New York State Department of Transportation



New York State

Department of Transportation

Civil Rights Reporting

Equitable Business Opportunities

(EBO Release 3.0)

Supplemental Instructions - Sponsors

December 2013

Table of Contents

General Information 3

Online Training 3

Screen Layout 4

Data Searches 4

EBO Administration 5

Software Access/Password 5

Sponsors 5

Vendors 5

Deactivating Vendor/Sponsor Accounts 6

Vendors 6

Sponsors/Employees/Consultants…………………………………………………………………………… 6

Setting up Subordinate Accounts/Creating New Users 6

Creating Responsibilities for Subordinate Users 7

Resetting Passwords 7

Help 8

Construction Contract Start-Up 8

EBO Data 9

Contract Information 9

Contractor Officers/ Work Site Contacts (AAP 15) 10

Contract Dates 11

Pre-award Approvals 11

Subcontractor Approvals 12

Post-award Approvals ………………………………………………………………………………………………………… 14

Commitments and Items …………………………………………………………………………………… 15

Entering Change Orders……………………………………………………………………………………… 16

Payments 18

Tools & Reports 20

Prompt Payment Report 20

Contract Analysis………………………………………………………………………………………………… 21

DBE/Subcontractor Reports 22

Monthly Utilization (Employment Utilization AAP33) 22

FHWA 1391……………………………………………………………………………………………………….. 23

Workhours Review 23

Payroll Audit (Contract Hours) 24

Affidavit of Payment (AAP21) 25

Contracts by Firm 25

EBO Project Close Out…...............................................................................................................26

Responsibility Charts …………………………………………………………………………………………….. ……………..27

EBO Tasks and Responsibilities ………………………………………………………………………………………………28

General Information

Welcome to EBO – NYSDOT’s official Civil Rights Reporting Software. EBO use is required on all Federal Aid Construction and Consultant Contracts. EBO tracks data such as DMWBE goals, commitments and attainment; Minority/Female Employment Utilization; and Prompt Payment. EBO produces many of the Federal and State reports that have been done manually in the past.

The screens and user access to data within EBO are governed by user roles. Prime Contractors will see different functions than Department Staff, because they are entering information, not just reviewing it. Sponsors will have different access than the Regional Local Program Liaisons (RLPLs).

The following is supplemental to the on-line training and a compilation of EBO and its functions to assist you with the navigation and data reporting requirements as required in NYSDOTs Standard Specifications.

Online Training

There is free, web based training available for Sponsors at: . This training offers unlimited access and will provide a glimpse of EBO for Sponsors and their staff.

To obtain a LOGIN and PASSWORD for this training, send an e/mail to: ganguilano@. Type the word SPONSOR in the reference box and the name of your county, city, town, etc. in the body to ensure that you are NOT charged the $75 user fee that applies to contractors, consultants and vendors.

Once a training LOGIN/PASSWORD is obtained for your office, use the URL listed above to access the training modules. Find and select the “GO TO EBO TRAINING” button – this will bring you to the login screen. Select NYSDOT from the Agency drop down box and then click “LOGIN TO MY ACCOUNT”. You will then be able to access the various training modules.

There is a selection in this training that references an EBO Training Manual. It is not recommended that this manual be used or printed. The software has been upgraded, but the manual has not. It is in the process of being removed from the training website, but until that is done, please ignore.

Screen Layout

• EBO screens are generally consistent throughout the program. There are three main types of screen options for you to choose from: Action Key – these menu items apply to the active screen and are located across the top of the screen

• Major Category Menu – these are located on the left side of the screen and list the major data categories The Major Categories are: SETUPS, CONSTRUCTION, CONSULTING, REPORTS/FORMS, GOALS, REVIEW, UTILITIES, HELP. Click on the double-arrow icon on the Major Category Menu Item. It will expand and display the Function Menu items contained within the group. Click on the icon again to close the group.

• Function Menu Items – these menu items are on the left also and are grouped under the Major Category Menu. Each of these menu items, when clicked, opens a screen within EBO.

Once you access the Function Menu Item screens you will be accessing data. If you see:

• A “+” (plus sign) next to an item indicates that there are additional data/details available. Click on the “+” to expand the selection and see additional data.

• Once a screen or data set is expanded to reveal the data, the “+” will turn into a “-“ (minus). To retract the data – click on the “-“ and it will compress and the “+” will return.

Data Searches

As a Sponsor, the current number of contracts for your municipality, city, etc…will be limited. At this time, the easiest way to search is by SPONSOR. Using the drop down arrow in the SPONSOR box, select the Sponsor name….ie…City of Watertown, County of Erie, etc…and hit the FIND button (Action Key) at the top of the screen. This will generate a list of all the contracts in EBO that are assigned to you as a Sponsor.

A second option for searching is to use the assigned “LD” number. Enter the number in the CONTRACT NO box. Make sure that the entire number is entered – including the “LD” letters (example – LD123456) or you will not be successful.

The PIN (PROJECT IDENTIFICATION NUMBER) may also be used as a search option.

In addition to searches using the known data as stated above, a WILCARD symbol may be used if only partial data is known for the project. EBO uses the percent sign - % - as a WILDCARD. For example:

• To search for all contracts that begin with “LD26” , use “LD26%”

• To search for any contracts with the characters “253” anywhere in the contract, you would use “%253%”. Keep in mind, the WILDCARD % should be used in the appropriate search box….if you have a partial LD#, use the data in the CONTRACT No box; if you have a partial PIN, use that data with the WILDCARD in the PROJECT box.

NOTE: Keep in mind the easiest and quickest SEARCH is to sort by your SPONSOR name.

