant changes to specifications, work methods, products, acceptance processes, etc. may warrant development of new guidance. Changes to contracts should be reviewed with Central Office Traffic Engineering Division (COTED) on an annual basis to determine if the contract guidance should be updated.
This document is intended to identify steps and processes in order to support COTED in its efforts to streamline procedures and methods. Roles and responsibilities are included to provide clear definition of accountability. This guidance is not intended to replace the normal Electronic Plan Submission Process Flow.

 

Notes:

Linked files are shown in orange when the file, or a copy of the file, is maintained as part of this guidance.

Linked files are shown in blue when the file is independent of, and external to, this guidance.

 

References

1: NEW CONTRACT GUIDANCE

Objective: Develop contract language for new “On-Call” Regional/District Traffic and Safety RAAP contracts to ensure statewide consistency while meeting the requirements of each Region. 

1.1 Review and Define Scope with Regions/Districts

For assets without existing guidance documents, field staff should initiate a meeting with COTED staff to discuss and define contract scope.
The scope of Regional/District On-Call RAAP contracts must be consistent with the existing VDOT/FHWA Stewardship and Oversight Agreement, dated November 2012.

Scoping discussions will cover:

Š      Asset and types of work to be included

Š      Geographical area

Š      Anticipated advertisement date

Š      Funding Type

Š      Sole source needs: A product, or service which is practicably available only from one source requires approval from FHWA in the form of a Finding in the Public Interest for the procurement file.

Š      Estimate of quantity of work

Š      Standard and special contract pay items

Š      Contract term – initial and extensions

Š      Contract maximum dollar value

Š      Sequence of constructions and limitations of operations

Š      Contractor administrator designation and role

Š      Evaluation of contractor performance

Š      Verification and documentation required from the contractor

Š      Inspection needs

Š      Special concerns

Links: Stewardship Oversight Agreement

1.2 Regional/District Contract Development Process

Following the scoping discussions, COTED staff will create a statewide contract guide for the relevant asset type. Draft contracts will be vetted with all stakeholders to ensure statewide consistency. This will include:

Š      Contract pay items

Š      Uniform special provisions (addressing non-standard pay items) and copied notes

Š      The use of non-standard items due to the unique circumstances of a particular project may require special provisions. Use of non-standard pay items requires thorough consideration of appropriate unit of measurement and the basis of payment. Not only must the related specification or provision cover material requirements and standards for this pay item; it must also include a complete explanation of its measurement and basis of payment.

Š      Measured pay items should clearly indicate pay limits in order that quantities can be determined without disagreement.

Š      Circumstances requiring project specific specifications or provisions demand careful editing to avoid omissions and language contradicting other sections of the Road & Bridge Specifications, as such discrepancies or omissions frequently serve for Contractor originated basis of work order request.

Š      Specific Regional/District contracts may include special provisions defining acceptable schedule of work (i.e. upon task assignment signal work must be completed within 45 days); other asset related contracts will define minimum amount of work to be completed in a defined time frame (i.e. number of linear feet of guardrail installed per day, or per 5 day period, etc.)

Š      Contract provisions may allow for contractors to coordinate with the Project Manager for temporary shut-downs for a defined period of time in order to perform work elsewhere within state. This practice will encourage contractors to leverage their resources to enable more competitive pricing and effective work scheduling.

Š      CO TED will jointly develop any non-standard pay items, Special Provisions and Special Provision Copied Notes with the Construction Division.

Š      Standards for insertable plan sheets

Š      Bonding parameters (addressing the value of the bond required)

Š      Standard transportation management plan

Š      Standard language to ensure compliance with NEPA and ROW federal requirements

Š      Description of initial term and renewal option

Š      Explanation of Task Order process

Š      Engineer’s estimate

Š      As the targeted asset guidelines are developed, the Statewide Regional Contract guidance will be transmitted to the Regional Operation Centers for review and then revised as needed. This guidance will be used as the basis for all Regional on-call RAAP contracts for this asset type.

Links: Develop projects in accordance with guidance documents from Programming Division, L&D Division, and Construction Division, all found on the VDOT Portal. Coordinate with Betty Newsome, TE Contract Development Coordinator, on all issues related to regional contract development.

2: INITIATE REGIONAL/DISTRICT CONTRACT IN POOL/iPM

Objective: Scope a new regional/district contract, enter information into the Project Pool and obtain a permanent UPC. 

