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1.1 What is the purpose of this chapter? The purpose of this
chapter is to ensure that we design and construct Service facilities that
comply with:
A. Life-safety, environmental, and building codes;
B. Accessibility guidelines;
C. Sustainability design principles;
D. Archaeological, historical, and cultural requirements; and
E. Energy and water conservation goals.
1.2 What is the scope of this chapter? This policy applies to
the planning, design, and construction of projects on Service lands
regardless of funding type or source.
1.3 What are the authorities for this chapter? The authorities for
this chapter are (see Appendix 1 for more information about each
authority):
A. The Brooks Act: Federal Government Selection of Architects and
Engineers, (P.L. 92-582).
B. Executive
Order (E.O.) 12699, Seismic Safety of Federal and Federally Assisted or
Regulated New Building Construction.
C. Federal Property and Administrative Services Act of 1949 (40 U.S.C. 471 et. seq.),
as amended.
E. Public Buildings Amendments Act of 1988 (P.L.
100-678).
F. Highways, Highway Bridge Replacement and Rehabilitation
Program and National Bridge Inspection Program (23 U.S.C. 144 and 151)
and Federal Highway Administration; Bridges, Structures, and Hydraulics (23
CFR 650).
G. E.O.
13423, Strengthening Federal Environmental, Energy, and Transportation
Management.
H. National Dam Inspection Act (P.L. 92-367).
I. OMB
Circular No. A-131, Value Engineering.
J. Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151 – 4157).
K. Section 502 of the Rehabilitation Act of 1973, Architectural and Transportation
Barriers Compliance Board (29 U.S.C 792).
L. Americans with Disabilities Act (P.L. 101-336).
M. Accessibility Guidelines for Buildings and Facilities issued
under the Americans with Disabilities Act and the Architectural Barriers
Act (36
CFR 1191).
N. Energy Policy Act of 2005 (P.L.109-58).
O. National Fire Protection Association 101, Life-Safety Codes.
1.4 What terms do you need to know to understand this chapter?
A. Authority Having Jurisdiction (AHJ). The AHJ is the
organization, office, or person responsible for interpreting, applying, and
enforcing life-safety and building code requirements and approving
equipment, materials, and construction methods.
B. Construction Program. The Service’s Construction Program is one
of several major programs we use to manage our real property assets. We
generally use the Construction Program for large, more technically complex
projects. The Construction Program uses Construction Appropriation funding
(sub-activity 28xx) and emergency supplemental funding (sub-activity 29xx).
C. Construction
Projects.
Construction projects include new construction, rehabilitation, deferred
maintenance, force-account repairs, and demolition projects built on
Service lands by or for the Service regardless of funding type or source.
We classify construction projects as either exempt or non-exempt. For
more information on construction projects, see section 1.9.
(1)
Non-exempt Construction Projects. Non-exempt construction projects include life-safety,
environmental, fire protection, building code compliance, change-of-use, or
structural integrity issues. Final designs for all
non-exempt construction projects must undergo a Qualified Engineering
Review and Approval.
(2)
Exempt Construction Projects.
Exempt construction projects do not include life-safety,
environmental, fire protection, building code compliance, change-of-use, or
structural integrity issues. Final designs for exempt construction
projects do not need to undergo a Qualified Engineering Review.
D. Engineering Services. Engineering services include, but are
not limited to: Qualified Engineering Review and Approvals, feasibility
studies, surveys, engineering assessments, technical assistance, cost
estimates, design and constructability reviews, peer reviews, value engineering studies (see 360 FW 3),
architectural and engineering design, project management, construction
management (see 360 FW 4), and environmental compliance services.
E. Project Management Plan (PMP). A PMP is a project
management tool we use to improve our management of large, complex
construction projects. It includes information on project scope, budget,
schedule, roles, and responsibilities. For more information on the PMP, see
section 1.11.