EBO Administration

Software Access/Password

Sponsors

A Sponsor is any municipality or agency that is a sub recipient of Federal-Aid funds from USDOT through NYSDOT and is letting/awarding a Federal-Aid contract. The Responsible Local Official (RLO) will function as the EBO administrator for the Sponsor and will request access. That person will assign accounts, passwords, and responsibilities for the Sponsor’s employees, including consultants retained by the Sponsor. The Request for EBO System Log-In/Password Form (Sponsor’s version) MUST be remitted accompanied by a copy of the municipal resolution that designates the RLO or it will not be processed. This is a “one-time” process for EACH RLO. If there is a change in RLO, NYSDOT must be notified a.s.a.p. so access may be amended to protect the security and integrity of the data in EBO.

NOTE: Sponsors will not be granted access to EBO until they have a Federal-Aid contract loaded into EBO and a vetted RLO. Both criteria must be met in order to obtain access.

Vendors

A vendor is any firm that is participating on a contract in EBO: contractors, subcontractors, suppliers, consultant engineering firms, etc. The person who will function as the EBO administrator for the firm will request access. That person will assign accounts, passwords, and responsibilities for the firm’s employees. Once you have access to EBO, you will see that many Vendors have already been “vetted” in EBO and are able to access the program. If you find that a Vendor proposed to be used on your contract is not in EBO, notify the Vendor that it is their responsibility to become “vetted” by taking the following action:

• The vendor downloads the Request for EBO System Log-In/Password form (vendor’s version) and submits the completed notarized form to the Sponsor.

• The Sponsor’s Responsible Local Official (RLO) submits the request for EBO access to the Regional Local Project Liaison (RLPL).

• The RLPL will forward to NYSDOT’s Helpdesk to release the LOGIN to the Vendor. This will be a PRODUCTION Login – not one for the Training Modules.

Deactivating Vendor/Sponsor Accounts

Vendors

A vendor account for CONSULTANT or ENGINEERING firms that were given access to the SPONSOR’s data by being issued a Login/Password by the for the purposes of contract administration may need to be deactiviated upon project completion. If the firm(s) will be working on additional projects for the Sponsor, their Login/Password may be left as is. If they will no longer be working for the Sponsor, the RLPLs must be notified ASAP – again for data integrity and security. A simple e-mail will suffice for this notification.

Sponsors/Employees/Consultants

If a Sponsor has a change of employee or employee duties, the administrator of the Sponsor’s EBO account may deactivate a Login and Password. Instructions for this action are listed below.

This is very important when an employee leaves or is terminated to maintain data security and integrity.

Setting up Subordinate Accounts/Creating New Users

NOTE: Only the person functioning as the EBO Administrator (designated as the PRIMARY LOGIN HOLDER) for a Sponsor can assign subordinate users and set up accounts.

Log in to EBO and using the guide below, follow the necessary steps:EBO Screen: SETUPS > USERS > NEW

• Complete all the required boxes on the screen.

• Username can be tied to the user’s name or the actual duty position if desired.

• Ensure the ACTIVE box is checked. (Unchecking the box with DEACTIVATE a user)

• Access to Construction, Consulting or ALL contracts is an optional choice.

• Click SAVE when completed

• Default Password for all newly created users is: WELCOME1

• New users will be prompted to reset their password upon the first login.

The USER RESPONSIBILITY is programmed to DEFAULT SPONSOR – giving user access to the every screen. To limit the access of a user, a new RESPONSIBILITY must be designated by the PRIMARY LOGIN HOLDER (see next section). It is recommended that if additional responsibilities are deemed necessary, they should be created prior to setting up the users.

Creating Responsibilities for Subordinate Users

NOTE: Only the person functioning as the EBO Administrator (designated as the PRIMARY LOGIN HOLDER) for a Sponsor can create Responsibilities for subordinate users. See charts at end of document for roles and associated responsibilities.

EBO Screen: SETUPS > RESPONSIBILITIES > NEW

• In the NEW NAME box, enter the name of the responsibility that you wish to create.

• It is recommended that the name coincide with the duties to make it easier for future use.

• In the column labeled EXCLUDE: a checkmark in the appropriate box will keep the screen from view.

• In the column labeled READ ONLY: a checkmark in the appropriate box will allow the user to see the screen without the ability to make any changes.

• No checkmarks in either column will allow access to view and edit/add data.

• Click SAVE when complete.

• Once the new responsibility is created, the Administrator can return to the USER screen and set up a new user or amend a current user to reflect the new responsibility.

Resetting Passwords

NOTE: Only the person functioning as the EBO Administrator (designated as the PRIMARY LOGIN HOLDER) for a Sponsor can reset passwords for subordinate users.

EBO Screen: SETUPS > USERS > FIND (all the users will appear) OR

SETUPS > USERS > Enter the LAST NAME, FIRST NAME, or LOGIN USER NAME > FIND OR

SETUPS > USERS > Enter the first few letters of any of the above followed by the WILDCARD Symbol - % > FIND

• Once the User’s Name comes up, select it so it turns blue

• Click EDIT.

• The screen will refresh and in the lower left will be a box labeled RESET PASSWORD.

• Click RESET PASSWORD.

• A new password will be automatically displayed. It will consist of FOUR letters, TWO numbers, and TWO Letters.

• Write the password down or copy/paste it for use in an e/mail to the User needed the reset.

• Click SAVE.

• HINT: Keep in mind that the 5th and 6th characters are NUMBERS – the rest are LETTERS. It is important to distinguish between the LETTER “O” and the NUMBER ZERO. If there are several zero’s/O’s in the password, it may be wise to hit the RESET PASSWORD button again until it provides a password that may be less confusing. If this is done, make sure to SAVE.

Help

If you have a question, first refer to the online training or the supplemental training materials. If those materials don’t provide the answer, check the Frequently Asked Questions (FAQs) . If you cannot locate the information there, please contact NYSDOT’s Help Desk at Helpdesk@dot. and provide them with your name, contact information, and a description of the information needed or the question you may have.

For PROJECT SPECIFIC questions,contact your RLPL.

Construction Contract Start-Up

In order to set up a contract in EBO, you will have to utilize the FA CONTRACT TEMPLATE (Excel Format). The Regional Local Program Liaison (RLPL) will complete the first Tab of this template – the “header information” - and forward the rest to your Representative. The Sponsor is responsible to complete the information in the second Tab. There is a third Tab that provides an example of a completed second Tab.