2.1 Develop 3-year Needs Estimate

Given the scope of the contract, estimate the quantity of work that is to be included over the expected duration of the contract (including expected renewals).

2.2 Establish Geographic Scope

Each contract must have clearly specified geographic boundaries.  Establishing the geographic scope should consider mobilization and overhead costs where work must be spread out within a large or uniquely shaped district, as well as the ability to accomplish work within the contract value.  A Region may wish to have a contract cover a single district or multiple counties within one or two adjacent districts. It is not always advisable to stick strictly to district or regional boundaries.

2.3 Establish Pay Item Quantities

Estimate annual work needs based on specific identified deficiencies, anticipated need, or, available historical data. Pay item quantities should be summarized on both a per-term and whole-contract basis.

The contract will be advertised and awarded using pay item quantities for one term. The contract cost entered into the Project Pool should reflect the total amount of the contract, with all available terms expended.

Cost estimates can be developed using average price, historical data from bid tabs, or unit prices from consultants, or vendors. They should take into account anticipated site conditions, space limitations and work restrictions, large and small quantities of work, traffic and seasonal conditions etc.

In establishing the pay item quantities, note that to minimize risk and cost to the Contractor, VDOT will purchase materials not installed (excluding nuts, bolts, wire, etc.), at the completion of the contract. The Department will only compensate the Contractor for remaining material on hand in accordance with Section 109.09 Payment of Material On Hand of the VDOT Road and Bridge Specifications. This may be subject to additional limitations; no other payment for material on hand will be made.

Links: Example Bid Sheet

2.4 Develop using Tier 1 Status

All “On-Call” Regional/District RAAP’s will be developed and advertised as Tier I projects, regardless of the contract value. Refer to IIM-LD-249: Tier 1/Tier 2 Approval Process to ensure conformity to Tier 1 guidelines.

Links: IIM-LD-249

2.5 Initiate Universal Project Codes (UPCs) for Regional/District Contracts in Project Pool

The Regional/District staff will be responsible for entering Regional/District Contract information into the Project Pool (this activity may be performed by the District Project Management Office (PMO), at the direction of the Regional Operations staff).   

IMPORTANT: During project setup in iPM, select the Regional/District On-Call check box on the Classification tab in Contract Expenditures so that the “On-Call” UPC will not be included on the Dashboard.

The Programming Division and COTED have compiled guidance on how Regional Contract UPCs and Individual Project / Task Order UPCs should be entered into the Project Pool & IPM.  This has been done with input from the Regions, Construction Division, and Environmental Division.  Consistency in entering these projects is critical to ensure the approval processes proceeds as necessary. See the linked document spreadsheet for step-by-step instructions for Project Pool data entry. 

Note: The UPC for the regional contract will carry a status of  Non Federal Oversight (NFO).  However, FO/NFO status for individual task order UPCs under the contract will be determined based on the current VDOT/FHWA Stewardship and Oversight Agreement.

Links: Project Pool

2.6 Assign Permanent UPCs

Once the project manager has initiated the UPCs, they must wait for Programming Division to approve and assign UPC. Once approved, Programming will send a notification email to the PM and the Sponsor. 

Links: iPM user guide

iPM user guide

Contact Betty Newsome

3: PREPARE REGIONAL/DISTRICT CONTRACT BID DOCUMENTS

Objective: Prepare regional/district contract document package in preparation for advertisement. 

3.1 Input Projects and Quantities into TRNS*PORT

Detailed estimates (this estimate should be for the first “term” only), must be entered into the TRNS*PORT system by the project manager (PM).  Guidance on entry of TRNS*PORT data can be found in the TRNS*PORT PES User Manual.  A two-day training course is regularly scheduled through VDOT University  

3.2 iPM Project Narrative

Narratives should be developed for all projects. Projects being approved by the Commonwealth Transportation Board  (CTB) need a “formal” narrative. The standard process is as follows:

Š      Prepare a project narrative describing the project’s purpose and need.

Š      Upload the narrative to iPM under the project documents.

Š      Upload should be entered into iPM no later than 10 calendar days prior to advertisement.

