compliance reporting requirements - tzc home · once the subcontractor is approved by nysta, all...
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Presented by: Jeanette Pineda, Compliance Administrator
Jennifer Radesca, Asst. Compliance Administrator
Tappan Zee Constructors, LLC
COMPLIANCE REPORTING REQUIREMENTSTAPPAN ZEE HUDSON RIVER CROSSING PROJECT
TA# TANY-12-18B
CONTRACT# D214134
PROJECT LOCATION
15 miles North of NYC
25 Miles to Statue of Liberty
Carries I-87/I-287 over
Hudson River
Vital economic link across
the Hudson River
Connection between
Mid-Atlantic States and
New England
Major Commuter Route
Owned and Maintained by
New York State Thruway
Authority
Existing bridge carries 138K
vehicles per day vs. design
capacity of 100K
Functionally obsolete, major
structural and operational
deficiencies, high accident rate
Forecasting $1B in
maintenance over next 10
years
WHY DO WE NEED THE NEW BRIDGE?
New York State Thruway Authority (NYSTA) - CLIENT
New York State Department of Labor (NYSDOL)
Federal Highway Administration (FHWA)
The Office of Federal Contract Compliance Programs (OFCCP)
New York State Department of Transportation (NYSDOT) – Manages EBO
New York State Office of The Inspector General
CLIENT & MANAGING AGENCIES
APPROVALS
REGISTRATIONS
QUESTIONNAIRES
PROJECT LABOR AGREEMENT
SIGNATORY UNIONS
ESTABLISH ALL UNION MATTERS PRIOR TO MOBILIZATION
EBO REGISTRATION & SET UP
NEW OR EXISITING VENDORS
ASSIGNMENT TO CONTRACT #D214134
WEEKLY COMPLIANCE REPORTS
CERTIFIED PAYROLL REPORTS
COPELAND FORMS
EBO WORK FORCE SUMMARY
MONTHLY COMPLIANCE REPORTS
DBE Utilization Form
Contractor Safety Stats Form
Subcontractor Utilization Form
OFCCP Reporting Requirements-New Hire Information
EBO OVERVIEW:
Setting up EBO for D214134 Contract:
AAP15 - EEO Officer Information
Set Up Contract Employees
Assign Employees to Contract
Enter Workforce Labor Hours
Automatically generate Workforce Summary & Workforce Utilization Reports
Verification of Payments
MEETING AGENDA
P.L.A. SIGNATORY UNIONS
All Union/Jurisdictional matters are to be
established prior to starting work on the
project. All Subcontractors should
contact Westchester & Rockland County
Building Trades Council.
Westchester: 914-592-1235
Rockland: 845-634-4601
LETTER OF ASSENT - PLA
All Union/Jurisdictional matters are to be
established prior to starting work on the
project. All Subcontractors should
contact Westchester & Rockland County
Building Trades Council.
