Www.dot.ny.gov
New York State
Department of Transportation
Civil Rights Reporting
Equitable Business Opportunities
(EBO Release 4.25)
Supplemental Instructions – Sponsor
December 2018
Table of Contents
General Information 3
Online Training 3
Screen Layout 3
Data Searches 4
EBO Administration 5
Software Access/Password 5
Sponsors 5
Vendors 5
Consultants ……………………………………………………………………………………………………………………6
Setting up Subordinate Accounts/Creating New Users………………..…………………………………….…..6
Creating Responsibilities for Subordinate Users………………………………………………………………………7
Deactivating Accounts 7
Resetting Passwords 7
Contract Set-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 13
Post-award Approvals ………………………………………………………………………………………………………… 14
Commitments and Items …………………………………………………………………………………...15
Entering Change Orders……………………………………………………………………………………… 16
Payments 18
Payments & Receipts…………………………………………………………………………………………………………….19
Tools & Reports 20
Prompt Payment Report 20
Contract Analysis………………………………………………………………………………………………… 21
D/M/WBE/Subcontractor Forms/Reports 23
Monthly Utilization Report 23
FHWA 1391……………………………………………………………………………………………………….. 24
Workhours Review 24
Payroll Audit (Contract Hours) 25
Affidavit Notarization (AAP21) 26
CUF (Commercially Useful Function) ……………………………………………………………………………………TBD
EBO Project Close Out…...............................................................................................................26
EBO Tasks and Responsibilities ………………………………………………………………………………………………28
General Information
Welcome to EBO – NYSDOT’s official Civil Rights Reporting Software. EBO is a web-based application that automates all civil rights reporting. Once a contract has been let, the sponsors and prime contractors will be given access to the project in EBO. As subs/vendors are added by the prime, they too will have access to the project information in EBO. All contracts are to be entered in EBO and be updated frequently for real-time data capturing. Regional Local Program Liaisons (RLPLs) or Main Office Program Manager (MOPM) monitors timeliness, completeness and accuracy of data for each of their projects
EBO tracks data such as DMWBE goals, commitments and attainment; Minority/Female Employment Utilization; Commercially Useful Function (CUF) and Prompt Payment. EBO produces many of the Federal and State reports that have been done manually in the past – the FHWA 1391 Report, Semi-Annual DBE Report, & Quarterly M/WBE Report (state projects), to name a few.
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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 RLPLs or MOPMs for the same reason.
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 NYSDOT Staff and 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, Sponsors must send an e/mail to: ganguilano@ with the word SPONSOR in the reference box and the name of their county, city, town, etc. in the body to ensure that they are NOT charged the $75 user fee that applies to contractors, consultants and vendors.
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 – FIND, EDIT, RESET, SAVE (on some screens)
• Major Category Menu – located on the left side of the screen; list the major data categories: SETUPS, CONSTRUCTION, CONSULTING, REPORTS/FORMS, REVIEW, UTILITIES & HELP. Click on the down arrow icon on the Major Category Menu Item. It will expand and display the Function Menu items contained within the group. Click on the up-arrow icon to close the group.
• Function Menu – 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 screens you will be accessing data. If you see:
• A “˃” (grey arrow) 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 arrow with turn to “^”. To retract or compress the data – click on the “^” and it will compress again.
Data Searches
The easiest way to search is by Sponsor – doing so will keep the number of contracts that are delivered by your search to a minimum and bring up only those contracts under your Sponsorship/Municipality. Your municipality should automatically show in the SPONSOR box.
By clicking on FIND at the top of the screen, all the contracts should populate.
A second option for searching is to use the assigned “LD” number in the Contract No. box or the Project six-digit identifier (ex. 1234.12) in the Project box. After entering one of these two numbers, click FIND and the specific contract will populate.
In addition to searches using known data as stated above, a WILDCARD symbol may be used if only partial data is known for the project. EBO uses the percent sign ( % ) as the 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.
EXAMPLE: Using the CITY OF ALBANY as a SPONSOR. The city auto fills and all that has to be done is click on the FIND box (upper left) and all contracts will populate the box below.