For consistency, use the method below to save the narrative to iPM:

In the “Project Documents” section of the iPM tool, go to:

Š      Document Category = General

Š      Project Phase = Construction

Š      File Names & Descriptions = ‘Project Narrative’

3.3 Initiate Entry into CEDAR

Š      Entry into CEDAR must be initiated for the “On-Call” Regional/District contract, then completed for each Task Order.

Š      The project manager is responsible for submitting an EQ-429 to initiate the project in CEDAR.  This form can be electronically generated in CEDAR under the “Common Functions” tab by selecting the “Submit an EQ429” hyperlink.  The form is partially populated based on iPM data. 

Š      The Project Manager (PM) will complete this form in CEDAR and send an e-mail to the Environmental Division (ED) stating a new project is pending action. ED contacts the PM if more information is required.   Follow instructions set forth in FHWA-VDOT PCE Agreement.  

Links: EQ429

EQ103

EQ200

FHWA-VDOT PCE Agreement

Cedar application

3.4 Request Right of Way (RoW) Certificate

Request Right of Way certificate.

Links: Example Request

Example RW Certification Letter

3.5 Willingness to hold a Public Hearing

A public hearing process is not required for projects that are solely for highway maintenance, operational improvements or both, except when they:

Š      Require acquisition of additional right of way

Š      Have an unfavorable effect on adjacent real property

Š      Change the layout or function of connecting roads or streets of the facility being improved

If the PM determines that a project meets the criteria for exception from the Public Hearing Process, the following steps will be taken:

Š      Prepare a letter requesting an exception (email is acceptable)

Š      Obtain concurrence from the District Administrator (DA) or designee

Š      Secure design approval from the appropriate Assistant District Administrator (ADA) in a responsible charge position

Š      Post the concurrence letter in the Project Documents section of iPM (see Sec. 4.00 of Public Involvement Manual for more details)

Links: Example Letter

Waiver of Willingness Determination

3.6 Complete Federal Criteria Sheet

The PM will complete the Checklist & Federal Criteria Sheet (Forms C-402a and C403) and obtain the signature of the DA or designee, using the agreed upon process in the region or district. 

Links: Example Checklist

Example Federal Criteria Sheet 

Form C-402a

Form C-403

3.7 Assemble Contract Documents

Once all issues are settled and questions are answered by the PM, the PM will provide COTED all necessary contract documents for contract assembly. This may include:

Š      Sketches

Š      Schedule of items (Price Sheet)

Š      Permits

Š      Price adjustments

Š      Contract time limit

Š      Regional Contract Specifications – from the standard statewide contract guidance for this asset type.

Š      No Plan Assembly

Š      Project Narrative (if required)

All contract documents must be in either a “word document” or a “tif document” that can be converted to a Word document. NO PDFs. If a guide document has already been developed for the type of work and the guide is followed; these documents may be sent directly to Construction Division for advertisement (with a copy to TED).

Links: Example Assembly

3.8 Value Engineering Review

State law requires that a value engineering study be performed on all projects costing more than $5 million, including maintenance type projects.  There are abbreviated processes for these types of projects.  In most instances, task orders will be under this $5 million threshold, and will not be subject to Value Engineering Review.

It is the responsibility of the State Value Engineer to examine any candidate project to determine if a Value Engineering review is required. For this purpose, the PM should submit a copy of the project narrative “On-Call” Region/District project that is over the $5 million dollar threshold to the State Value Engineer. Within 2 business days, the State Value Engineer should provide a response, indicating if a review will be necessary.  Exemptions will be granted in 1-2 days for most repetitive work.

If a value engineering review is required,  the PM will send the entire project documentation to the State Value Engineer, as directed. The review will typically take 2-3 weeks to complete and recommendations can usually be accepted and implemented by the PM without further delay.

The project schedule must be updated to include value engineering activity, as applicable.

Links:  Code of Virginia 33.1-190.1

3.9 Prepare and Sign Titlesheet

Complete the titlesheet and obtain needed signatures. This must be signed and sealed by a Professional Engineer (PE).

Links: Example Titlesheet

3.10 LD-406 NP

The DA (or designee) is required to sign the LD-406 NP certifying that the No Plan Assembly is complete and accurate.