Some notes on completing the Template:

• Template should NOT be modified

• Contract number is always entered as the SLA number preceded by “LD”.

• Utilize established Units of Measure (UOM) abbreviations

• Ensure items are identified as Specialty or Non-Specialty

• Template should be completed as soon after letting/bid award as possible or as soon as the low bidder is verified so that bid prices may be included

• RLPLs review template and forwards to Main Office, Albany to be loaded into EBO

• Once contract data is loaded into EBO, RLPLs are notified and LD# is provided

Once this process is complete:

• Low Bidder assigns items to vendors

• DBE Utilization is reviewed and approved electronically

o DBEs acknowledge their utilization electronically

• Good Faith Effort documentation (GFE) is reviewed if goal not met (GFE still in paper)

When the project is awarded, the Sponsor must notify the RLPL who in turn will notify Main Office, Albany so that EBO may be electronically “awarded”. Sub-approval, data collection and other reporting processes can not start until the EBO “award” is done.

EBO Data

Contract Information

NOTE: The contract number for locally sponsored contracts is the State-Local Agreement (SLA) number preceded by the letters “LD” (e.g., LD 555123). The PIN is unchanged.

EBO Screen: CONSTRUCTION > CONTRACTS > FIND (will show all contracts under your Agency)

CONSTRUCTION > CONTRACTS > Enter Contract #, Project#, or Federal Aid#

CONSTRUCITON > CONTRACTS > Use partial data with the WILDCARD % sign

• Once the contract is shown on the screen, click on it so that it turns blue.

• Click EDIT. This will take you into the specific data of your project.

• When the screen refreshes, you will see the following TABS (similar to manila folder tabs)

o ADD/EDIT – this is the contract information that populates all your forms and reports

o BID/AWARD – provides the apparent low bidder, awarded bidder and important data such as letting and award

o ITEMS – all contract item numbers, descriptions, quantities, units of measure and total bid amounts – these items and $$ will remain constant thru the life of the contract

o ITEMS C/O – change orders can be viewed here

o OJT PROVISIONS – this screen is not applicable to most Sponsors. If your contract includes the Training Special Provision, contact your RLPL for assistance with this task.

o M/F GOAL – Minority/Female EEO Goals

o PROGRAM GOALS – DBE Goals (Federal Aid) or M/WBE Goals (100% State Funded)

If there is not a SAVE (Action Button) at the top of the screen, you can’t add/amend/edit the information

All of your agency’s users should have access to the NOTES Action Button at the top of the screen. There are several NOTES buttons throughout EBO. This is where actions, phone calls, e/mails are documented and become a permanent part of the contract records.

• Click on NOTES and your screen will refresh. You can view notes that are there and the date that they are entered.

• To add a note, click on ADD NOTE in the lower left corner. A space will appear – populated with the current date – and you can type your note. Add the author’s initials so that others can identify who wrote the note.

• When complete, hit the SAVE button also in the lower left corner.

NOTE: You can cut/paste an e/mail or text of a small document to the NOTES screen simply by using the normal cut or copy function and opening a new note and pasting the wording in the text box.

Contractor Officers/ Work Site Contacts (AAP 15)

EBO Screen: CONSTRUCTION > CONTRACTS > FIND (will show all contracts under your Agency)

CONSTRUCTION > CONTRACTS > Enter Contract #, Project#, or Federal Aid#

CONSTRUCTION > CONTRACTS > Use partial data with the WILDCARD “%” sign

At the bottom of the ADD/EDIT tab on the EBO screen, you will see some data that represents the Prime Contractor’s Site/EEO/DBE Representatives. All three of these positions must be filled in on this screen in order for the sub-approval process to be completed.

In this lower section, you will note that there is a down arrow to the right of the Prime Contractor’s name. Clicking this down arrow will reveal the names of all the subs and vendors currently assigned to the contract. By clicking on one of these firms, the screen will do a refresh and display the Site/EEO/DBE Representatives for the selected firm. With the exception of suppliers and other off-site vendors, all subcontractors must have these three positions completely filled out.

Contract Dates

The EBO screen – ADD/EDIT tab – will list all the critical dates on the contract. It is up to the Sponsor or Sponsor’s Representative to ensure that these dates are e/mailed to the RLPL so that they can forward them on to NYSDOT in Albany to ensure that they are added to EBO.

Pre-award Approvals

During the Pre-Award Phase, the Prime Contractor will add vendors to EBO and assign them to the contract items that they will be working on. You should be reviewing this data at CONSTRUCTION > PREAWARD APPROVALS. In the appropriate box, enter the Contract, Project or Federal Aid number and hit FIND. If only a small amount of contracts, just hit the FIND button. Once the project(s) appear, select the one you wish to work on and it will turn blue. Click on EDIT.

When the screen refreshes, only DBEs pending approval will be displayed. As the Pre-Award Approval is a “one-time” ALL or NONE approval; you can’t select and approve DBEs separately. All the data must be approved and reviewed prior to selecting the APPROVE button.

As the Sponsor, it is your responsibility to review the items assigned and commitment amounts to the DBEs and ensure that those items are those for which the DBE is certified to perform. The only source to verify DBEs certification status and the work codes for which they are certified is the New York State Unified Certification (NYSUCP) Business Directory located at: .

As EBO has eliminated the need for most paper forms, the D/M/WBE Schedule of Utilization and D/M/WBE Utilization Worksheet are viewed electronically. To access these forms:

• Go to the REVIEW > CONSTRUCTION approximately the 8th item down the list).

• The screen will refresh and just click SELECT CONTRACT.

• On the next screen, enter the Contract, Project or Federal Aid # (WILDCARD function can still be used with the numbers).

• Click on the contract you wish to review – it will turn blue.

Click on APPLY. The screen will refresh and will show you all firms that are assigned to the project.