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EBO Administration
Software Access/Password
Sponsors
A Sponsor is any municipality or agency that is a sub recipient of Federal-Aid from USDOT through NYSDOT or New York State funds (State-Aid)through NYSDOT and is letting/awarding a Federal-Aid or State Aid contract. The Responsible Local Official (RLO) will function as the EBO administrator for the Sponsor and will be responsible to assign accounts, passwords, roles and responsibilities for the Sponsor’s employees. 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 as the EBO Administrator 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 as soon as possible so access may be amended to protect the security and integrity of the data in EBO.
NOTE: Sponsors, who are a municipality, will not be granted access to EBO until they have a Federal-Aid or State-Aid contract to be entered into the program, a proper vetting form and a municipal resolution for EBO.
Note: Sponsors who are not a municipality will not need a municipal resolution.
Vendors
A vendor is any firm that is participating on a contract in EBO: contractors, subcontractors, DMWBE suppliers/vendors, consultant engineering firms, etc. The firm will submit the required vetting form with their designated EBO administrator. That person will assign accounts, passwords, and responsibilities for the firm’s employees.
If you find that a Vendor proposed to be used on a 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 Local Program EBO Account with a copy to the Sponsor and RLPL or MOPM.
• The Local Program EBO personnel will review the form for completeness and process. If there is missing data, the RLPL or MOPM will be advised and asked to have a corrected, notarized form submitted.
• Vendor Log In/Password information will be sent directly to the Vendor for security purposes, but the RLPL or MOPM will be notified that the process is completed.
Consultants
Sponsors can set up an EBO account for Consultant Engineering or Inspection firms under their EBO account. For security purposes, the Sponsor’s EBO Administrator provides Consultants access to specific project(s), this prevents them from working on or viewing data that on other contracts/consultants.
In addition, if the Consultant has a valid EBO account already, the Sponsor’s EBO Administrator can send an e/mail to the RLPL or MOPM and localprograms.ebo@dot. requesting that the Consultant be assigned to a specific contract. This is a good alternative for the Consultant as they will not have to juggle numerous log-ins and passwords. It is important that the RLPL or MOPM be aware of this and refer the Sponsor to this function.
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.
The USER RESPONSIBILITY is programmed to DEFAULT SPONSOR – giving a new user access to every screen. To limit the access of a user, a new RESPONSIBILITY must be designated by the PRIMARY LOGIN HOLDER (see next section). The new or changed/updated responsibility must be added and in place prior to adding a new user as you will have to assign the responsibility during the User Set-Up portion.
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.
• MAKE NOTE of the system-generated Password before SAVING as it will disappear when save button selected.
• Click SAVE when completed
• Usernames CANNOT be amended once saved…. make sure spelling is correct. Most other items on this screen can be edited by the EBO Administrator.
• All users should have their own username and password. EBO does track log-ins/screen adjustments/approvals, etc. with the user’s actual name.
• Usernames/passwords should not be shared between users/employees.
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 examples of 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.
Deactivating Accounts
If a Sponsor’s RLO changes, a new Vetting for and municipal agreement must be submitted immediately to protect account access and data security.
If the Sponsor’s EBO Administrator sets up an account for an employee and that employee leaves or should no longer have access to the municipality’s data, the account should be deactivated immediately.
To process a deactivation: Click on SETUP, then click on USERS, select FIND. A list of users provided access under the Sponsor’s EBO Account will show. Click on the User you wish to deactivate (it will turn blue), click on EDIT. The screen will refresh showing that user’s information. In the middle of the screen there is a box labeled ACTIVE. Uncheck the box, click on RESET PASSWORD, then click on SAVE. This will disable the account.
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Resetting Passwords
If a EBO Administrator for a Sponsor requires a password reset, that Administrator must personally send an e/mail requesting same to: localprograms.ebo@dot. A new password will be e/mailed to the Administrator – which is not to be shared with other users/employees under the Sponsor’s account. If the request does not come from the e/mail of the administrator, the request will be denied. Telephone call requests will not be accepted for security purposes.