Links: LD-406 NP

4: SUBMIT REGIONAL CONTRACT DOCUMENTS

Objective: Transmit contract documents to Scheduling and Contracts for advertisement

4.1 Upload Assembly Docs

The Project Manager uploads the following documents into iPM – see instructions in the above referenced User’s Guide:

Š      PDF version of no plan assembly (see Task 3.7: Assemble Contract Documents)

Š      Special provisions (see Task1.2: Regional Contract Development Process)

Š      LD406-NP (see Task 3.10: LD-406 NP)

Š      Scanned copy of signed title sheet (see Task 3.9: Prepare and Sign Titlesheet)

Š      C-402A – Project submittal checklist & C-403 District Federal criteria sheet (see Task 3.5: Complete Federal Criteria Sheet)

Š      Project narrative (see Task 3.2: iPM Project Narrative)

Š      Waiver of Willingness Determination (see Task 3.6: Willingness of a Public Hearing)

Š      Copy of RoW Certificate (see Task 3.4: Request RoW)

Š      Environmental Documents, as determined by District Environmental Section (see Task 3.3: Initiate Entry into CEDAR)

Links:  Example Assembly

4.2 Retain original title sheet & signed LD-406 NP

For all Tier I projects, the PM will keep the title sheet and signed No Plan Project Certification form (LD-406 NP).

The Project Advertisement & Letting Calendar should be checked to determine the correct ad date to be requested. The PM should then send an email to Assistant State Contract Engineer (CD), to let them know that documents have been uploaded to iPM.

Links: IIM-LD-249

LD-406 NP

Project Advertisement and Letting Calendar

4.3 Update PCES with TRNS•PORT Estimate

Š      A PCES entry for the project will be created automatically, based on the information in the Project Pool. 

Š      PCES needs to be updated to include the estimate that was prepared in TRNS*PORT. 

Š      Prior to updating PCES, the PM will check the TRNS*PORT estimate to ensure that it is accurate.  Then, the PM will create a Final Submission estimate based on the TRNS*PORT information.

Š      The PCES User’s Guide provides instructions on creating/updating estimates.

Note that:

Š      An IT change request has been submitted to allow the option to suppress application of an inflation rate in PCES.

Š      Project PM’s should make sure that project estimates are correct and current

Š      Update iPM as required

Links: PCES Application (Internal)

PCES Application (External)

4.4 Transfer Project to CD – Upload Form(s) into iPM (LDD)

For Tier I projects, submission of the project with a C-402A to CD and the transfer of the TRNS*PORT estimate to CD is needed for notification that the project is ready to be prepared for advertisement. 

At this time, all documents should be finalized and will not be allowed to be changed.

All title sheets should be signed by the appropriate persons and all No Plan documents shall be signed and sealed by a PE.  All documentation will also be uploaded to iPM.

Once the project has been advertised, CD will update the end date for Advertise Project/Begin CN in Schedule.

4.5 Update iPM

Update iPM as required, including Schedule application.

Links: iPM application

5: ADVERTISE REGIONAL CONTRACT

Objective: Advertise and award the regional contract.

5.1 Finalize proposal documents for advertisement and letting (CD)

CD will finalize all contract documents for the advertisement of the Proposal, monitors Contractors Advertisement Bulletin Board (CABB) for any questions or needed clarifications from the Contractors.

5.2 Update project status in pool to advertised (CD)

Once CD has updated the end date for Advertise Project/Begin CN, the Project Manager sets the Project status to “Advertised” in the Project Pool.

Links: Project Pool

5.3 Receive Bids (CD)

CD  will receive all bids electronically for all RAAP & SAAP projects, according to the published predetermined schedule. This process is referred to as the Letting Schedule.

5.4 Award Project (CD)

CD will receive, assess, accept or reject bids for all projects advertised under the RAAP, or SAAP process. After the regional/district contract is awarded and executed, task orders may be assigned, only after the Task Order has been authorized for work to be done.

5.5 Update PCES with Award Amount

The Project Manager will enter and select the award amount in PCES prior to switching project control over to the Assistant Construction Engineer (ACE) in the Project Pool.  The PCES estimates for the UPC will subsequently be reflected in the Project Pool.

Links: PCES application

PCES user guide

5.6 Request Open Project to CN Phase

If you do not wish for any activities to be available to charges, except for the processing of the Contractor’s monthly estimate, contact Programming Division (Yolanda Newton) to close those activities outside of 631, 731, 632 & 732 for the advertised Regional/District “On-Call” UPC. 