In addition to showing you the vendors, this screen shows you what forms are available electronically:

• AAP19 - D/M/WBE Schedule of Utilization (required for Pre-Award and a compilation of all the AAP20s)

• AAP20 - D/M/WBE Utilization Worksheet (required data for Pre-Award)

• CONR89 - Approval To Subcontract (required for Sub Contractor Approval)

NOTE: These forms should be reviewed thru EBO as paper copies are no longer required.

The vendors are listed in two columns:

• Program Vendors – those that are DBEs

• Project Vendors – ALL vendors – DBEs and Non-DBEs – that are assigned to the project.

To review a form:

• Ensure that your project number is shown on this screen – if not, follow previous instructions.

• Click the check box for the form(s) that you wish to review.

• Select the VENDORS that you wish to review.

• Click REPORT in the top ACTION Buttons.

• The screen will refresh and show you a tab (manila envelope style) for each form.

• Click on the appropriate tab and review the form PDF style.

• To return to the main screen, click on OPTIONS.

Once all is reviewed and verified, the Sponsor must ensure that the DBE firms have ACKNOWLEDGED their participation on the project. Acknowledgment must be done in EBO by the DBE Firm under their own Login/Password. If this has been done, they will be listed in GREEN (GO). If the firm is listed in RED (NO GO), they have not completed their part in EBO and you will not be able to process your Pre-Award Approval. This will hold up your award process.

Once all is in order – the firms are certified DBEs, the items are those which they are certified to do, all the acknowledgements have been done, the DBE goal has been met or bona fide GFE has been provided by the prime, you may APPROVE the firms and carry on with your award process. Once the approval is done, you will no longer be able to access the pre-award screen as all actions will be considered post-award.

Subcontractor Approvals

NOTE: This process cannot be started/completed until the contract has been awarded and the award and date reflected in EBO.

EBO Screen: CONSTRUCTION > SUBCONTRACTOR APPROVALS

The Prime Contractor will add vendors to EBO and assign them to the contract items that they will be working on. It is important to review this closely as per NYSDOT Standard Specifications, the Prime Contractor CANNOT subcontract more than 50% of the project to subs/vendors.

Of equal importance is the fact that without a valid approval in EBO, on-site firms/subs cannot be on the project site.

To start this process, you will need to log into EBO and review the pending approvals under

CONSTRUCTION > SUBCONTRACTOR APPROVALS. In the appropriate box, enter the Contract, Project or Federal Aid number and hit FIND. If only a small amount of contracts, just hit the FIND button. Once the project(s) appear, select the one you wish to work on and it will turn blue. Click on EDIT.

When the screen refreshes, you will see only the firms that are in need of APPROVAL. If some firms have been approved already you can view them by unchecking the PENDING APPROVALS box – the screen will refresh to reveal all firms assigned to the contract. Another way to view prior approvals is to click on the HISTORY Action Button at the top of the page. The screen will refresh and show all assigned firms and their history.

NOTE: If there are no unapproved subcontractors, the screen will be blank. Uncheck the PENDING APPROVALS box or click on the HISTORY Action Button.

As part of the subcontractor review, it is important to expand the “+” sign to see what items are being assigned to the firm(s) you are reviewing. The pending item amount (the bid amount for the item) and the pending commitment amount (the amount that the prime is paying the sub firm) should be compared. Are they in line with each other or is there a large difference in the amount. A large difference between the two should trigger questions to see if other firm will be additionally working that item. This should be especially important with the DBE firms ensuring that there is a bona fide commercially useful function in place.

Another way to review the items and the commitments to the subs is to review the CONR89 form in EBO. You can do this in the same way that you viewed the pre-award forms:

• REVIEW > CONSTRUCTION

• The screen will refresh and just click SELECT CONTRACT.

• You will be taken to the next screen where you can enter the Contract, Project or Federal Aid # and then click SEARCH OR if you have a small number of contracts, just hit SEARCH and all contracts will displayed. (WILDCARD function can still be used with the numbers).

• Click on the contract you wish to review – it will turn blue.

• Click on APPLY. The screen will refresh and will show you all firms that are assigned to the project.

The second column – PROJECT VENDORS – is those that will generate a CONR89. To review the CONR89s:

• Click on the CONR89 box

• Select the firms – or ALL firms

• Click on the REPORTS button

In order to process an approval to allow subcontracting, a complete package must be submitted for review.  A complete package includes:

• CONR89 printed from EBO and signed by the Prime and Sub (even though this can be reviewed in EBO, it is important to get this confirmation from both the Prime and Sub)

• AAP15 data in EBO for all three required positions

• Bureau of State Expenditures form (AC2948)

• Contractor/Subcontractor SPDES Permit Certification (SPDES)

• Subcontractor Certification Project Specific Safety/Health form (HC108)

• ACORD or C219 Liability Insurance with limits equal to or greater than $1M occurrence/$2M aggregate and  DOT listed as additional insured or policy holder

• NYS Disability Insurance (DB120-1)

• NYS Workers Compensation (C105-2)

After receipt of the above documents, NYSDOT’s LAS Database must be checked to see if there is an active CCA2 on file and that the firm is not listed on the referral list for violations (if you do not have access to these two items contact your DOT representative and ask that they verify the firm has an active CCA2 and are not listed for any violations). Once all is reviewed, the sub may be approved by checking the APP (short for APPROVAL) box to the left of the firm’s name.

Unlike PRE-AWARD APPROVAL, POST AWARD APPROVAL can be done as the data on subcontractors is received. This is not a one date for all firms screen; the approval date is adjustable as Prime Contractors may not have all their subs ready at the same time. The date box above the names should be adjusted to reflect the actual date of approval. Once that is done, click on the SAVE button.

NOTE: The UNAPPROVE button does NOT “unapproved” the firm. Once you CLICK on SAVE and APPROVE a firm, it cannot be unapproved…..Make sure all is in order before the APPROVAL process is completed.