Employees of Sponsors that require an EBO Password reset should contact their respective EBO Administrator for the reset.
To reset a password: Click on SETUP, then click on USERS, select FIND. A list of users provided access under the Sponsor’s EBO Account will show. Click on the User that needs a reset, (it will turn blue), click on EDIT. The screen will refresh showing that user’s information. At the bottom of the screen click on RESET PASSWORD. The screen will refresh with a new password. Before hitting SAVE, make a note of the new password to share with the user. Once SAVE is hit, the new password will disappear.
To change a password to something easier to recall: The EBO Password Reset function provides a new password with a random series of letters and two numbers which is sometimes difficult to remember. To change the password to something easier to remember, have the User click on UTILITIES, select CHANGE PASSWORD. The screen will refresh requesting the current password. Enter that in the first box. The new password will have to be entered twice (to ensure it matches). Once that is done, click SAVE. Log out/Log back in to ensure the new password works. If not, repeat from beginning. NOTE: this is not a reset function, this is only to update or amend a system generated password to something easier for the user to remember.
Contract Set-Up
For both construction and consultant contract set up in EBO, the necessary template must be remitted to the RLPL or MOPM, who will review for accuracy and then forward on to Local Programs EBO. Both templates are available on the Local Programs Bureau (LPB) website. In most cases, the RLPL or MOPM will send the required template to the Sponsor. The link for the templates is:
To set up a Construction Project in EBO, the Federal Aid Construction or the Non-Federal Aid template must be accurately completed. The Sponsor is responsible for completing the template. They can contact their RLPL or MOPM if they have questions on completing the template. When complete they return it to the RLPL or MOPM for review.
NOTES:
• Template should NOT be modified
• Contract number is always entered as the SLA number preceded by “LD”, “K”, or “LDR” .
• Utilize established Units of Measure (UOM) abbreviations (third tab on template)
• Ensure items are identified as Specialty or Non-Specialty
• Template should be completed as soon as the low bidder is identified so that bid prices may be included
• RLPLs or MOPMs review template and forwards to Local Programs EBO to be loaded into EBO
• Once contract data is loaded into EBO, RLPLs or MOPMs are notified by Local Programs EBO (LPB EBO)
• All requests for corrections of the templates should be responded to in a timely manner
• RLPL or MOPM MUST ensure that if the project is part of a special program (Bridge NY, Culvert NY, ARRA, etc.) that the template is noted accordingly to ensure proper reporting.
Once this process is complete:
• Low Bidder assigns items to vendors
• D/M/WBE Utilization is reviewed and approved electronically by the SPONSOR
o D/M/WBEs acknowledge their utilization electronically
o If D/M/WBE Goal is met or exceeded, SPONSOR reviews PRE-AWARD APPROVALS in EBO and selects APPROVE
o If D/M/WBE Goal is NOT met, SPONSOR should NOT process the PRE-AWARD APPROVALS
• Good Faith Effort documentation (GFE) is reviewed if goal not met (GFE still in paper)
• GFE approval is required by Main Office OCR ?prior to award
• An e/mail will be sent to RLPL or MOPM and SPONSOR. Maintain a copy of that e/mail in project file; a copy of that e/mail will send sent to Local Programs EBO along with award request
When the project is awarded, the Sponsor must notify the RLPL or MOPM of the date. RLPL or MOPM will e/mail LPB EBO (localprograms.ebo@dot.) with the date and a request to award. Sub-approval, data collection and other reporting processes can not start until the “award” is processed in EBO.
To set up Consultant projects, the two-page Local Program Consultant Agreement EBO Data Entry Form is required to be sent to NYSDOT Contract Management and the RLPL or MOPM for review. Once approved, it is then forwarded to LPB EBO.
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 Municipality)
CONSTRUCTION > CONTRACTS > Enter Contract #, PIN#, 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 (like 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), M/WBE Goals (100% State Funded) or SDVOB Goals (100% State Funded)
NOTE: If there is not a SAVE (Action Button) at the top of the screen, you can’t add/edit the information
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 have previously been entered 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. Any ( ), { }, < >, or emojis may cause errors when trying to save an e/mail as a Note.