* Programming has agreed to allow this option for the ONLY for the TED Regional/District On-Call projects.  DO NOT use this process for ANY Task orders. all of your project charges will have to be made to TASK ORDERS only.

Links:  Yolanda.Newton@VDOT.Virginia.gov

6: CONTRACT RENEWAL

Objective: Determine whether to renew or rebid an existing regional contract..

6.1 Contract Renewal Decision

During the performance of the Task Order, the Project Manager (or contract monitor/Inspector) shall keep detailed records in Site Manger.  These records should be used in completing Contractor Performance Evaluation (CPE). 3-4 months prior to the end of the current contract term (either time or dollars), the PM assesses the prior performance of the existing contractor.  If prior performance is satisfactory, AND the contractor has indicated a willingness to accept an additional term with the current contract terms, the contractor is issued a contract renewal letter no later than 30-45 days before the current term (either time or dollars) is scheduled to expire. Bonds for the additional term must be received before the renewal is finalized.  The contract may be renewed only if both VDOT and the Contractor are in agreement to renew.  

When a contract is renewed, the Contractor signs an agreement to accept the contract unit prices for an additional term.  Regions/Districts will typically manage the renewal process. The correct form to “RENEW” a contract is a C-10 (Work Order).

Links: Form C-10

Example Renewal Letter

CPE manual

6.2 Re-advertise

If a contractor’s prior performance is not satisfactory, or the Contractor does not wish to renew the current regional/district contract, and it has been determined that a new contract is needed to complete the work, a new regional/district contract will need to be advertised. The existing contract is to be closed out, following the standard procedures.

Any new contract to complete the work that was to be accomplished with the “original” contract and additional terms will need to be handled as a new “On-Call” Region/District Proposal submission.

Links: Example Non-Renewal Letter

7: INITIATE CONTRACT TASK ORDERS

Objective: Establish scope, schedule and budget for a task order under the “On-Call” Region/District Contract and obtain a Task Order UPC.

7.1 Define Schedule and Scope of Task Order

The PM will develop a scope and schedule for a Task order to be issued under the “On-Call” Region/District contract.  Task Orders should be developed and assigned, being mindful of the Performance Bond in place for the contract. Task Orders should be a “reasonable” amount of work for the contractor to do in a “reasonable time”. Task Orders should NOT be issued for the whole dollar amount of the “term” of the contract (or greater than the term), and as much is possible, Task Order work should be “grouped” as much as possible in a general geographic location. Bonding is reduced on this contract type (as there is no mobilization). However, the amount of work issued on the task order must be properly bonded, given the risk/value of the work.

When the dollar amount of the Task Orders for each “term” is expended, the next succeeding term may be started after the renewal process is completed.

7.2 Identify Funding and Determine FO/NFO or CSC

If Task Orders are not to be charged to Federal Funds, develop the Task Order as a State Funded project, following the direction in Ms. Connie Sorrell’s email of 07/31/2012 (attached).  Contractor payments and other project expenses (i.e. CEI, State Police, etc) can be set up in Site Manager for payment by UPC - Task Order project charges or by journal vouchers. 

If the Task Order is to be charged to Federal Funds, it must be processed to obtain Federal Authorization for the “construction” of the work. This process entails requesting and receiving Federal Authorization from the Federal Submissions Officer (VDOT – CD).The PM reviews the VDOT/FHWA Stewardship and Oversight Agreement to determine whether federal oversight is required. Current direction is to develop all work that is Federally Eligible for funding, to be developed and “advertised” as a Federal project.  A Task Order is not “advertised”, but if the work to be accomplished by a Task Order is eligible for Federal funds, it must be processed to obtain Federal Authorization for “construction” of the work. 

If the PM determines that the Task Order is to be Federally Funded, the PM reviews the VDOT/FHWA Stewardship and Oversight Agreement  to determine whether Federal Oversight is required. For projects that are federally funded, federal oversight is determined by the value and classification of the contract. No federal oversight is required for contracts under $5 million for “Maintenance” classified projects, or under $1 million for contracts classified as upgrades.  Note that although a contract UPC may be NFO, it is possible for a task order UPC to be FO.