F. Qualified Engineering Review and Approval. The Regional Engineer
or the Chief, Division of Engineering (DEN), or their designee performs
Qualified Engineering Reviews and Approvals. We require review of
non-exempt construction projects to ensure they meet or exceed life-safety,
environmental, accessibility, and other requirements. The reviewer must
sign approved final construction plans and specifications. The Regional
Engineering Office or the DEN may use Core Engineering Services funding to
perform qualified engineering reviews.
1.5 Who implements this policy and what are their
responsibilities?
A. The Director:
(1)
Approves all construction projects included in
the Service's 5-Year Maintenance and Construction Plans. For more
information about the 5-Year Construction Plan, see section 1.6.
(2)
Approves the reprogramming of Construction Appropriation funds up to a
$500,000 threshold. Reprogramming requests greater than $500,000
require Congressional review and approval.
B. The Investment Review Board (IRB) (also see IRB charter):
(1) Is made up of:
(a) Assistant Director – Business Management and Operations,
(b) Assistant Director – Fisheries and Habitat Conservation,
(c) Assistant Director – Endangered Species,
(d) Assistant Director – National Wildlife Refuge System, and the
(e) Chief – Law Enforcement.
(2) Is responsible for implementing our Capital Planning and
Investment Control (CPIC) program, which includes:
(a) Ensuring that projects we put in our 5-Year Construction Plan
represent our highest priorities,
(b) Annually reviewing and approving the formula used to set
funding targets for each Program,
(c) Reviewing and approving Exhibit 300’s (Capital Asset Plan and
Business Cases) for projects with a construction value greater than $10
million, and
(d) Tracking project costs and schedule variances for projects
over $10 million to ensure we are managing them efficiently and
effectively.
(3) Is responsible for providing feedback on decisionmaking to
Regional Directors and others, as appropriate.
C. The Assistant Director – Business Management and
Operations:
(1) Oversees the Construction Program.
(2) As a member of the IRB, recommends dam safety construction
projects and engineering program core funding in our 5-Year Construction
Plan.
D. Other Program Assistant Directors:
(1) Determine project priorities for their respective programs
nationwide,
(2) Defend those priorities to the other members of the IRB, and
(3) Communicate final recommendations on priorities to the
Regional Directors and others, as appropriate.
E.
The Chief, Division of Engineering (DEN):
(1) Is responsible for the national leadership and formulation of
policy and guidelines needed to deliver cost effective and efficient
engineering services.
(2) Assists the Service Directorate, when necessary, on technical
engineering and construction issues.
(3) Is responsible for the technical feasibility and Qualified
Engineering Review and Approval of construction projects assigned to the
DEN. Ensures that construction projects that the DEN reviews or
manages meet our requirements.
(4) Serves as the Authority Having Jurisdiction (AHJ) on building
and life-safety code interpretations on all construction projects assigned
to the DEN.
(5) Facilitates the preparation of the Service’s 5-Year
Construction Plan (see section 1.6 for
more information).
(6) Identifies and justifies dam safety projects for consideration
in the 5-Year Construction Plan. Prepares dam safety project documentation
in the annual Budget Justifications and helps the IRB make decisions about
the selection of dam safety projects in the Service 5-Year Construction
Plan.
(7) Manages our Emergency Construction account, Environmental
Compliance, and Seismic Safety, Dam Safety, and Bridge Safety Programs.
(8) Consults with Headquarters Program Managers and staff to issue
annual project guidance for all Construction Appropriation projects
including appropriation language, national program objectives/expectations,
project scope, cost schedule, and allowable use of funds.
(9) Prepares the Engineering Performance and Accomplishment Report
annually that includes data on workload, staffing, project completion
performance, cost performance, and program management.
F. The Regional Directors:
(1) Oversee engineering services on construction projects in their
Regions and ensure projects meet their needs.
(2) Recommend Regional
construction project priorities to the IRB.
(3) Approve the reprogramming of
Construction Appropriation funds up to a $50,000 limit.
G. The Assistant Regional Directors – Budget and
Administration:
(1) Are the Regional Engineers’ first line supervisors.
(2) Recommend reallocation of Emergency Supplemental funding to
the Regional Directors.
