INDOT EOD Contract Compliance Updates

SOURCE: Kent Borggren, INDOT Economic Opportunity Division Contract Compliance Manager kborggren@indot.in.gov

Prior to the COVID 19 pandemic, the Contract Compliance section already had plans to update some of our processes.  Here are some of the things that we have been working on, and our future plans:

  • FHWA 1391 – This year the FHWA 1391 will be an ITAP application and must be submitted using that portal. We will not accept paper reports or excel reports. The report will also be ONE per company, not one per contract. This year’s reporting period to gather data on employees working on federally funded construction contracts is July 19 thru July 25, 2020. The ITAP application will be available beginning on July 18 and close on August 31, 2020. All prime contractors, subcontractors, and haulers working on Federally funded contracts with a value over $10,000.00 must report their workforce. If your company does not have workers present during that time period there is a “No Activity” box to check and then you submit your report. 
  • Subcontractor Payment Tracking System (SPT) –  A new version of the SPT system will be available very soon. It will resemble all of the other ITAP applications and will have a few added functions such as editing records, and PDF reports for your convenience. One of the biggest changes to the SPT system is the Subcontractor Verification. All contracts let as part of the July 2020 regular letting and beyond, will include Special Provision 108-C-264 SUBCONTRACTOR PAYMENT VERIFICATION. All subcontractors, and DBE, MBE, WBE, and IVOSB firms (haulers and suppliers) will be required to verify their payments received from the Prime Contractor no later than 20 days after the end of month in which payment was received. The Prime Contractor is responsible for timely reporting of all payments into the SPT system. 
  • DBE-3 –  We continue to meet our statewide DBE goal of 10.1%, this past report covering the period of October 1, 2019 thru March 31, 2020 we achieved 12.95% thanks to the Race Neutral participation of our prime contractors. Standard Specification 103.01(g) requires a DBE-3 form be submitted for all DBE subcontractor/lessor/supplier(s) utilized on any federal aid contract, whether or not they were listed on the Affirmative Action Certification. All completed forms should be submitted to: DBE3@indot.IN.gov. Our long range plan is for the DBE closeout process to be mostly automated.
  • MBE/WBE/IVOSB-3 – Beginning on July 1st our department will begin closing out the MBE/WBE/IVOSB-3 process much like we have been doing for the DBE program. We will be sending out the notification on contract close-out when the IC-642 has been sent to the prime contractor by the district final records section. We ask that beginning July 1 all of the completed MBE/WBE/IVOSB-3 forms be sent to MBE_WBE3@indot.IN.gov. Please be aware of the “_” between MBE and WBE in the email address. 
  • OJT Program – In the next few weeks, our department will begin working on turning our On the Job Training (OJT) Program into an ITAP application. We contemplate that this will greatly simplify email requirements and will store information so that it can be queried throughout the year. If you have any ideas on functionality as this application is developed, please let us know as we begin this development process by emailing Katie Daniels kdaniels2@indot.in.gov and/or Kent Borggren kborggren@indot.in.gov.
  • Affirmative Action Certification (AAC) –  Thank you to all of the prime contractors who have submitted their DBE quotes to us within the 24 hour required time period after contract letting. It has allowed our department to audit all of the quotes and compare them to the AACs and resolve many of our past questions in a very timely fashion. As a reminder, if the quote does not match what you entered onto the AAC please provide written documentation on the quote as to what was revised. Handwriting out an explanation is just fine – so long as it is legible and understandable. Also, even if you meet the DBE goal on the contract and you are committed to using additional DBE firms, please include those on the AAC. In the event there is an error on the AAC and you have listed additional DBE participation, we all might avoid a “Good Faith Efforts” hearing on the contract prior to award due to the extra DBE participation.
  • Change in DBE Utilization – Remember to timely submit your Change in DBE Utilizations as soon as you realize there is an issue with what you have committed to on the AACs. Without an approved Change in DBE Utilization, any work that was performed by someone other than the listed DBE firm will not be paid for by INDOT.  Completed Change in DBE Utilizations should be submitted both to DBEChange@indot.IN.gov and the local EEO Officer for tracking purposes.
  • Prompt Payment –  Just as a reminder all contractors are to pay their subcontractors within 10 business days after being paid by INDOT. If a Subcontractor/hauler/supplier feels that they are not being paid timely by the prime contractor, please submit your concerns to Promptpayment@indot.IN.gov. We will investigate any and all of your concerns. 
  • SMGR Reports (in ITAP) – Within ITAP you can look at one of the applications SMGR Reports which gives you several good pieces of information from our SiteManager program. Once you have access to the SMGR Report application you simply enter in your INDOT contract number and you  have access to several reports. In the top section, the IC642CLN report will give you information on the whole contract. In the lower section, the Progressive Record Activity will give you information on a specific line item and what has been recorded on a daily basis. This is an easy and quick way to see what work has been recorded for payment by the INDOT or Consultant field staff on a particular contract.