Links: Stewardship Oversight Agreement

IIM-LD-249

Sample funding authorization package

Screenshot – iPM

7.3 Request Construction UPC in Pool

The regions/Districts will initiate establishment of the UPC for the Task order and create the iPM and PCES files for the Task order that will be referenced to the “On-Call” Regional/District Contract. Projects that are assigned Task Order UPCs are required to be tracked by UPC in the Project Pool and iPM applications.

It is necessary to associate the Regional/District On-Call and the Task Order contracts in iPM, under the “Misc.” tab in the POOL portion of iPM.

Task Orders that will be accomplished by journal vouchers will need to be tracked by the Regional Operations staffing in some other electronic manner – for example, through agency use codes specific to work to be done. Data entry guidelines for initiating Construction UPCs in Project Pool are available at:

Links: Spreadsheet – Task order tab

7.4 Assign Task Order UPC/CSC*

As described in the task above (Request Construction UPCs in Pool), once the PM has initiated a construction UPC, they must wait for Programming Division to Approve and assign UPC.

*If Task Order qualifies for CSC designation, the Task Order may be tracked by CSC, following instructions set forth by Programming Division

Links: Contact Betty Newsome

7.5 Set UPC to Candidate in Pool*

Once the task order has been assigned a UPC, the UPC must be set to ‘Candidate’ in the Pool.

Links:

7.6 Enter Jobs, Modify section ID in Pool

Once a permanent UPC has been assigned, a project number has to be assigned in iPM, if this has not already been accomplished.

Links: Screenshot – iPM

7.7 Transfer funds to UPC/CSC (OPD/PD-24)*

Once a permanent UPC has been assigned, the UPC must be funded before it can be set to “Active” and added to the SYP (Six Year Program).  This will require transferring money from other UPCs or Cost Centers to the newly created one.

Transferring funds requires the submission of a OPD/PD-24 to Programming Division.  Guidelines are available on Programming Division’s teamsite in the Guidelines and Process folder.

*If Task Order qualifies for CSC designation, the Task Order may be tracked by CSC, following instructions set forth by Programming Division

Links: Programming Team Site

OPD/PD24 Instructions

OPD/PD24 Form

 

7.8 Update iPM Schedule, Team Members, Responsible Persons

Once a UPC is active in iPM, it is the PM’s responsibility to update iPM with the Team Members and Responsible Persons for the project.

The PM is also responsible for updating the Schedule in the Schedule application.  The schedule can be edited by selecting the “e” button.

Under the “Communications & Divisions” tab, Team Members can be added using the pop-up screen activated by clicking the “Add Team Member” button.

Once a user is selected, their function must be selected from the dropdown menu (there can only be one function/user) and if they are the responsible person for the project, the check box next to “Person responsible for Sealing and Signing Plans” button should be checked.  Note that Persons responsible for signing and sealing individual items can be identified individually.

Links: Screenshot – iPM

8: PROJECT DEVELOPMENT – PRELIMINARY ACTIVITIES FOR FEDERAL FUNDED TASK ORDERS 

Objective: Complete required environmental and other project development activities

8.1 Initiate in CEDAR – EQ429

The PM is responsible for submitting an EQ-429 to initiate the project in CEDAR.  This form can be electronically generated in CEDAR under the “Common Functions” tab by selecting the “Submit an EQ429” hyperlink.  The form is partially populated based on iPM data.  The PM will complete this form in CEDAR and send an e-mail to the Environmental Division (ED) stating a new project is pending action. ED will contact the PM if more information is required.  Typical project review is expected within 30 days.

Environmental Review Process, Permit Determination & Federal Draft Document Activity need to be initiated in iPM when the EQ-249 is filed in CEDAR. This will start the review process for the three documents that will result with an Environmental Division completed EQ-103.

Schedule Activities for Environmental Review Process, Environmental Permit Review and NEPA Document (if federally eligible) are required.

Links: Cedar Application

FHWA/VDOT agreements

8.2 Environmental Review Process & Permit Determination

Once a project is initiated in CEDAR, the Environmental Division is responsible for completing the Environmental Review Process and Permit Determination.

The District Administrators are responsible for making sure that no project activity authorized by these UPC’s shall begin until the environmental clearance is in hand for that project location and activity.

8.3 Request RW Certificate

All UPC’s require a Right of Way certificate, if the work is eligible for Federal funds.

A request should be emailed to the Central Office RW section approximately 5 weeks before requesting   construction Authorization with certification statements to include. Upon receipt, upload RW certification into iPM.