Contractor Officers/ Work Site Contacts (AAP 15)
NOTE: This information is required for SUB-APPROVAL and the prime’s information is required for award.
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/D/M/WBE Representatives. All three of these positions must be filled in on this screen 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/D/M/WBE Representatives for the selected firm. Apart from suppliers and other off-site vendors, all subcontractors must have these three positions completely filled out. If they are missing, corrections should be made to process sub-approval.
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 or MOPM so that they can be forwarded to LOCALPROGRAMS.EBO@DOT. to be entered into EBO.
Pre-award Approvals
During the Pre-Award Phase, the Prime Contractor will add D/M/WBE subcontractors and vendors to EBO and assign them to the contract items that they will be working on. Sponsors 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 number of contracts exist for your municipality, 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 D/M/WBEs pending approval will be displayed. As the Pre-Award Approval is a “one-time” ALL or NONE approval; firms can’t be selected and approved separately. All the data must be approved and reviewed prior to selecting the APPROVE button.
It is the Sponsor’s responsibility to review the items assigned and commitment amounts to the D/M/WBEs and ensure that those items are those for which the firm is certified to perform. The only sources to verify certification status and work codes firms are certified to do is the New York State Unified Certification (NYSUCP) Business Directory for DBEs located at: OR For 100% State Funded contracts with MBE and/or WBE goals: OR for SDVOB (Service Disabled Veteran Owned Businesses):
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 D/M/WBEs
• Project Vendors – ALL vendors – D/M/WBEs 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 (EBO Defaults to ALL VENDORS – if this is not acceptable, uncheck ALL and select only those vendors 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 D/M/WBE firms have ACKNOWLEDGED their participation on the project. Acknowledgment must be done in EBO by the D/M/WBE 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 – confirm that the firms are certified D/M/WBEs, the items are those which the firms are certified to do, all the acknowledgements have been done, the D/M/WBE goal has been met or bona fide Good Faith Effort (GFE) has been provided by the prime (which must be approved by Main Office, Local Programs thru the RLPL or MOPM), you may APPROVE (on the PRE-AWARD APPROVAL screen) 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 at this time. 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>FIND. Locate the contract, click on it so it is blue, click EDIT.
When the screen refreshes, you will see only the firms that need 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 firms will be participating/working on that item. This should be especially important with the D/M/WBE 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
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, confirmation of a current CCA-2 (NYS Vendor Responsibility Questionnaire) must be made with the RLPL or MOPM to ensure that the sub/vendor is approved to work on any NYSDOT related project.
Once all is reviewed and found acceptable, the sub may be approved by checking the APPROVAL box (labeled APP) to the left of the firm’s name.
Unlike the PRE-AWARD APPROVAL, POST AWARD APPROVALS can be done as the data on subcontractors is received. This is not a one date for all as each firm must be approved separately. 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 and is designed for D/M/WBE approvals after (POST) award. If changes are made, new D/M/WBEs added or items amended, this screen is where the Sponsor approves said amendments. If a pending approval has turned from “N” to “Y”, that indicates that the prime contractor has made a change and the EBO Admin should review to ensure that it was a legitimate change – not one unnecessarily taking work from a previously approved D/M/WBE.
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 D/M/WBE commitments are reviewed throughout the life of the contract.
Commitments and Items
EBO Screen: REVIEW > COMMITMENTS AND ITEMS > FIND > EDIT
As part of the MONTHLY QA/QC review of the EBO data, the Sponsor should access the COMMITMENT/ITEM screen. This screen will give you a snap shot of any changes to the prior D/M/WBE or Sub approvals done on the contract.
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 sub approval – if “N” no approval necessary
• PND PGM – Pending Program Approval – this if for D/M/WBEs only – if the firm is a non-D/M/WBE firm, the default will be “N” – there is no D/M/WBE approval required for a non-DBE – if it is “Y” that means that there is approval needed for this D/M/WBE firm; either it wasn’t done at the beginning of the project OR there was a change that must be reviewed.