Post-award Approvals

EBO Screen: CONSTRUCTION > POST-AWARD APPROVALS

This function is very similar to the other approval screens- DBE approvals after (POST) award. If changes are made, new DBEs added or items amended, this screen is where the Sponsor approves said amendments.

NOTE: As with the SUBAPPROVAL screens, only those DBE firms requiring approval will be shown.

These screens are part of the Good Faith Effort (GFE) process and DBE commitments reviewed throughout the life of the contract.

Commitments and Items

As part of the MONTHLY QA/QC review of the EBO data, the reviewers should access the COMMITMENT/ITEM screen. This screen will give you a snap shot of any changes to the prior DBE or Sub approvals done on the contract.

EBO Screen: REVIEW > COMMITMENTS AND ITEMS > FIND > EDIT

When looking at this screen you will notice two columns of Y (YES) and N (NO) under:

• PND SUB – Pending Sub Approval – if “Y” the firm needs approval – if “N” no approval necessary

• PND PGM – Pending Program Approval – this if for DBEs only – if the firm is a non-DBE firm, the default will be “N” – there is no DBE approval required for a non-DBE – if it is “Y” that means that there is approval needed for this DBE firm.

The KEY to this screen is ensuring that all the approvals are done – or that they show “N” – no approval needed. If you continue with this practice you will note that if a “Y” is shown, a change is made to what was previously approved.

If there is a “Y” on a firm that was previously approved, click on the “+” to expand the data for that firm. All items that were previously approved are shown in the last two columns of the expanded data - CURRENT BID & CURRENT COMMITMENT. Any changes that were made are now listed in the PENDING BID & PENDING COMMITMENT columns. By comparing the two sets of data, you can tell what was added (no dollar amount in the CURRENT columns), deleted (zeroes shown in the PENDING columns in essence voiding the CURRENT columns), or amended (amounts shown in both sets of columns).

Once the above is reviewed with the EIC or Project Manager, the approvals can be done.

• For Subcontractor approval – PND SUB – PENDING SUB APPROVAL – go to CONTRACTS > SUBCONTRACTOR APPROVALS.

• For DBE firms – PND PGM – PENDING PROGRAM APPROVAL – go to CONTRACTS > POST AWARD APPROVALS.

NOTE: By keeping the approvals up to date, your MONTHLY QA/QC of the COMMITMENT ITEMS SCREEN will quickly and easily show any changes to the items and commitments to the subs/vendors.

Entering Change Orders

EBO Screen: CONSTRUCTION > CONTRACT OOC/OJT > FIND (will show all your contracts)

CONSTRUCTION > CONTRACT OOC/OJT > Enter Contract, Project, or Federal Aid# CONSTRUCTION > CONTRACTS > Use partial data with the WILDCARD % sign

It is essential to process Change Orders in EBO. This not only maintains an accurate total of the project and its items, it also assists with the tracking of payments, DBE attainment and Good Faith Effort with new/increased items.

Prior to the processing of a change order, the Sponsor should be aware of any changes to the DBEs items of work….this would include deleting or amending of the items. Increases in the items should be reviewed to ensure that the DBE is afforded the opportunity for additional work or work items in their type or categories of work.

Once the change order has been APPROVED they can be processed in EBO. DO NOT process until they have been approved as there are tendencies to amend or disapprove the orders at higher levels. Once a change order has been processed and SAVED, it can’t be deleted – it can only be backed out by voiding each item separately.

To process APPROVED orders:

• Go to CONTRACT OOC/OJT screen as shown above.

• Across for the DISPLAY, you will see ALL, EXISTING OR NEW – Click on the NEW OOC (this session) radial button.

• Once that button is clicked, the SET ALL NEW ITEMS THIS SESSION TO # box will display – this is where you enter the Change Order number (1, 2, 3, etc….).

• At the bottom of the screen there are two boxes – ADD EXISTING ITEM (when an existing item is being increased, decreased or deleted) & ADD NEW ITEM (when a brand new item is being added to the contract).

To change an EXISTING ITEM:

• Click on ADD EXISTING ITEM button on bottom of screen. A new screen will appear.

• Enter the item # in the appropriate box – it is recommended that you use the three digit core work code number and then the “%” (wild card) as it is easier and there may be multiple changes in that core item group. (EXAMPLE: Item is 688.01 – enter 688%).

• Once that is entered, click SEARCH.

• Click on the item that you want to amend.

• Once that has been highlighted, click on the ADD button and the item should drop down to the lower box.

• Continue this step for all the amended EXISTING ITEMS (you can do a few at a time – it will be easier, but take a bit longer)

• Once complete, click on the APPLY button – the screen will refresh and the items will now be shown.

• All that has to be added is the changes in UNIT PRICE and QUANTITY.

• To amend the item, click on the empty white box in the column labeled PRICE CHANGE. This is where the unit price is entered.

• The next column is the QTY CHANGE – this is where the change in quantity is entered. If there is a negative number here, it means that there is a decrease in quantity and this is where you should enter the negative number.

• The last column on the EBO Screen is the TOTAL CHANGE – EBO with AUTOMATICALLY do the math. Make sure that the dollar amount of the change matches this number. There may be a few cents difference based on rounding. If the difference is more than that, check your numbers for an input or data error.

• Check all your numbers prior to hitting the SAVE button.

PLEASE NOTE: ONCE YOU SAVE YOUR CHANGES, THEY CANNOT BE EDITED. THE ONLY WAY TO CORRECT THIS DATA IS TO MAKE A NEW ENTRY TO BACK OUT THE WRONG DATA AND ANOTHER ENTRY TO ADD THE CORRECT IN AGAIN.

Check your data frequently. Use the SAVE/CONTINUE button frequently.

To add a NEW ITEM:

• Click on ADD NEW ITEM button on bottom of screen.

• A new line will appear to add the NEW ITEM.

• Column #1 – Should automatically populate with the Change Order Number added at the top of the screen

• Column #2 - Enter your ITEM NUMBER

• Column #3– Enter the description of the item. NOTE: What you type in this box is what will print out on future CONR89 and AAP20s

• Column #4 – Specialty Item – ignore this box as it is not required.