Links: Example RoW Letter

8.4 Initiate SWPPP and ESC Plan (if applicable)

If any land disturbing activities are to be performed and the Environmental Division has the potential to require a SWPPP or ESC Plan for these types of projects, PLEASE ENSURE  that the information is conveyed to the Environmental Division (or District Environmental Section) doing the review for the Task Order.

Per section 6.2 of IIM-LD-11 and IIM-LD-246, a project-specific Erosion and Sediment Control (ESC) Plan and a Stormwater Pollution Prevention Plan (SWPPP) is required when a No Plan or SAAP project involves land disturbance activities above the following thresholds

Š      2,500 SF or greater in Tidewater, VA (areas covered under the Chesapeake Bay Preservation Act)

Š      10,000 SF or greater area elsewhere in the state

Per IIM-LD-242, a Virginia Stormwater Management Permit (VSMP) is required when a non routine-maintenance project involves land disturbance activities above the following thresholds:

Š      2,500 SF or greater in Tidewater, VA (areas covered under the Chesapeake Bay Preservation Act)

Š      1 Acre (43,560 SF) or greater area elsewhere in the state

SWPPP General Information Sheets for No-Plan Projects document current requirements, and must be included in the no plan assembly for all land disturbance activities requiring a VSMP Construction Permit and/or ESC plan (see IIM-246.2 requirement 4.3)

For any project requiring coverage under the VSMP Construction Permit, the SWPPP must also include a copy of the VSMP Construction Permit, the VSMP Construction Permit Registration Information form (LD-445), the SWPPP Certification form (LD-445E) and the VSMP Construction Permit coverage letter received from DCR showing a project specific registration number (see IIM-246.2 requirement 2.4)

Links: LD-445E

LD-445

IIM-LD246

SWPPP Instructions

8.5 Request RR Agreement from DRPT (if applicable)

When plans for a proposed project affect a railroad, an agreement for any encroachments and/or work involving the railroad must be reached between VDOT, the affected railroad and any involved localities. If a Railroad Agreement is needed, follow the instructions in the Right of Way Manual of Instructions – 5.6.9 Railroad Property Acquisition Procedures and notify Frank Wilkerson, Right of Way Division.

Links: RoW Manual of Instructions

9: PREPARE TASK ORDER DOCUMENTS

Objective: Complete and assemble design and schedule documents for the task order work.

9.1 Prepare Design and Schedule of Work Including Quantities

Text: The Region/District staff will develop the Task Order’s plan design or Schedule of Work to be performed under the Regional Contract.

Links: Example Schedule of Work

9.2 Prepare Assembly for Task Order UPC or CSC  

All items required for UPC. C-402A and C403 NOT required for CSC.

Links:  Example Task Order Assembly

Example Task Order Assembly (additional example)

Example Task Order Assembly (additional example)

9.3 PE Review and Sign & Seal Plans/No Plans Assembly

Region/District PE will review and sign & seal Plans / No Plan Assembly for Task Orders

Links:  Example Titlesheet

Sign and Seal IIM reference & requirements

10: AUTHORIZE WORK

Objective: Update iPM, obtain funding authorization, and issue Task Order.

10.1 Upload Task Order Documents to iPM

The Project Manager will upload the following documents into iPM – see instructions in the above referenced User’s Guide:

Š      Completed C-5TO (task order form)

Š      PDF version of plans/no plan assembly  (There can be no changes to the “contract” at this point)

Š      Construction Engineering and Inspection (CEI) budget

Š      Contract Time Determination Report (CTDR) - (Federal Funded Task Orders only)

Š      LD406-NP - (Federal Funded Task Orders only)

Š      Scanned copy of signed title sheet

Š      Project file letter addressing contract documents and procedures (form TE-B) - (Federal Funded Task Orders only)

Š      Federal Criteria Sheet - (Federal Funded Task Orders only)

Š      EQ-103 - (Federal Funded Task Orders only)

Š      EQ-102 - (Federal Funded Task Orders only)

Š      EQ-200 - (Federal Funded Task Orders only)

Š      Right of Way Certificate - (Federal Funded Task Orders only)

Š      Quantities and estimate (using Regional Contract bid prices) ) – All Task Orders

Š      Link Task Order UPC or CSC to the original contract UPC under the Misc Tab in iPM (POOL)