The KEY to this screen is ensuring that all the approvals are done – or that they all 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 and are awaiting Sponsor Approval. By comparing the two sets of data, you can tell what was added (no dollar amount in the CURRENT columns generally means that it a new item assignment), deleted (zeroes shown in the PENDING columns voiding the CURRENT columns once approval is done), or amended -an increase or decrease in commitment (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 D/M/WBE 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, D/M/WBE 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 D/M/WBEs items of work…. this would include deleting or amending of the items. Increases in the contract items should be reviewed to ensure that the D/M/WBE 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. Given this, it is very important to check your entries.
To process APPROVED orders:
• Go to CONSTRUCTION>CONTRACT OOC/OJT>FIND select the project you wish to update and click EDIT. Select the Item C/O tab.
• Across from 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 current 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 new item is being added to the contract).
Making a Change to 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. The search will show the item number(s).
• Click on the item that you want to amend.
• Once that has been highlighted, click on the ADD button and the item will 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 on the original screen
• Update the changes in UNIT PRICE and QUANTITY:
o To amend the unit price, click on the empty white box in the column labeled PRICE CHANGE.
o The next column is the QTY CHANGE. If there is a negative number here, it means that there is a decrease in quantity.
• 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 BEFORE YOU SAVE. 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 previously 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 and become a permanent record in the contract.
• Column #4 – Specialty Item – ignore this box as it is not required after award.
• Column #5– Line # - generally a four-digit number and should be based on what line numbers were shown on the original template submitted during contract SET UP.
• Column #6– UOM – Unit of Measure – there is a drop-down box where you select this information. All UOMs must match what is in the drop-down box as a new or different UOM cannot be added without causing an error message and possibly losing all your previous unsaved work.
• 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.
Once the entry of the Change Order has been completed, the prime contractor should be notified to process the changes in EBO. New items must be assigned to the firm that will be completing the work or splitting the item between two or more firms. Existing items must be updated to reflect the increases, decreases or removal of items based on what the Change Order did to each item.
Payments
EBO Screen: CONSTRUCTION > PAYMENTS > FIND.
Select the contract that you are working on – it will turn blue – click 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 payments have been made. Click on the “>” sign to expand the information and review payments.
To add a payment:
• Click on the prime contractor’s name
• Click on the ADD PAYMENT button on the lower left of the screen
• A new line will appear for the payment information
• Column #1 – DATE - is the date that the payment was mailed or electronically transferred to the prime contractor
• Column #2 – AMOUNT - is where the amount of the check is entered. CHECK THE AMOUNT before you hit save. There is not edit/correcting on this screen once SAVE is selected.
• Column #3 – ESTIMATE – show the estimate number here. The check or invoice number can additionally be added.
• FINAL PAYMENTS – When a Sponsor make a FINAL payment to a prime contractor, the word FINAL should also be added under the Estimate column. This will show anyone doing a QA/QC review that the last payment from the Sponsor has been made.
• The final column is RECEIVED – once the payment is received by the Prime, they will log in to EBO “accept” the monies and enter the amount received as a confirmation for checks and balances.
• Keep in mind that the NOTES function at the top of the screen can be used at anytime to record data or explanations regarding actions taken or payments made on the project.
NOTE: 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 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
• Enter the above screen, click FIND (or enter your Project # & FIND)
• Click on the contract that you wish to review>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 made to the firm. If this arrow is selected, it will open all the payments made to the firm. To close or minimize the data select that arrow again. You can also use the EXPAND or COLLAPSE Radial buttons.
When the “>” is expanded, you will see the information that the payments that the Prime has made to the subs/materialmen. The following information is entered by the Prime – not the Sponsor:
• DATE – this is when the prime paid the sub/vendor
• AMOUNT – dollar amount of payment (keep in mind there is no retainage)
• WORK TYPE – this column will indicate whether this is for construction, supply, broker, etc
• PCT – is the percentage of the payment that is applied to the D/M/WBE participation (eg. Construction - 100%, Supplier - 60%, etc…)
• ESTIMATE # - reference notes added by prime – Estimate #. The work FINAL should be entered when the prime makes the last payment to the sub/vendor.