• Column #5– Line # - generally a four digit number

• Column #6– UOM – Unit of Measure – there is a drop down box where you select this information

• Column #7 – Price Change – this is the UNIT PRICE dollar amount

• Column #8 – Quantity Change

• Column #9 – This is the TOTAL CHANGE column and should match (within a penny or two due to rounding) the dollar amount that is listed in the increase column on the OOC.

PLEASE NOTE: ONCE YOU SAVE YOUR CHANGES, THEY CANNOT BE EDITED. THE ONLY WAY TO CORRECT THIS DATA IS TO MAKE A NEW ENTRY TO BACK OUT THE WRONG DATA AND ANOTHER ENTRY TO ADD THE CORRECT IN AGAIN.

Check your data often. Use SAVE/CONTINUE button often.

Payments

EBO Screen: CONSTRUCTION > PAYMENTS > FIND (or enter your Project # & FIND) > EDIT

The screen will refresh with only the Prime Contractor listed. As the Sponsor, you will make no direct payments to any subs or vendors – only to the Prime. If there is a “+” sign next to the Prime’s name, that indicates that payment have been made. Click on the “+” sign to expand the information and review payments.

To add a payment, do so on this screen:

• Click on the PAYMENT button on the lower left of the screen

• A new line will appear for the payment information

• Column #1 is the date that the payment was mailed or electronically transferred to the prime

• Column #2 is the amount of the payment made

• In some instances, Column #3 will be for retainage – As New York State no longer allows retainage, we are in the process of removing this column from all future EBO files – if this column shows up on your project screen, please ignore – retainage is not allowed.

• The next Column will show disbursed – you will not be able to enter data – it was used to calculate the difference between the amount “paid” and the amount retained – this will no longer be used with the no retainage rule.

• Estimate # - add your estimate number or any notes that are relevant to your payment for future reference.

• The final column is Received – once the payment is received by the Prime, they are to go into EBO and “accept” the monies and enter the amount received as a confirmation or checks and balances.

• Click SAVE when done.

• Keep in mind that the NOTES function can be used at anytime to record data or explanations regarding actions taken or payments made on the project.

It is the Sponsor’s responsibility to ensure that the Prime “accepts” the payments in EBO within seven (7) days. This should be part of your monthly QA/QC review. Payments and Receipts

This is the screen that the Prime Contractor will use to track payments to their subcontractors and vendors/materialmen on the project. The same prompt payment requirements apply. Seven days to pay the sub firms and seven days for the sub firms to acknowledge or accept the payments in EBO.

EBO Screen: REVIEW > PAYMENTS AND RECEIPTS > FIND (or enter your Project # & FIND) > EDIT

The screen will refresh and show a summary of payments to subs/materialmen on the project. If there is a “+” sign next to a firm’s name, that indicates that payment have been paid. Above those “+” signs there is a solid black down arrow . If this arrow is selected, it will open all the “+” showing the data for all vendors. To close or minimize the data select that arrow again.

When the “+” is expanded, you will see the information that the payments that the Prime has made to the subs/materialmen.

• Date – this is when the prime paid the sub/vendor

• Amount – dollar amount of payment

• Work Type – this column will indicate whether this if for construction, supply, broker, etc .work

• Pay % - is automatically filled in based on the type of work (eg. Construction - 100%, Supplier - 60%, etc…)

• Retained – no longer valid in New York State – program being revised to exclude this column – newer contracts will not have this column

• Disbursed – total amount paid to sub/vendor

• Estimate# - reference notes added by prime – Estimate # or Estimate #F for Final payment to that firm

• Received – once the sub/vendor receives the payment, they have SEVEN (7) DAYS to acknowledge receipt in EBO. These amounts must match and must be shown in EBO as part of the monthly QA/QC for prompt payment.

NOTE: As stated, Prime contractors have SEVEN (7) DAYS to pay their subs/vendors and those subs/vendors must acknowledge those payments in EBO within SEVEN (7) DAYS as well. The prime should enter the Estimate (payment) number from the Sponsor for each payment made to a Vendor, in order to create an audit trail.

NOTE: When making the FINAL payment it would be wise to show the work “FINAL” in the estimate column

Tools & Reports

Prompt Payment Report

New York State Financial Law § 139-f : NY Code - Section 139-F: Payment on public work projects dictates that Prime Contractors have seven (7) days from receipt of payment from the Sponsor to make payment to their subcontractors/materialmen for work performed/materials provided which were included in the estimate/payment received. It is very important that the date that is entered by the Sponsor is accurate. As soon as the prime receives the check, they must get the checks processed and that payment data put in EBO. Once the subs/materialmen receives payment, they must update EBO to acknowledge the amount received. If these processes are not done, it will negatively impact the Prompt Payment Report.

EBO Screen: REPORTS/FORMS > PROMPT PAYMENT REPORT

• Once you enter your Project info and hit FIND, the screen will refresh – select the project and click on it so it turns blue.

• Click on the REPORT action button at the top of the page.

• The screen will refresh with the report; confirm the prime and the project number.

• The report will show the following (in column order left to right):

o Date Paid: date entered by Sponsor on the PAYMENT screen

o Aged: Number of days OVER SEVEN (7) DAYS that the PRIME made a payment to the SUB/VENDOR from the last estimate posted in EBO. Pay particular attention to the estimate number.

o Paid By: The Sponsor or Prime will be listed – who made the payment

o Paid To: Who the monies were paid to

o Estimate #: data entered by Sponsor or Prime regarding payment

o Amount: Dollar amount of payment

o Retained: Should be empty – no more retainage in NY State

o Disbursed: Should match the Amount (paid) column

o The last column does not have a header but will be filled with **LATE PAYMENT** for any payment over seven (7) days from the Sponsors payment date.

When using this report it is EXTREMELY important to research the payments and not take for granted that anything marked in “RED” is a late payment. If a payment is accepted by a subcontractor two weeks after it was actually received, the report will indicate a late payment.