 

The following additional documents should be uploaded if required:

Š      Project narrative (see Task: iPM Project Narrative under Section 3)

Š      Waiver of Willingness Approval (see Task: Waiver of Willingness under Section 3)

Š      Copy of RR Agreement (see Task: Request RR Agreement from DRPT under Section 8)

Links: Linked Task Order Screenshot

10.2 Verify/Update Project Schedule Activities in iPM

The Project Manager will verify that the following activities are in Schedule, and update planned start and finish dates as needed:

Š      Approved construction plans

Š      Prepare for advertisement

Š      Authorization of funds (there is no “advertisement” of the Task Orders)

Links: Screenshot – Schedule Application

Schedule User Guide

10.3 Construction Authorization Request

The PM must sign the Task Order.  This must also be signed by an officer of the firm or a designee with contractual liability.

Links: C-5TO (Task Order)

10.4 Funding Authorization

If the task order is to be federally funded, the PM will submit a request to CD – Federal Submissions Officer - to acquire FHWA Funding  & Construction Authorization.  The package shall include Form C-5TO, and the data requested by CD Division listed on their WEB Site for Federally Funded Signal Installations.

If the task order is 100% state funded, complete Form C-5TO, and post to UPC in iPM. 

Links: Federal Aid Regional Installations

10.5 Authorize Work/Issue C-5TO

Complete Form C-5TO and provide the contractor Task Order, plan details and quantities to begin work. [NOTE: If or when the regional contract is renewed a form C-10 is to be used].

Task orders issued to the contractor include a detailed statement of work as well as an estimate of construction cost based upon the provided line item costs guaranteed by the contract.

SiteManager is available to compute Liquidated Damage amounts by using the “milestone option” when you set up a Task Order.  Contact Joe Bouchey for additional information.

Links: C-5TO (Task Order)

Example Task Order Assembly

11: Construction Phase

Objective: Authorize, manage and close out the task order work.

11.1 Handover to Construction

Prior to award, Region/District staff (or District PMO Office under the direction of the Regional Operations staff) will typically act as the Project Manager.  Once the project is awarded, this role should be turned over to District Construction, if appropriate.  Typically, an Area Construction Engineer would be expected to assume the role of Project Manager if they assume responsibility to execute the project.

Each Region/District should establish a Standard Operating Procedure for the handoff of Project Management responsibilities between Regional Operations staff and Maintenance and/or Constructions staff at the time of award.

11.2 Record Partial Quantities

All work authorized by each task order and performed by the contractor, will be observed daily by VDOT contract inspection staff (and/or Consultant inspection staff).  Daily diary sheets will be kept and used to compile all quantities of work and materials authorized.  These quantities will be input to Site Manager on a daily basis.  A monthly summary of pay items for each task will be reconciled with the contractor at the end of the month and submitted in Site Manager for approval for payment by the construction engineer. 

Links: Site Manager user guide

Site Manager user guide

11.3 Process Expenses Transfer between Project UPC and Task UPC

Charges placed against the contract UPC will be debited every month from the funded UPC charges that were charged against it. A Cardinal journal voucher form will be submitted for each project charge against the contract UPC based upon the approved Site Manager estimate.  Partial payments will be based on a monthly progress estimate consisting of approximate quantities and value of work performed. The monthly progress estimates will be prepared in accordance with the scheduled outlined in VDOT Specification 109.08. (Partial Payments). 

If any expenses are accrued to the “On-Call” contract UPC, use Site Manager and cardinal to process an expense transfer to the Task Order UPC before project close out.

Note: Additional guidance on an alternative approach developed by SWRO is linked below. Please contact Sean Grinnell or Anthony Dodson with questions on these processes.

Links: Site Manager user guide

Site Manager user guide

SWRO On-Call SiteManager Voucher Distribution Instructions

SWRO Task Order Submission Instructions

11.4 Project Management & Close Out – Project UPC and Task Order UPC

As each Task Order is completed, all records and project documentation should be completed, as good record keeping practices.  All materials received and incorporated into the work product should be accounted for and verified, with all material documentation added to the project materials workbook.

When the “On-Call” project, including all renewals, is completed, follow all instructions for project close out in the VDOT Construction Manual and Post Construction Manual.

Links: VDOT Construction Manual

Post-Construction Manual