• 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 Sub/Vendor in order to create an audit trail.
NOTE: When making the FINAL payment, the word FINAL should be entered 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 receive 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>FIND
• Once you select the contract that you wish to review, click on 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 SEVEN (7) DAYS OR OVER that the PRIME made a payment to the SUB/VENDOR from the last estimate posted in EBO. Pay particular attention to the estimate number. Some contractors may pay their subs/vendors prior to receiving payment from the Sponsor.
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 NYS
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 made SEVEN (7) DAYS or later 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 sub/vendor two weeks after it was 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 to 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 as well as current D/M/WBE goal attainment and utilization. This is very useful during the Sponsor’s review/monitoring of the D/M/WBE utilization to-date on the project.
EBO Screen: CONSTRUCTION > CONTRACT ANALYSIS > FIND>Select> EDIT
There are four (4) tabs on this screen…. Commitments vs Attainment, Prompt Payment (similar to the Prompt Payment Report just reviewed), OJT Monitor (only used if there is an NYSDOT/FHWA APPROVED Training Program on file with the Sponsor), and Workhours Review.
COMMITMENT vs. ATTAINMENT TAB:
• AWARD - is the original award amount for the contract – change orders are not included
• D/M/WBE GOAL(s) – current goal(s) on the contract
• GOAL $ - this is the goal amount expressed in a dollar amount
• ATTAIN $ - this is the actual payments made to DBE firms to date
• GOAL % - this figure represents the current goal attainment.
• ATTAIN % - this is the percentage of the goal that has been met.
• PCT COMPLETE – this is the project completion percentage which based on payments made to the Prime contractor
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EXAMPLE:
• AWARD - $2,921,456.00
• DBE – DBE Goal is 10%
• GOAL $ - the goal – based on 10% (DBE GOAL) of the project is $292,146.
• ATTAIN $ - shows that the prime has paid DBE firms $217,510.
• GOAL % - given the goal $ and the attain $, the current DBE goal met is 7.45% out of the 10% goal
• ATTAIN % - given the same numbers, goal $ and attain $, the percentage of the goal met is 74.45%
• PCT COMPLETE – comparing the Sponsor payments to the Prime against the original bid amount – the example above shows that the project is 91.74% complete.
Using the above information will assist with DBE participation…..if the project is at 91.74% and the DBE attainment is at only 74.45%, the Sponsor may question when the DBEs will be working and/or paid? Are the DBE items of work scheduled for the end of the project (striping, landscaping, sidewalks, etc)? This screen is a good tool for a quick review of the project status – IF the sponsor ensures that the prime/subs are maintaining the data in EBO as required.
PROMPT PAYMENT TAB:
• This is a synopsis of the PROMPT PAYMENT REPORT
• There are two options to show ONLY the Late Payments – check the SHOW ONLY LATE PAYMENTS box in the top right OR the Radial Button at the bottom of the screen will allow you to download a spreadsheet with ONLY the late payments.
OJT MONITOR TAB:
This is very infrequently used in Local Programs. Only those sponsors that have their own Training/OJT program approved by FHWA and NYSDOT utilize this function.
WORKHOURS REVIEW TAB:
This screen is blank on the initial entry. It gives you the option – especially with extremely large contracts – to enter data parameters for the workhour period you wish to review. Generally, most contracts will not need to set date parameters.
• To see the work hours entered by the prime/subs, click on the REFRESH button (to the right of the two date boxes)
• Screen will refresh and show all the sub/vendors on the contract – keep in mind, work hours are only required for those firms that work on-site.
• Suppliers/Manufacturers/Brokers/Fabricators, etc… will NOT have work hours unless they are physically working on-site which is rare.
• Clicking the “>” will expand the information for a specific firm – you will see employees, race, gender and total work hours.
