Consultant Inspection Training

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Consultant Inspection Training
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Introduction Welcome

• Importance Of Compliance
• Goals And Objectives
• ACEC PennDOT Team
• Scope Of Training

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Importance Of Contract Compliance

• Media Issue
• Comptroller Audit
• PennDOT Reviews
• Not quality of work issue
• Contract compliance

4
Goals And Objectives

• Consultants Department to Comply With Contract
  Provisions
• Process Actions In A Timely Manner Before Work
  Occurs
• Have All Actions Documented For Accountability

5
ACEC/PA PennDOT Team

• Consultant Representatives Across The State
• Bureau Of Construction Materials
  Representatives
• Bureau Of Design Representatives

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Scope Of Training

• Revised Policies Pub 93
• Process Control
• Consultants How To ECMS-II
• PennDOT How To ECMS-II
• Questions

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Revised Policies Pub 93

• Classifications And Experience
• Substitutions
• Time Frames
• Assignments In Writing

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Classifications And Experience

• Uniform Resume Requirements
• Identification Of Work Experience With Time
  Frames
• Pay Grade Level
• Evaluation Method
• New Resume Templates
• Resume Submissions In ECMS

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Substitutions

• Reason For Change In Resume
• Document Person Is Equal Or Better
• Equal Or Higher Pay Grade
• Total Experience
• Experience On That Type Of Work

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Substitutions

• Substitutions Can Only Be Made After Exhausting
  Everyone In The SOI At That Classification
  Skills including alternates
• Information to be in Resume
• Waiver For Providing Equal Substitute To Be
  Submitted To Contract Management Division
  Bureau Of Construction

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Time Frames

• Wage Rate Request To Be Approved Within 5 Working
  Days Through ECMS.
• Absolutely No Work Without ECMS Wage Rate
  Approval Even At No Cost
• Substitutions With Resume And Wage Rate Approvals
  Prior To Any Work

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Assignments In Writing

• All Assignments Requests In Writing to Consultant
  - Email Or Fax
• The Department Requests Classifications (TCI,
  TCIS, TCM,TA) And Experience (Asphalt Paving, CDS
  Operator, Etc). 
• Individuals Pay grade Will Be Determined By The
  Consultant. 

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Assignments In Writing

• The District May Not Request People By Name Or
  Pay Level (TCI2).
• The Prime Consultant Is Solely Responsible For
  Adding Or Removing Subconsultants To Meet
  Contractual Obligations.

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Process Control

• Process Control Parameters
• Contractual Violations
• Subconsultants
• Administrative Deficiencies
• Appeals

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Contractual Violations

• Major Violations Fraud - Intentional
  Modification Of Data / Information Without
  Supportive Justification Intended To Deceive The
  Recipient.
• Sanction Any Violation Calls For Immediate
  Debarment Procedures.

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Intermediate Violations

• 1. Inspector Working Without A PennDOT Executed
  Wage Rate Approval Letter.
• 2. Inspector Working In A Classification For
  Which They Do Not Qualify.
• Inspectors Resume Has To Support The Check Box
  In The Construction Inspection Qualification

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Intermediate Violations Sanctions

• 1st Violation Within 2 Years - Written
  Notification And Submission Of A Corrective
  Action Plan Within 30 Days.

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Intermediate Violations Sanctions

• 2nd Violation Within 2 Years - Written
  Notification And A Warning Of Three-month
  Preclusion From Submitting A Statement Of
  Interest As A Prime Or Subconsultant On Any
  PennDOT Construction Inspection Project

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Intermediate Violations Sanctions

• 3rd Violation Within 2 Years 3 Month
  Preclusion From Submitting A Statement Of
  Interest As A Prime Or Subconsultant On Any
  PennDOT Construction Inspection Project.

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Intermediate Violations Sanctions

• 4th Violation Within 2 Years 12 Month
  Preclusion From Submitting A Statement Of
  Interest As A Prime Or Subconsultant On Any
  PennDOT Construction Inspection Project.

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Minor Violations

• 1.Substitution Made With Less Qualified
  Personnel. Substitutions Needs To Be Equal To Or
  Better Than The Resume(s) Submitted In The
  Statement Of Interest. Consultant Firm Needs To
  Be Prepared To Stand Behind The Skill Set Of The
  Substitute.

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Minor Violations

• 2.Failure Of Inspector To Maintain Required
  Registrations/Certifications
• If Certification Lapses, The Consultant Must
  Submit A Revised (Downgraded) Wage Rate Request.
  It Is An Intermediate Violation For Working In
  Classification Not Qualified.

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Minor Violation Sanctions

• 1st Violation Within 1 Year Period Is A Written
  Notification Of Violation.
• 2nd Violation Within 1 Year Period Is A Written
  Notification And Required Submission Of A
  Corrective Action Plan Within 30 Days.

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Minor Violation Sanctions

• 3rd Violation Within 1 Year Period Is A Written
  Notification And A Warning Of Three-month
  Preclusion From Submitting A Statement Of
  Interest On Any PennDOT Construction Inspection
  Project

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Minor Violation Sanctions

• 4th Subsequent Violations Within 1 Year Period
  Is Three-month Preclusion From Submitting A
  Statement Of Interest On Any PennDOT Construction
  Inspection Project

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Process ControlSubconsultants

• The Prime Consultant Has The Responsibility To
  Manage The Subconsultant And Conduct A Cursory
  Review Of The Subconsultant Employees Resumes.