H. Other Assistant Regional Directors, Regional Chiefs – NWRS:
(1) Work with the Regional Engineers to identify the priorities,
budget, schedule, scope, and engineering services required for Regional
construction projects.
(2) Recommend Construction Program project priorities to the
Regional Directors.
(3) Prepare, review, and approve Project Data Sheets, budget
briefing materials, capability and effect statements, and responses to
Appropriations Committee requests on construction projects. Coordinate with
and involve the Regional Engineers as appropriate.
(4) Review and approve PMPs and subsequent updates to track
project scope, schedule, budget, roles, and responsibilities. See section 1.11
for more information about PMPs.
(5) Review design drawings to ensure they fulfill project scope
and comply with PMPs.
(6) Designate staff, as required, to fulfill the above
requirements.
I. The Regional Engineer:
(1) Provides technical advice to the Regional Director and other
Regional staff on Regional engineering, facility design, and construction
issues.
(2) Coordinates with non-engineering staff and consultants
working on construction projects not assigned to the Regional Engineering
Office to inform them of Service engineering and construction policies,
guidelines, and requirements impacting Regional construction projects.
(3) Responsible for planning, design, and construction management
of all non-exempt projects assigned to the Regional Engineering Office
involving a construction contract, regardless of funding source. (See section 1.9 for
more information about non-exempt projects.) May assign Project
Managers to undertake these tasks
(4) Conducts a Qualified Engineering Review and Approval on all
Regional non-exempt construction projects.
(5) Serves as the Authority Having Jurisdiction (AHJ) on building
and life-safety code interpretations on all projects assigned to the
Regional Engineering Office.
(6) Reports on all 28xx, 29xx, Central Hazardous Materials Fund
(CHF) and other project funding, consistent with annual project guidance
provided by the DEN.
(7) Provides input, as requested, on Service Asset Maintenance
Management System (SAMMS) work orders, briefing materials, and other
documents that estimate cost and scope in support of our 5-Year Maintenance
and Construction Plans.
(8) Works with Regional staff to identify seismic safety and
bridge safety projects for consideration in our 5-Year Maintenance and Construction Plans.
(9) Oversees and coordinates construction management and project
inspection activities (see 360
FW 4).
(10) Conducts value engineering studies on Regional projects and
participates on value engineering teams (see 360 FW 3).
(11) Coordinates with the Regional Safety Manager to ensure
staff working on construction projects follow the health and safety
guidelines and adequately address health and safety issues.
(12) Guides the preparation and revision of PMPs for Regional
construction projects and makes sure the appropriate officials review and
approve them.
(13) Conducts annual performance reviews on how well the Regional
Engineering Office is delivering engineering services (see section 1.15
for more information about program evaluation).
(14) Prepares or assists in the preparation of condition
assessments as requested by Regional Office Program staffs.
(15) Provides input to the Real Property Inventory, Construction
Work-in-Progress, Stewardship Asset Project List, Capitalized Project List,
and other Plant, Property and Equipment databases for newly constructed
assets.
(16) Is responsible for providing the Project Leader with technical
engineering assistance in securing permits and clearances.
J. The Contracting Officer (CO):
(1) Is a Service employee who has the
authority to enter into, administer, or terminate contracts. The CO is
responsible for ensuring performance of all necessary actions for effective
contract administration, ensuring compliance with terms of the contract,
and safeguarding the interests of the Government.
(2) Ensures that the
Regional Engineer or the Chief, DEN has completed a Qualified Engineering
Review and Approval on non-exempt construction projects before completing
procurement actions for construction materials or services.
(3) Works with the Regional Engineer or Chief, DEN to determine
when a construction contract requires a Contracting Officer Representative
(COR). Appoints a COR and Service Construction Inspector, if applicable, in
writing.
K. The Project Manager (PM):
(1) Is the point of contact on the status, scope, budget tracking,
schedule, and technical issues for all non-exempt construction projects.
The PM ensures that projects meet our requirements.
(2) Is typically an engineer, architect, or landscape architect
from the Regional Engineering office or the DEN. The Regional Engineer or
Chief, DEN assigns projects to the PM.