The AGED date is generated based on the date it is paid and how many days later it is “received” in EBO. If the prime and subs/materialmen are not accepting the payment ASAP, it will skew the results of this report.

It is highly recommended that an estimate number be entered by the Sponsor and that estimate number should be repeated by the Prime do ensure that payments are tracked to the correct estimate for prompt payment purposes.

NOTE: This is report is not conclusive evidence that the prime has not paid promptly. Research and a common sense approach are key.

CONTRACT ANALYSIS

This screen shows a snapshot of the project data to include payments made by the Prime and DBE goal attainment. This is very useful during the Sponsor’s review/monitoring of the DBE utilization to-date on the project.

EBO Screen: CONSTRUCTION > CONTRACT ANALYSIS > FIND (or enter your Project # & FIND) > EDIT

• Make sure that you are on the COMMITMENT vs. ATTAINMENT tab:

• Award - is the original award amount for the contract – change orders are not included

• DBE goal – expressed as a percentage

• Goal $ - this is the goal amount expressed in a dollar amount

• Attainment $ - this is the actual payments made to DBE firms to date

• % - this figure represents the percentage of the DBE goal that has been met to date – this is a tool to let you know where you are in relation to goal attainment vs project completion (Example: DBE goal is 7% on a $2,000,000 award amount – this represents a dollar figure of $140,000. If $75,000 has been paid to DBEs, that $75,000 would represent approximately 53% of the DBE Goal – 53% of the $140,000 has been paid)

• Pct Complete – this is the project completion percentage which based on payments made to the Prime contractor

As with other screens if there is a “+” sign next to a firm’s name, there is additional data to be reviewed. Using the solid black down arrow, you can open all the sub data for each firm with a “+”. When the data is revealed, it shows the majority of information from the Payments/Receipts screen; it does not show if the sub/vendors have accepted the payments, however.

NOTE: This a favorite screen of FHWA – it contains much of the information that they require for their reports. It is advisable to be familiar with this screen and ensure that all the data that populates this screen is correct – payments, DBE status, sub contractor commitments, etc.

DBE/Subcontractor Reports

EBO Screen: REVIEW > CONSTRUCTION

The majority of these forms were discussed previously in the sub/DBE approval process. All forms can be found as noted above. This feature includes the following reports:

• AAP 20 D/M/WBE Utilization Worksheet

• CONR 89 Approval to Subcontract

• AAP 19 D/M/WBE Schedule of Utilization

• AAP 23 Trucking Form (Pre-Award)

Monthly Utilization (Employment Utilization AAP33)

This report was previously required to be remitted once a month from the subs to the

Prime, then the Prime to the Sponsor. EBO has now streamlined this! IF the ALL the on-site firms have correctly imported their employees and work hours into EBO, the data for this form is correct and NO PAPER REPORTS ARE REMITTED!! All the trades, classes, work hours from the payroll imports that are done are drawn on for the creation of this report.

If the data is wrong – the report is wrong. If not all the firms have added their work hours – the compilation or CONSOLIDATED report will be incorrect. The Prime will have to produce and remit the report manually OR the easier fix is to have the Prime contact THEIR sub firm to have the correction of the payroll data completed.

EBO Screen: REPORTS/FORMS > MONTHLY UTILIZATION

• Click SELECT (lower left) when screen refreshes

• Click SEARCH when the screen refreshes or enter your Project number and click SEARCH

• Click and highlight your project

• Click ADD and your project will move to lower screen

• Click APPLY – screen will refresh

• Click and Highlight your project

• Click REPORT

• This will produce a report that is from day one of the contract thru today. It will be for this project and be CONSOLIDATED (showing data for all on-site firms).

• You can adjust the report to see just the prime or specific sub firms by click on the solid black drop down error at the VENDORS box.

To amend the above default data, you can adjust the report parameters. Those parameters are:

• Start date - (once you change from the default of INCEPTION, you cannot go back without using the RESET action button and starting over with a fresh report)

• To or “thru” date – TO DATE will always be the current day. This can be adjusted as desired.

By CONTRACTOR, COUNTY or VENDOR – the report can be run based on one of these criteria. You will have to use the SELECT button to obtain those options and use the same SEARCH, ADD, APPLY format as was used above. If you want to restart or reformat your report to begin again with the defaults, click on RESET and start from the SELECT step.

If field audits are conducted on the certified payroll and all data is found to be correct, there is no need to PRINT A PAPER COPY of this report. SEE the PAYROLL AUDIT section to review this audit process.

FHWA 1391

This report is available in EBO, but no longer required to be printed, signed and submitted. It is the contractual obligation of all firms working on a Federal Aid Contract to ensure that they have their payroll hours/data in EBO by the 2nd Friday in August. It is the responsibility of the Sponsor to ensure this. Once all the hours are confirmed to be in EBO – complete and accurate – the Sponsor will notify NYSDOT. Once that is done, the obligation has been satisfied.

If the Department/RLPL finds errors with the data, they will notify the Sponsor at which time they will be required to ensure immediate correction. Contract Estimates/Payments are generally held until that time as the data has been satisfactorily corrected.

Workhours Review

EBO Screen: REVIEW > WORKHOURS REVIEW > FIND > EDIT

This screen provides a quick review of the work hours that the Prime/subs have entered into EBO.

• Screen will refresh and be BLANK!!! Don’t panic. This is where you have the option to enter a specific period of time for review. In many cases, some projects so many work hours that it takes a few minutes to retrieve all the data. You can pinpoint the time frame that you wish to review by setting the data parameters

• If you amend the Start date from INCEPTION, you cannot return there without RESETTING your screen and the parameters.

• Once you have decided on the review period – leave the dates as is or set a specific time frame – click on REFRESH

• The screen will then refresh with all the work hours in the time frame listed on the prior screen.

• The dates can be amended further on your current screen – once done – click REFRESH again.