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Subconsultants

• In The Event Of An Violation, Where The Violation
  Constitutes An Error On Its Face Or
  Subconsultants Inspector Is Working Without A
  Wage Rate Approval, Both The Prime And
  Subconsultant Are Subject To The Full Sanction.

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Subconsultants

• If An Intermediate Or Minor Violation Occurs With
  A Subconsultant That Is Not Evident Through A
  Cursory Review, Including Expiration Of
  Certifications, The Sanctions Will Be Levied To
  The Subconsultant And 25 Percent Rate To The
  Prime Consultant.

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Administrative Deficiencies

• Resume Submitted With Incomplete Data (Invalid)
  Inspector Resumes Must Clearly Delineate, By
  Month And Year, And Specific Work Activity, The
  Skill set Of The Inspector
• Wage Rates Proposed Outside The Approved Range
  For The Classification

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Administrative Deficiencies Substitutes

• Justification For Substitutions Not Provided.
  The Consultant Must Clearly Describe The Reason
  For The Substitution Request And Must Demonstrate
  That The Substitute Is Equivalent Or Better Based
  On
• Equal Or Higher Pay Grade Or
• Total Experience Or
• Experience On That Type Of Work

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Administrative Deficiencies Substitutes

• On All Open End Agreements, Or Other Agreements
  Where Notice To Proceed Occurs More Than 2 Weeks
  After The Anticipated Published NTP Date, The
  Consultant Is Entitled To Request Relief
  Regarding Proposed Substitutions.

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Administrative Deficiencies Substitutes

• If The Consultant Cannot provide an equal
  substitute, they must Contact Chief Of Contract
  Management Division, BOCM And Request Relief In
  Writing.

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Administrative Deficiencies Sanctions

• 1st Violation Within 1 Year Period Is A Written
  Notification Of Violation.
• 2nd Violation Within 1 Year Period Is A Written
  Notification Of 2nd Violation And Required
  Submission Of A Corrective Action Plan Within 30
  Days.

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Administrative Deficiencies Sanctions

• 3rd And Subsequent Violations The Number And
  Severity Of Administrative Deficiencies Will Be
  Considered When The Department Completes The
  Consultant Performance Report.

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Notification

• All Violations identified in the Districts are to
  be forwarded to Consultant Agreement Section
  Bureau of Design

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Appeal Process

• Upon Notification Of A Violation By The
  Department, (Intermediate Violation, Minor
  Violation Or Administrative Deficiency) The
  Consultant Firm May Request An Administrative
  Review Of The Particular Circumstances Of The
  Violation
• Consultant Not Satisfied May Request A Formal
  Hearing.

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Stay In Time Frame

• There Will Be A Stay In The Timeline During
  Administrative Review Or Formal Hearing Until The
  Review Process Is Completed

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Consultants How To ECMS-II

• New Resume TemplateSOI And ResumeAdding
  ResumesSubmitting Wage Rate RequestsMaking
  AssignmentsSubmitting SubstitutionsManaging
  Subconsultants

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Current ECMS
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Prime consultants add resumes here Substitute
Resumes will also be added here
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New ECMS
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New Statement of Interest Screen
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Consultant Information Portal Page
Ability to perform Quick jump to info if you
know the ID/Number
User specific, saved searches to quickly execute
your favorite search.
Link to more customizable searching
Entry points for typical operations, usually
based on who you are.
System defined searches and links
Other Information and links as needed
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New Excel Spreadsheet with Drop Down Boxes to Aid
Completion
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Additional Drop Down Boxes
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Work History and Other Experience
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Word Version
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Bottom Section of Word Version
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Page 2 for Word Version for Work History and
Experience
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Current ECMS Roster Maintenance from Consultant
view
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Click on add employee button to access and
complete information
Be sure to add Agreement number
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Current View for Approval by Negotiation Engineer
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New ECMS Consultant View to Add New Employee
Click Create Employee
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Consultant Enters Required Information and Saves
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Additional Information Required
Click New
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Enter information, Click Save and under Workflow
Click Submit
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PennDOT How To ECMS-II

• Scope of work developmentChanges in
  SOWReviewing resumesReviewing and approving
  wage ratesRejecting resumes and wage rate
  requestsRequesting staffing

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Resume Approvals
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To Review Resumes within the Statements of
Interest

• Once in ECMS
• Click on Consultant Services
• Agreement Headers
• Header
• On drop down list go to Statements of Interest
• Click on the Prime Consultant you want to view

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In the future, the Department is looking to move
the wage rate approval process for consultant
construction inspection agreements from the
consultant agreement section within PennDOT to
the District level

• This would allow the Districts to verify resumes
  against requested wage rates
• This would eliminate paperwork for both the
  consultants and the Department
• All approvals would be input and approved in ECMS

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New ECMS Screen for PennDOT Approval
Click Here
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Can Filter Business Partners or View All
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District Will Approve or Reject
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Accountability Compliance

• Consultant Concerns
• Sanction Issues Are Strict
• Availability Of Personnel In Summer Is Limited
• Resumes Need To Be Correct And Complete

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Accountability Compliance

• PennDOT Concerns
• 5 Days For Approvals
• Cannot Name People
• Limited On Controlling Cost TCI1 vs TCI3
• No Work Without Wage Rate Approval
• Assignments Email Or Fax Not Verbal

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Effective Date

• January 1, 2008 New Process In Effect

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Questions

• FAQs
• Frequently Asked Questions
• On ECMS Under Consultant Inspection