(3) Must have:
(a) Technical expertise in facility planning, design, and
construction;
(b) Knowledge of construction contracting procedures;
(c) Experience with facility design and construction processes
and techniques; and
(d) Effective communication skills.
(4) Routinely serves as the COR on a construction project.
In this role, the PM must meet the Department of the Interior COR training
requirements (see Department of the Interior Acquisition
Regulation 1401.670 for more information about CORs). Because of
their technical complexity, some construction contracts may require the COR
to have specific training or certifications, such as project management
certification, construction management degree or certification, or an architecture
or engineering degree.
(5) Prepares and maintains PMPs.
(6)
Is responsible for leading, coordinating, and facilitating the project team
on all project design, schedule, budget tracking, and construction
issues.
L.
The Construction Inspector (CI):
(1)
Serves as a site representative at a Service construction site to ensure
that all construction complies with contract requirements.
(2)
Is knowledgeable of and experienced in a wide variety of construction
standards, trades, and inspection procedures. Typically, the CI works on
large, complicated construction projects (e.g., visitor centers, hatchery
buildings, or large dikes or dams) with significant electrical, mechanical,
HVAC, or structural complexity.
(3)
Is appointed in writing by the CO before construction begins. The Service’s
Construction Inspection
Handbook lists the CI’s responsibilities and duties (see 360 FW 4 for more
information on CI responsibilities and training).
M.
A Project Team Leader:
(1)
May be necessary for exceptionally complex or politically sensitive
construction projects. The Regional Engineer or Chief, DEN, the Assistant
Regional Directo from the affected Program office, and the Project Leader
identify the need for a Project Team Leader and the appropriate person to
serve in this role.
(2)
May coordinate many of the non-technical aspects of a project with the PM,
project team, and others, such as Friends groups on National Wildlife
Refuges; members of the local community; and local, State, and other
Federal agencies. On construction projects, the Project Team Leader and PM
must coordinate carefully to carry out and fulfill project requirements
(see section 1.5K for more information on the PM’s responsibilities).
N. The Project Leader:
(1) Identifies construction project needs for his/her field
station.
(2) Ensures compliance with this policy for construction projects
at his/her field station.
(3) Reviews PMPs and subsequent updates.
(4) Identifies impacts of construction projects on fish and
wildlife and other environmental/ecological resources.
(5) Reviews design drawings to ensure they fulfill the project
scope and are in compliance with the PMP.
(6) On exempt construction projects with no assigned PM, ensures
that the construction project follows the approved design.
(7) Is responsible for obtaining, prior to contract award, all
necessary permits and clearances, unless otherwise provided for in the PMP.
The Regional Engineer or the Chief, DEN, or their designee, will give
technical engineering assistance to the Project Leader, if necessary, to
obtain permits and clearances. Exhibit 1 is a list of
the types of permits and other legislative compliance requirements commonly
encountered during a construction project.
1.6 What is the Service’s 5-Year
Construction Plan? The 5-Year Construction Plan (Plan):
A.
Identifies, justifies, and requests funding for construction projects that
the Construction Appropriation account will fund.
B. Is divided into
5 years—a budget year followed by 4 “out-years.” Each plan year contains a
list of specific line-item construction projects.
C. Is updated
annually to incorporate actual appropriations and to add a new “out-year.”
D. Is periodically
revised to reflect changes made by the Department and OMB.
1.7 Who prepares
the 5-Year Construction Plan?
A. The IRB is responsible for recommending the Plan for the
Director’s review and approval. The IRB makes sure that the Plan:
(1) Includes our highest priority Construction Appropriation
projects.
(2) Meets the goals and directions contained in annual budget
guidance and the Service’s Asset Management Plan.
B. Division of Engineering staff:
(1) Support the IRB by updating and maintaining the Plan.
(2) Make sure cost estimates for projects in the Plan are
accurate and meet Federal facility development requirements.
(3) Coordinate the final recommendations in the Plan that involve
dam, bridge, and seismic safety program management and environmental
compliance with the Regional Program staff.
