SLIDE 9 Total Projects Sampled Local Let Sampled Local Let Projects with Negative Responses PY 2014 63 21
2
PY 2015 63 21
5
PY 2016 53 53 PY 2017 64 14
TBD
Past negative responses have generally been associated with agencies not following DBE
- procedures. Deficiencies are expected to be addressed with upcoming changes to oversight
procedures and implementing electronic submittals. Following procedures and proactive communication with District regarding DBE substitutions are still important to ensure compliance.
Top 10 11 Opportunities for Document I mprovements to Ensure Compliance
Use the LPA Bid Doc Template. This helps to ensure that required forms are part of the
contract, including physically attaching FHWA form 1273.
Make use of electronic form submission and tracking. Some ODOT districts utilize a
SharePoint site to upload and store project files. This makes projects easier to track, access, monitor and ensure complete project records are kept in one place.
Document the bid analysis. Look for unbalanced bids or extreme variation in unit prices
and document this. The Office of Estimating can help analyze bids if asked.
Document the required verifications. Keep a record of the excluded parties (SAM
website) check in the project file. Verify throughout the project the prime contractor is performing at least 30% of the work. Verify throughout the project that the contractor will meet the DBE goal. Don’t wait until project close-out!
est Pract ctice: e: The prime is also required to use the SAM site to verify the subs aren’t excluded parties. Take a few minutes to run the sub list through the SAM site to verify the prime is adhering to the subcontracting requirements.
Be proactive communicating DBE substitutions. Ensure DBE subcontractor
substitutions are reviewed and approved as soon as they become apparent. Make sure a written approval from the District is included in the project file and follow procedures.
Use a system for material tracking and acceptance. Locals can use ODOT’s Project
Bill of Materials (PBOM), or use their own system, but there must be a system in place to track the approval, acceptance and payment of materials. When developing a pay estimate, ensure the items files include TE-24s, QPL references, Buy America documentation and that quantities match the Daily Work Reports.
Document change orders. Ensure the file includes documentation of discussions with
District regarding Extra Work Change Orders. Document the justification for time extensions and document the cost analyses performed for negotiated costs.
Carefully document payment for stockpiled materials. Avoid an OIG audit finding! Record and file the approvals for patented or proprietary materials. Ensure SWPPP inspections are recorded in the DWRs. Document CE costs. If claiming, follow the approved rates. Ensure CE costs are
properly documented, corresponds to DWRs and doesn’t pre-date the federal authorization.
Compliance Assessment Program (CAP) Review Findings – Ohio Division
