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 the California/Nevada
Operations Office (CNO) Manager 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 CNO Manager 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 Washington Office
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 and CNO Manager:
(1) Oversee engineering services on
construction projects in their Regions/CNO and ensure projects meet their
needs.
(2) Recommend Regional/CNO 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/CNO Manager.
H. Other
Assistant Regional Directors, Regional Chiefs – NWRS, CNO Assistant
Managers:
(1) Work with the Regional Engineers to
identify the priorities, budget, schedule, scope, and engineering services required
for Regional/CNO construction projects.
(2) Recommend Construction Program
project priorities to the Regional Directors/CNO Manager.
(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/CNO Manager and other Regional staff on Regional/CNO
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/CNO
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/CNO 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/CNO 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/CNO projects and participates on value engineering teams (see 360 FW 3).
(11) Coordinates with the Regional/CNO
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/CNO 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/CNO 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
Director/CNO Assistant Manager 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/CNO Program staff.
C. Under the direction and guidance of
their respective IRB member, Washington Office Program staff identify
national program construction project priorities and provide advance
briefings for IRB members.
D. Staff in the Regional/CNO Program
offices and Assistant Regional Directors/CNO Assistant Managers identify
Regional/CNO project priorities and make recommendations to the Regional
Directors/CNO Manager.
E. Regional Directors and the CNO
Manager send Regional/CNO 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/CNO Manager to nominate new projects to include in the new Plan
“out-year.”
C. Regional/CNO staff recommend to
their Regional Directors/CNO Manager 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/CNO Manager decides which projects to include in a
list that he/she sends to the Director (with a copy to DEN). The Regional
Director/CNO Manager 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/CNO 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/CNO 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/CNO 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, Regional Chief – NWRS, or CNO Assistant Manager, 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/CNO 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/CNO 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/CNO 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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