C. Under the direction and guidance of their respective IRB
member, Headquarters Program staff identify national program construction
project priorities and provide advance briefings for IRB members.
D. Staff in the Regional Program offices and Assistant Regional
Directors identify Regional project priorities and make recommendations to
the Regional Directors.
E. Regional Directors send Regional project priorities to the
Director (and copy the DEN) for consideration in Plan updates.
1.8 What is the process for developing the 5-Year Construction
Plan?
A. The Department
issues annual guidance on how we should request Construction Appropriation
funds. The guidance usually is available by the second quarter of the
fiscal year. The Departmental ranking system emphasizes projects with a
significant health and safety component and gives priority to phased
projects that were partially funded in a prior year over initiating new
projects.
B. After the
Department guidance is issued, the Director issues a memorandum instructing
the Regional Directors to nominate new projects to include in the new Plan
“out-year.”
C. Regional staff
recommend to their Regional Directors projects for consideration in the
updated Plan. Before making a recommendation, staff must estimate project
costs and identify the scope of the project. They must also enter project
work orders in the Service Asset Management and Maintenance System (SAMMS).
The Regional Director decides which projects to include in a list that
he/she sends to the Director (with a copy to DEN). The Regional Director
also includes an up-to-date Project Data Sheet and, if the project has a
construction cost greater than $10 million, an Exhibit 300 (Capital Asset
Plan and Business Cases), for each nominated project.
D. Without screening
or filtering, the DEN assembles all Regional project nominations by Program
area and gives them to the appropriate Assistant Directors. Generally, we
prioritize projects based on the Departmental ranking system score.
E. The Director sets
the overall Construction Appropriation budget target. After deducting
funding for National Engineering Services and required dam and bridge
inspection program costs, the Director gives each major program area (the
National Wildlife Refuge System, the National Fish Hatchery System, and Dam
Safety Program) a funding target for construction projects, based on an
IRB-approved formula which balances the relative size and need of each program
area.
F. Assistant
Directors (AD) review the Regional project nominations and give the DEN a
list of the projects they want to fund within their target.
G. The DEN
consolidates the lists from the ADs with the dam safety project list,
prepares a draft plan, and submits the plan to the IRB.
H. The IRB discusses
the draft plan and makes adjustments if necessary.
I. The DEN makes any
necessary revisions the IRB requests and sends the Plan to the Director.
J. The Director sends
the approved Plan to the Department.
1.9 What are the types of construction projects? There are two types of
construction projects—exempt and non-exempt.
A. Exempt Construction Projects. Exempt
construction projects do not have life-safety, environmental,
accessibility, fire protection, building code, seismic safety, structural,
or demolition issues. We call them “exempt” because we do not
require that the Regional Engineer or the Chief, DEN, review and approve
final designs. Examples of exempt projects include, but are not limited to:
(1) In-kind replacement and repair of roofing, siding, windows,
and doors;
(2) Road repaving/repair projects that do not involve substantial
change to alignment and drainage;
(3) Traffic control devices and signage that are not on roadways;
(4) Small culvert/water control structure replacement. Some
culvert/water control structure replacement projects may actually be
non-exempt construction projects due to their size, increase in hydraulic
capacity, or impact on migratory fish populations. Regional staff should
evaluate these projects carefully to ensure we classify them correctly;
(5) Fencing;
(6) Exterior public-use facilities such as kiosks and trails;
(7) Renovations to building interiors and exteriors that do
not involve:
(a) Structural modification or changes to load-bearing structural
elements, mechanical, electrical, and plumbing systems,
(b) Egress or life-safety modifications,
(c) Modifications for accessibility by persons with disabilities;
or
(d) Change
in building use that may impact applicable Life Safety Codes.