As with prior screens within EBO, when the screen shows the Prime/Sub firms and there is a “+” sign, there is data to be seen by simply clicking on that “+” sign. If there is no sign next to a firm’s name, that means no work hours have been imported or reported for the payroll weeks ending within that search parameter.

NOTE: Keep in mind that generally a Supplier, Manufacturer or Broker does not work on-site and therefore would not have to create a certified payroll and report any work hours in EBO.

Payroll Audit (Contract Hours)

This is the actual review of the physical certified payroll. The Sponsor/EIC/Consultant/Project Manager receives the certified payrolls in accordance with the NYS Department of Labor requirements. Additional requirements can be found in NYSDOT Standard Specification Section 100 for the Sponsor’s receipt of these documents. After prevailing wages are confirmed to be correct on the payroll and the required Wage Rate Interviews completed, the certified payrolls are audited in EBO to ensure complete and accurate data is populating the reports.

EBO Screen: REVIEW > PAYROLL AUDIT > FIND > EDIT

• Ensure that you are on the CONTRACT HOURS tab

• At the CONTRACTOR box, use the drop down arrow to select the firm that you wish to review

• The PAYROLL PERIOD box should refresh and show SELECT ONE. If this does not show SELECT ONE, there are no work hours entered for this firm in EBO.

• If SELECT ONE is shown in the PAYROLL PERIOD box, click on the down arrow and select the WEEK ENDING DATE for the payroll you are working on. The screen will refresh to show the hours in EBO.

Points to Review:

• Payroll work hours MUST match EBO

• Total hours on payroll MUST match TOTAL hours on EBO

• Payrolls MUST be annotated with Race/Gender and that information MUST match EBO

• Certification sheet MUST be signed and included with certified payroll

• Prevailing wage rate in EBO should match rate on payroll

• Time factor in EBO should match payroll (Overtime, Straight time, etc.)

• Any errors should be reported to the Prime so that they may contact their sub firms for corrections.

• Corrections are required ASAP

Once the payroll has been review and found to be correct based on the points above, the reviewer selects the REVIEWED button at the bottom of the payroll audit screen. This wil cause the screen to refresh and to add that day’s date and the login/username of the reviewer to EBO to verify that week’s payroll has been approved and OK’d. Any questions on that date’s payroll approval can be referred to that user/inspector/EIC/Sponsor. Click SAVE when completed.

NOTE: It is recommended that during the Payroll Audit process that the SAVE/CONT(Continue) button be used frequently to ensure that all reviews are saved.

Affidavit of Payment (AAP21)

This form is NO LONGER required to be printed, signed and notarized under normal circumstances. If there are payment issues or complaints, the AAP21 may be printed from EBO by the sub/vendor or prime, comments added, signed, notarized and remitted.

Contracts by Firm

This tool is used if you are searching for contract that firm has performed on. You can get project numbers to review for past EEO and DBE participation.

EBO Screen: REVIEW > CONTRACTS BY FIRM

• At Vendor name (the easiest search method) add the first few letters of the firm’s name

• Add the “%” WILDCARD

• Click FIND

• Review the vendors that come up with your search – select the firm you wish to review

• If the firm that you are looking for is not there, add the “%” before the letters that you typed in as this will widen the search.

• Once you find the Vendor that you wish to review, click EDIT

• You will now see all contracts on which the firm has participated will appear, as a prime or sub.

EBO Project Close Out

Once you have completed all the requirements to finalize your project, EBO will also have to be finalized or closed out. In order to do this, data must be reviewed for completion and accuracy:

• All payments must be shown in EBO (Sponsor and Prime) – NOTE: When making the FINAL payment it would be wise to show the work “FINAL” in the estimate column.

• All payments must be accepted in EBO (Prime, Subcontractor, Vendor and Consultant, if applicable)

• All Subcontractor/Vendor approvals and Program approvals must be done in EBO.

• Reviewing the Contract Analysis screen, all commitments must equal or be in reasonably close conformity to the payments made to the Subcontractors, Vendors and Consultants)

Don’t wait until the last minute to ensure that the above is completed. All the requirements noted above should be included in your monthly monitoring of the Civil Rights Data in EBO, which includes sub-approval, DBE approval, prompt payment and acceptance, and DBE and EEO Goal attainment.

Again, if there are any questions, contact your RLPL for assistance.

End of Document -

| |Responsibilities |

|FA Contract Template filled out and submitted to NYSDOT Office of Construction |Sponsor and RLPL |

|Contract entered into EBO |NYSDOT Office of Construction |

|Pre-Award DBE commitments entered into EBO |Prime Contractor |

|All DBEs acknowledge their work items |DBE Vendors |

|Pre-Award DBE package approved in EBO |Sponsor |

|Award Date submitted to Office of Construction |RLPL |

|Award Date entered into EBO |NYSDOT Office of Construction |

|Subcontractors Commitments entered into EBO |Prime Contractor |

|Subcontractor approved in EBO |Sponsor |

|Post-Award DBE Commitments entered (if any) |Prime |

|Post-Award DBE Commitments approved in EBO (if any) |Sponsor |

|Employees and workhours entered into EBO (weekly) |Prime and Subcontractors |

|Workhours reviewed and compared to Certified Payrolls (Payroll Audit) |Sponsor |

|EEO goals and attainment monitored (monthly) |Sponsor |

|Payments to Prime entered (as Payments are made) |Sponsor |

|Payments to Subs and DBE Vendors entered (as Payments are made) |Prime Contractor |

|Receipt of Payment acknowledged |Prime, Subs and DBE Vendors |

|Orders on Contract entered |Sponsor |

|Orders on Contract processed |Prime Contractor |

|DBE goals and attainments monitored (monthly) |Sponsor |

|Final Payment to Prime entered |Sponsor |

|Final Payments to Subs and DBE Vendors entered |Prime Contractor |

|Final Payment Date sent to the RLPL |Sponsor |

|Contract Closeout steps completed |Sponsor |

|Contract Completion Date entered into EBO (Contract locked in EBO) |NYSDOT Office of Construction |

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