If you have any questions or concerns please let me know at: KBorggren@indot.IN.gov.

National Stormwater Quality Certification

Envirocert and CISEC storm water quality certifications are offering on-line training and exam solutions to comply with CDC, state, and local restrictions. Envirocert’s CESSWI and CPESC and the CISEC certifications are options to fulfill INDOT’s national certification requirement found in the Standard Specification section 205.03 (b) (2) Level 2 Stormwater Quality Manager.

See the following information provided by both certifying organizations about modifications to their programs.

ENVIROCERT (CESSWI & CPESC)

At Home/Office Online Exam with Remote Proctoring

In an effort to provide applicants with an immediate option to take exams, ECI is in the process of developing a “computer proctoring approach” which will allow applicants to take exams at their home or office. Exams will be administered online, utilizing a remote proctor that will monitor their computers via webcam. Strict security measures will be implemented to ensure exam security.

ECI has gone to great lengths to implement this technology to allow individuals to continue to work towards their Professional Certifications. Exams have been reduced to three (3) hours (full exam) to assist during these times. In order to facilitate a successful event, the vendor(s) will ensure that the examinee’s personal computer equipment and internet connectivity meets the necessary system requirements. Examinees will be able to choose between two (2) vendors who offer the ECI Certification Exams: learn.net or Prometrics. Both will administer exams online, utilizing remote proctoring and offer a bundle option for the General Principles Review and the certification exam as well as the Part A (when applicable).

Launch A

(End of April 2020)

QSM | Part A | CESSWI

Launch B

(May 2020)

CPESC | CESSWI-SI | CPESC-SI

If you have additional questions or would like any additional information, please contact ECI at info@envirocert.org or call 828-655-1600.

CISEC

CISEC, Inc. is adhering to CDC, State and local restrictions associated with the COVID-19 situation  that is impacting the nation. Since attendance in an in-person CISEC program is not feasible at this time, CISEC is ready to assist you in enrolling into its online training modules and finding a proctor to administer your CISEC certification examination. Of course, should you want to you want to wait until they are once again available, there will not be any problem transferring your registration to a future in-person program.  

Accessing the CISEC On-Line Training Modules

Your enrollment in the CISEC Online Training modules will be covered by your already paid in-person training fees.  Instructions for access are:

  • Download your free CISEC training manual and drawings by clicking on the link MANUAL.
  • Enter into the CISEC online training modules available through IECA at ehub.ieca.org by clicking on the link ONLINE.
  • Contact the IECA team with any difficulties in accessing training modules (Joanna – joanna@ieca.org or Jack – jack@ieca.org).

Unless advised differently, beginning at 11:00 a.m. (MDT) on May 15, CISEC, Inc. will conduct a “Fireside Chat” webinar to provide answers and/or discuss various topics of concern.  

Administering CISEC Certification Examinations

If you have been approved by CISEC, Inc. to sit for one of the CISEC certification examinations, CISEC will coordinate with you to find a proctor. This process requires you to complete and submit a proctor registration form to contactus@cisecinc.org

Additional information about proctoring your test can be found by clicking on PROCTOR.   

Once CISEC gets your proctor form, it will develop a contract with the proctor of your choice specifying a date and time for administration of your examination.

You have 24 months after completing the training modules to sit for the 3.5-hour CISEC Full examination. If you want to wait until CISEC once again hosts “In-Person” training programs, you can sit in the afternoon of Day 2 (see attached brochure), and CISEC will waive the proctor fee.  