B. Non-exempt Construction Projects. Non-exempt
construction projects have life-safety, environmental, accessibility, fire
protection, building code, seismic safety, structural, or demolition
issues. We call them “non-exempt” because we require that the Regional
Engineer or the Chief, DEN, review, approve, and sign the final designs for
all non-exempt construction projects before we procure construction
materials or services. Non-exempt projects include, but are not limited to:
(1) Buildings and change of building use;
(2) Structures;
(3) Mechanical, electrical, and plumbing systems;
(4) Wind and hurricane protection projects;
(5) Dam, bridge, and seismic safety projects;
(6) Environmental projects involving remediation and regulatory
compliance (e.g., asbestos and lead paint);
(7) Structural elements;
(8) Foundations;
(9) Abutments;
(10) Roads, intersections, and roadway traffic control devices and
signage;
(11) Elevated boardwalks, decks, piers, towers, and other
structures requiring handrails or other safety devices; and
(12) Demolition that may impact load bearing walls or materials
involving hazardous air pollutants (e.g., asbestos). See National Emissions
Standards for Hazardous Air Pollutants for further information.
1.10 Who determines if a project is exempt or non-exempt? The Regional Engineer
will work with Regional Program staff to discuss the scope of each
construction project. The Regional Engineer and appropriate Regional staff
must determine, before the beginning of the fiscal year and as additional
construction projects arise, which construction projects are exempt and
which are non-exempt.
1.11 What are the requirements for preparing a Project
Management Plan? We use PMPs to help manage large, complex non-exempt
construction projects. The PMP includes information on project scope,
schedule, budget, roles, and responsibilities. The following requirements
apply to PMPs:
A. Funding Threshold. We must prepare a PMP for all
construction projects with a construction project value greater than the
current deferred maintenance project threshold (the threshold in 2006 was
$750,000). We may choose to prepare a PMP for a project with a value
less than the deferred maintenance project threshold if it is technically
complex.
B. Review and Approval.
(1) For projects less than the deferred maintenance project
threshold, the following officials must review and approve the PMP and
updates:
(a) Project Leader,
(b) Project Manager, and
(c) Contracting Officer.
(2) For projects over the deferred maintenance threshold, in
addition to the officials listed in the subsection above, the following
officials must also review and approve the PMP:
(a) Assistant Regional Director for the affected Program, or
Regional Chief – NWRS, and
(b) Regional Engineer.
C. PMP Updates. The Project Manager must update a PMP and submit it to
the officials listed in 1.11B for re-review whenever a significant change
to funding, scope or project cost occurs.
1.12 Are there any special requirements for tracking expenses
on construction projects? Yes. Service employees must only use funds for the purpose
for which they were appropriated and must:
A. Establish a unique project number for every
construction project.
B. Track all projects by the project number.
C. Track charges by budget object class.
D. For projects that extend for more than 1 year, reuse their
project number the following year so that a full accounting of all costs
may be determined at the end of each project.
E. Under no circumstances, charge one project’s costs to another
project.
1.13 What are the allowable charges for Construction
Appropriation projects? When authorized by the Regional Engineer or Chief, DEN,
allowable project-specific charges include:
A. Construction costs.
B. Appropriate salaries, benefits (including annual leave and
sick leave), office expenses, travel and per diem for Engineering staff
while working on the project.
C. Costs to provide engineering services, including:
(1) Consultant fees,
(2) Reimbursable expenses,
(3) Travel and per diem expenses,
(4) Temporary construction office space and equipment, and
(5) Expenses for engineering construction inspectors.
D. Furnishings, furniture, and equipment
essential to delivering a turnkey facility.
E. Travel and per diem for non-Engineering Regional Office and
field station personnel directly involved in project planning and design.
F. Costs to identify and protect cultural and historic
resources.
G. Safety and health professional services.
H. After award of a construction contract, travel and per diem
of field station personnel directly involved in construction or field
inspection activities.
I. Acquisition of land only if capability statements, effect
statements, or enabling legislation specifically reference the need to
acquire it.
1.14 How does the Service evaluate project performance on
completed construction projects?
A. The Regional Engineer or the Chief, DEN must evaluate the
overall performance of:
(1) All completed construction projects valued at more than
$500,000, and
(2) A 10 percent sample of all other completed construction
projects with a value less than $500,000.