• As you can see, there are downloads available for the workhour information if needed.
• The Monthly Utilization report data is gathered from this and the Payroll Audit screen which will be shown later in this document.
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.
D/M/WBE/Subcontractor Forms/Reports
EBO Screen: REVIEW > CONSTRUCTION
The majority of these forms were discussed previously in the sub/D/M/WBE 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
• Trucking Form (Pre-Award)
• AAP 15 Corp EEO/D/M/WBE Officers (only print for bulletin board – all other information should be in EBO)
Monthly Utilization Report
EBO Screen: REPORTS/FORMS>MONTLY UTILIZATION
No paper report required for this; report is reviewed in EBO. It is EXTREMELY IMPORTANT that the prime and all subs enter their workhours in EBO or the data on this report will be incorrect. All the trades, classes, work hours, race and gender from the payroll imports are pushed into this report. If the data is wrong – the report is wrong.
To review the report:
• If the contract automatically shows on the screen, click on it then click on the REPORT button.
• If the contract does not show on the screen, click SELECT (lower left)
• Screen will refresh, click SEARCH, all contract for your municipality will show
• 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.
• You can also adjust the time period of the report by entering a date range
Again, if the data is not correct or some of the payrolls are missing from EBO, the report will not be correct.
FHWA 1391
EBO Screen: REPORTS/FORMS>FORM 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 the RLPL or MOPM that their contract(s) are ready to have the report completed by NYSDOT. Once that is done, the obligation has been satisfied.
If the Department/RLPL or MOPM 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
This screen provides a review of all the work hours that the Prime/subs have entered in EBO. It is recommended that you access the contract via another screen otherwise you will have to search for the contract you wish to review. By entering the contract on the CONSTRUCTION>CONTRACT screen, the project will become “global” and make a quicker review.
• Screen will refresh and will be BLANK…this is where you have the option to enter a specific period of time for review. Some projects with many work hours may take a few moments to retrieve all the data. You can pinpoint the time frame that you wish to review by setting a date range.
• Once you have decided on the review period – leaving the open dates or setting 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)
EBO Screen: REVIEW>PAYROLL AUDIT
This is the actual REVIEW and APPROVAL 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 as to what is required to be on the certified payroll can be found in NYSDOT Standard Specification Section 100. After prevailing wages are confirmed to be correct, confirmation that the trades/classes are correct and the race/gender are listed on the payroll, the PAYROLL AUDIT can be done.
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 on the payroll that is being reviewed.
• The screen will refresh to show the hours in EBO.
Points to Review:
• Payrolls MUST be entered on a WEEKLY basis.
• 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 correct their hours or contact their subs firms for corrections.
• Corrections are required ASAP
Once the payroll has been reviewed and found to be correct based on the points above, the reviewer selects the REVIEW button at the bottom of the payroll audit screen. This will 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.
Payment Notarization (AAP21)
EBO Screen: REVIEW>PAYMENT NOTARIZATION
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.
It is recommended that you access the contract via another screen otherwise you will have to search for the contract you wish to review. By entering the contract on the CONSTRUCTION>CONTRACT screen, the project will become “global” and make a quicker review.
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. 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, the word “FINAL” in the estimate column should be done.
• 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)
• Ensure that all dates have been entered into EBO by the prime – estimated start/end and actual start/end – these are used to verify payroll and monitor prompt payment.
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, D/M/WBE approval, prompt payment and acceptance, and D/M/WBE & EEO Goal attainment.