Indiana Administrative Code Updates

Opacity Monitoring for Portland Cement Plants Removed
The State of Indiana published the final rule removing the continuous opacity monitoring requirement for Portland cement plants. The rule became effective April 30, 2020. Here’s the link to the Legislative Services Agency document #18-364(F),

Contractor Prequalification
The INDOT Prequalification Division has begun implementation of revised contractor prequalification administrative rules as they pertain to prequalification application requirements. The revised Indiana administrative rule became effective April 29, 2020. INDOT’s prequalification director Chris Serak and engineer Jose Murillo worked with ICI staff and board during the year-long rule making (revision) process. The amendments to Indiana Administrative Code 105 IAC 11-2 effect the prequalification certificate duration, financial statements required at different capacity levels, and financial requirements for contractors seeking prequalification.

Certificates may be valid for up to 24 months instead of 12. Current work capacity thresholds for financial statements internally attested as correct, preparated and reviewed by an independent certified public accountant (CPA), and prepared and audited by an independent CPA have revised to $1 million, $1 – $2.5 million, and above $2.5 respectively.

Contractors should review the revised rule prior to renewing their prequalification applications and financial statements.

Please contact the INDOT Prequalification Division for questions and comments.

INDOT Prequalification Application – 2020 Guidance

Construction Partners,

I hope this finds you and your families healthy and safe. These are unprecedented times and the Prequalification Division will be as flexible as possible with regard to the submission of Statements of Experience and Financial Condition during the 2020 busy season. We will accept electronic signatures and can make other accommodations to serve those working remotely.

Certificates of Qualification are also included in the Governor’s 60-day extension of state licenses, announced yesterday. If you need such an extension, please submit a request in writing. Such requests should be emailed as an attachment to the following recipients: Aggie Wagoner, Jose Murillo, and Chris Serak. Even if you are unable to make a request in writing due to COVID-19, we will not allow your certificate to expire.

Please note that we are still accepting applications and processing them as normal while virus-related measures are in affect. We encourage those firms that are able to complete their Statements before their current expiration to do so, rather than relying on the 60-day extension. The process for completing and submitting the Contractor’s Statement of Experience and Financial Condition will be the same this busy season as it was in 2019. The email and attachments Jose sent last year, containing specific directions regarding this process, can be found below. Please compile your submission into a single PDF if practicable. Please be aware that you no longer need to submit your safety manual.  

While COVID-19 related restrictions are in place, the Prequalification Division will be working 100% remotely. As such, we will be sending out certificates of qualification by email, to the address listed on the first page of the company’s Statement. Original certificates of qualification will not be mailed during this time.

2020 Bidding Capacity Rule Changes

The Prequalification Division’s new rules regarding bidding capacity are as follows:

  1. Firms who provide self-certified financial statements will be eligible for bidding capacity up to $1,000,000
  2. Firms who provide review financial statements will be eligible for bidding capacity up to $2,500,000
  3. Firms who provide a full CPA audit will be eligible for bidding capacity over $2,500,000

If you have any questions about the new financial rules, please contact me by phone or email. Please note that we will be phasing in the award of higher bidding capacities based on the performance history and financial condition of each applicant firm.  

DOL Links Related to COVID-19 Leave

Please also be aware of the following DOL links, containing the notices that must be posted by all employers with regard to expanded Covid19 leave.  The last link is FAQs in regards to employer’s responsibilities for posting.  

https://www.dol.gov/sites/dolgov/files/WHD/posters/FFCRA_Poster_WH1422_Non-Federal.pdf
https://www.dol.gov/sites/dolgov/files/WHD/posters/FFCRA_Poster_WH1422_Federal.pdf
https://www.dol.gov/agencies/whd/pandemic/ffcra-poster-questions

Thank you and stay safe.

Chris

Christopher B. Serak,
Prequalification Director

Ethics Officer
Prequalification Committee (Chairman)
Selection Review Committee (Member)
Indiana Department of Transportation
Office: (317) 234-2115
Cell: (317) 440-9868
Email: chserak@indot.in.gov