B. The goal of the evaluation is to determine:
(1) Whether the project met customer requirements, and
(2) How we can change future designs to avoid repeating problems
or issues.
C. Engineering staff must:
(1) Complete evaluations within 1 year after project completion.
(2) Use the Project Evaluation Questionnaire (see FWS Form 3-2340) to collect
comments from key building occupants or staff familiar with the planning,
design, operation and function of the project.
D. Regional teams responsible for construction projects may
present their findings during the annual performance review meetings.
E. The Regional Engineer must give a copy of each evaluation to
the Chief, DEN.
1.15 Are there any requirements to evaluate the engineering
services that the Service Engineering staff provides on construction
projects? Yes. Regional Engineers must request feedback annually
from Project Leaders and Regional Office Program staff on the quality and
timeliness of engineering services that Engineering staff provide. The
Regional Engineers must use this information to recommend organization and
management changes to improve services on future projects.
1.16 Is it possible to “mix” funds on a construction project? Federal appropriations
law requires that when there is a specific appropriation for a project, we
must use the appropriated amount to fund that project. We must not
co-mingle Construction Appropriation funds with Resource Management funds,
or any other General Appropriation funds for any reason, e.g., to fund
higher-than-anticipated project costs or cover an increase in project costs
due to a change in project scope.
1.17 May the Service use funds from another program on a
Construction Appropriation project? Appropriations law does not keep us from
using Resource Management, General Appropriation funds, or Construction
Appropriation funds on a single construction contract, provided we meet the
following conditions:
A. The work identified in the contract must be separate and
distinct. Project plans must clearly differentiate between the work to be
completed with various funding accounts. We may use a Schedule of Values to
track work completed and the various cost accounts we used to pay for that
work. A Schedule of Values is submitted by a contractor and provides a
detailed summary of the amount, type, and cost of work performed.
Subsequently, we may pay for specific work from different cost accounts.
B. We must use the Construction Appropriation account to complete
the facility the specific appropriation language describes. We must
transfer any surplus funds when a project is complete to the Emergency
Construction Account (see section 1.18)
or reprogram it to another project.
C. We may use additional funds from the Resource Management
account or other General Appropriations to construct appurtenant facilities
at a Construction Appropriation project site, as long as the appropriation
record does not specifically include those facilities in the project scope.
For example, we may use Resource Management funds to construct security
measures, communication systems, fences, gates, signs, or access roads
associated with a new visitor center, as long as those facilities are not
included in the appropriation record’s defined scope of the visitor center.
1.18 What is the Emergency Construction Account? The Emergency
Construction Account provides emergency funding for critical human health
and safety needs we anticipate may cost more than $100,000. We use
surplus Construction Appropriation project funds to fund the Emergency
Construction Account after a project is either complete or we terminate it.
A. Procedures for Using Emergency Construction Funds. You can find
procedures and criteria relating to this account in the Director’s
memorandum, Procedures and Criteria for Allocation of Emergency
Construction Funds, September 6, 1991 (see Exhibit 2). The Chief,
DEN manages the Emergency Construction Account.
B. Timely Transfer of Funds. We must transfer unobligated project
funds into the Emergency Construction Account within 90 days following the
end of the project’s warranty period.
1.19 How does the Service identify unobligated Construction
Appropriation project balances? As mentioned in section 1.18,
we must transfer unobligated Construction Appropriation project balances
into the Emergency Construction Account.
A. During year-end reconciliation, the Chief, DEN must identify
unobligated balances and categorize them into the following areas:
(1) Construction Appropriation project balances, regardless of
amount, 8 years old and older.
(2) Construction Appropriation project balances $5,000 and less
that are 5 years old and older.
(3) Nationwide Engineering Services account balances, regardless
of amount, 3 years old and older.
B. No later than 30 days after year-end reconciliation, the
Regional Engineer must give the Chief, DEN narrative justification for all
project balances greater than $5,000 that are 5 years old and older.