Again, if there are any questions, contact your RLPL or MOPM for assistance.
|Task |Responsible Party |
SETUP
|EBO Access for Prime Contractor (vetting form) |Prime: construction.ebo@dot. |
|EBO Access for Sponsor (vetting form) |RLPL or MOPM: localprograms.ebo@dot., |
|EBO Access for Sponsor Consultant |Sponsor: Contact localprograms.ebo@dot. (see instructions in |
| |Supplemental User Guide) |
|EBO Access for NYSDOT Consultant (vetting form) |Consultant: contractmgmt.ebo@dot. |
PRE-AWARD
|FA Contract Template filled out |Sponsor: submit to RLPL or MOPM |
|FA Contract Template QA/QC and submit |RLPL or MOPM: submit to localprograms.ebo@dot. |
|Contract Entered in EBO |Local Programs EBO: notify RLPL or MOPM when completed |
|Pre-Award DBE Commitments entered in EBO |Prime Contractor |
|All D/M/WBEs acknowledge their work/ commitments |D/M/WBE Subcontractors/Vendors |
|Pre-Award Package Approved in EBO (if goal met) |Sponsor |
|Pre-Award Information QA/QC in EBO |RLPL or MOPM |
|GFE Documentation sent to MO (goal not met) |Sponsor/RLPL or MOPM: send to OCR or RCS |
|Award Data Submitted to RLPL or MOPM |Sponsor |
|EBO Reviewed for completion and Award Data Submitted for NYSDOT |RLPL or MOPM |
|Construction/EBO | |
|Award Data entered in EBO |Local Programs EBO |
POST-AWARD
|Subcontractors Assigned Items/Commitments in EBO |Prime Contractor |
|Subcontractor Approval done in EBO |Sponsor |
|Post-Award D/M/WBE Commitments entered in EBO (if applicable) |Prime |
|Post-Award D/M/WBE Commitments approved in EBO (if applicable) |Sponsor |
|EBO Commitment/Item Data Reviewed QA/QC |RLPL or MOPM |
|Estimated and Actual start/end dates entered |Prime/ Sponsor to RLPL or MOPM to Local Programs EBO |
|Task |Responsible Party |
EEO
|Employees and Workhours entered in EBO (must be entered on a weekly |Prime Contractor and Subcontractors |
|basis) | |
|Workhours reviewed and compared to Certified Payroll – Payroll Audit |Sponsor |
|MUST be done | |
|Workhour/Payroll Audit review |RLPL or MOPM |
|EEO goals/attainment monitored |Sponsor/RLPL or MOPM |
|GFE Documentation submitted (if goals not met) |Prime Contractor sends to Sponsor/RLPL or MOPM |
PAYMENTS
|Payments to Prime entered into EBO |Sponsor |
|Sponsor Payments accepted in EBO |Prime Contractor |
|Prime payments to subs/vendors entered in EBO (SEVEN DAY PROMPT PAY) |Prime Contractor |
|Prime payments accepted in EBO |Subcontractors/Vendors |
|Prompt payment Report monitored in EBO |Sponsor/RLPL or MOPM |
CHANGE ORDERS
|Change Orders entered in EBO |Sponsor |
|Change Orders processed in EBO |Prime |
|Post-Award Approval (D/M/WBE) done on items/commitments affected by |Sponsor |
|Change Order | |
|Sub/DBE approvals done after Change Orders processed |Sponsor |
|Change Order QA/QC |RLPL or MOPM |
D/M/WBE
|D/M/WBE Goals/Attainments Monitored Monthly |Sponsor |
|D/M/WBE Goals/Attainments QA/QC |RLPL or MOPM |
|GFE Documentation submitted (if goals not met) |Prime Contractor sends to Sponsor/RLPL or MOPM |
EBO PROJECT FINAL
|Last day of work |RLPL or MOPM sends to localprograms.ebo@dot. |
|Final Payment to Prime Entered and Marked as FINAL on payment screen |Sponsor |
|Final payments to subs/vendors entered in EBO and marked as FINAL |Prime Contractor |
|Final Prime Payments Accepted in EBO |Subcontractors/Vendors |
|Final Payment date sent to RLPL or MOPM |Sponsor |
|Final Payment QA/QC |RLPL or MOPM |
|Contract Close Out Steps complete |Sponsor |
|Contract Close out in EBO QA/QC |RLPL or MOPM |
|Contract Acceptance date provided to Local Programs EBO (contract will|RLPL or MOPm |
|be locked) | |
|Contract Acceptance date entered in EBO |Localprograms.ebo@dot. |
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