C. The Chief, DEN must consolidate information on all
Construction Appropriation project balances meeting the criteria in
sections 1.19A and B above and send the report to the Assistant Director –
Business, Management and Operations no later than 45 days after year-end
reconciliation.
1.20 What types of consultants does the Service typically use
for construction projects?
A. Our consultants may be private companies, agencies, and
organizations we access through means such as architectural or engineering
services contracts, partnerships, cooperative agreements, and memorandums
of understanding (MOU).
B. In addition to corporations, consultants may include, but are
not limited to:
(1) The U.S. Army Corps of Engineers,
(2) The Bureau of Reclamation,
(3) The Federal Highway Administration,
(4) State and local conservation agencies, and
(5) Non-profit organizations such as Ducks Unlimited.
1.21 May the Program offices obtain engineering services from
consultants?
A. Yes. While only a Contracting Officer (CO) can establish a
contract for professional Architect-Engineer (A-E) services under the
Brooks Act, Program office staff may work with the CO to include task
orders under existing contracts if they get concurrence from the Regional
Engineer or the Chief, DEN.
B. Program staff may obtain consulting services not covered
under the Brooks Act without concurrence from the Regional Engineer or the
Chief, DEN. Staff must work with a CO to use the required instrument
(e.g., MOU, cooperative agreement, etc.).
C. Program staff working as CORs must meet COR training
requirements.
1.22 What special condition applies to contracts for
engineering work? For contracts covered under the Brooks Act (professional A-E
services), only the Chief, DEN, the Regional Engineer, or their designee
may serve as the COR.
1.23 Are there any experience, educational, or licensure
requirements for consultants providing engineering services for Service
construction projects? Yes. At a minimum, consultants must meet State professional
licensing requirements for engineers, architects, surveyors, and landscape
architects. The Chief, DEN or the Regional Engineers may also require
consultants to be licensed in the State where the project is located, if it
is different from their place of business.
1.24 What requirements must consultants and non-Engineering
staff meet to provide engineering services? Generally,
consultants and non-Engineering staff must meet all the applicable
requirements in this chapter and 360 FW 2 through 4 when working on
non-exempt construction projects. Non-Engineering staff are Service
employees who may do construction project work, but who do not work for the
Regional Engineer or the Chief, DEN. The following requirements apply
to construction projects that non-Engineering staff complete:
A. A registered engineer, architect, or landscape architect must
sign final designs for all non-exempt projects prepared by consultants and
non-Engineering staff. This signature certifies the project complies with
applicable local, State, and Federal environmental and building codes,
permits, and regulations.
B. Consultants and non-Engineering staff must prepare a PMP for
all non-exempt projects and fulfill the requirements specified in section 1.11.
C. The Regional Engineer, Chief, DEN, or a designee must perform
a Qualified Engineering Review and Approval of final designs and contract
packages for all non-exempt construction projects before solicitation for
construction services or procurement of materials. The Regional Engineer or
Chief, DEN must sign final drawings noting the project complies with
applicable local, State, and Federal environmental and building codes,
permits, and regulations.
D. Before the CO can approve final payment, consultants and
non-Engineering staff must provide as-built drawings for projects to the
Chief, DEN or Regional Engineer.
1.25 When may the Service use cooperative
agreements to construct facilities?
A.
We may use a cooperative agreement only under the following conditions:
(1)
There is specific Congressional authority to do so;
(2)
The money, property, services, or other thing of value will be used to
accomplish a public purpose; and
(3)
When both the Federal and non-federal parties will be substantially
involved in accomplishing the purpose of the project.
B.
The CO has the final decision on appropriate use of cooperative agreements.
C.
Before using a cooperative agreement for construction, Project Managers and
Project Leaders must ask the Department’s Office of the Solicitor to review
the project to ensure that:
(1)
We have legal authority to enter into a cooperative agreement;
(2)
There is substantial involvement by both parties to the agreement;
(3)
A cooperative agreement is the correct legal instrument (versus a grant,
contract, etc.); and
(4) All authorities, responsibilities,
deliverables, budgets, and time frames for completing the agreement
objectives are clearly delineated.
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