Westchester: 914-592-1235
Rockland: 845-634-4601
All construction subcontractors/sub-consultants, regardless of tier
level, must be approved by NYSTA (via CONR89 Form)
Register with NYS Division of Corporations
Register with the NYS Office of The State Comptroller
o Updated CCA-2 Vendor Questionnaire
o Email to William A. Ringwood, Jr. of NYSTA [email protected]
Subcontractor Assigned to Project in EBO (D214134)
CONR89 Form submitted to subcontractor/tier-subcontractor for execution
CONR89 Submitted to NYSTA for approval
o **Reference: Letter Dated September 1, 2015 of your handout
SUBCONTRACTOR APPROVAL PROCESS
CONR89 FORM FOR APPROVAL
Once the subcontractor is approved by NYSTA, all are required to complete a “REQUEST FOR EBO SYSTEM LOG-IN/PASSWORD”
The Subcontractor is to assign an EBO Administrator
The form will be provided via email as a Word.doc
The EBO Administrator will be responsible for:
o Set up of Employees
o Contract Work Hours
o Workforce Summary
o Verification of Payment
o Annual 1391 Form Submission
o Communication with NYSDOT for EBO
EQUITABLE BUSINESS OPPORTUNITY SOLUTION - EBO
REQUEST FOR EBO SYSTEM LOG-IN/PASSWORD Signature Certification for Corporations, Sole Proprietorships, General Partnerships, Joint Ventures and other business entity(s)
APPLICANT INFORMATION
Firm’s or Joint Venture’s Legal Name:
Firm’s or Joint Venture’s d/b/a Name, if different:
Firm’s or Joint Venture’s Federal ID Number:
Check One: Gender
Race
Primary Categor
Program
Contract Ty
Name and Title of Firm’s or Joint Venture’s Primary
Log-in Holder:
Primary Phone: E-mail Address:
Mailing Address:
Mailing Address:
City: State: Zip Code:
SIGNATURE AND NOTARIZATION
On behalf of the above-listed company, firm, partnership, joint venture or business entity, I hereby agree to comply with the terms and conditions of access to and use of the Internet Government Solutions (IGS) Equitable Business Opportunities (EBO) system set forth in the System User Agreement attached to this application form. Signature of Applicant (A principal officer of the company, firm, partnership, joint venture, or business entity[s] with binding contractual authority. For Joint Ventures, a principal officer from both firms must sign and have application notarized):
(Printed Name) (Signature) (Title) STATE OF
COUNTY OF On the day of in the year before me, the undersigned, personally appeared, personally known to me or proved to me on the basis of satisfactory evidence to be the individual whose name is subscribed to the within instrument and acknowledged to me that he/she executed the same in his/her capacity, and that by his/her signature on the instrument, the individual, or the person upon behalf of which the individual acted, executed the instrument.
Notary Public
(Printed Name) (Signature) (Title) STATE OF COUNTY OF On the day of in the year before me, the undersigned, personally appeared, personally known to me or proved to me on the basis of satisfactory evidence to be the individual whose name is subscribed to the within instrument and acknowledged to me that he/she executed the same in his/her capacity, and that by his/her signature on the instrument, the individual, or the person upon behalf of which the individual acted, executed the instrument.
Notary Public
Weekly Reporting Requirement Documents - Due every Wednesday
by noon to be delivered via email to: [email protected]
Certified Payroll (CPR) Submission:
o Certified Payroll Reports
o Copeland Report
o EBO Work Force Summary – Detailed Format
EBO Reporting – Updated Weekly
Daily Report – Attachment A of your agreement: When signed by
TZC PM, should be cc’d to [email protected]
**Reference: Daily & Weekly Packet Handouts
CERTIFIED PAYROLL – WEEKLY
Note: Prime Contractors are to
review all CPR submissions for
accuracy prior to submission
to TZC.
Lower Tier Subcontractors are to
submit CPRs to their Sub-Prime
o Sub-Prime are to retain a copy for
their records
o Sub-Prime are to submit CPR to
TZC for all Lower Tier
Subcontractors
o Original CPRs are to be retained in
your office for 6 years from
submission date
*Failure to provide the above listed documents deems your submission incomplete and will be
rejected.
CERTIFIED PAYROLL (CPR) FORM - SAMPLE
NOTE: All CPR received after the
scheduled deadline will require a
letter on company letterhead
explaining the delinquency of your
submission and MUST be signed by
a Principal of your company. The
letter will be submitted to the
NYSTA & NYSDOL along with your
CPRs.
COPELAND ACT FORM - SAMPLE
EBO WORK FORCE SUMMARY - SAMPLE
Monthly Compliance Documents (MCD) - Due on
the 26th of each month – delivered via email to
[email protected], copy
Monthly Submission
o B33 - Contractor Safety Statistics Form
o TA-W1022-9 - Utilization Plan for All
Subcontractors
o TA-W1023-9 - DBE Utilization Form
o OFCCP Reporting Requirements - New
Hire Information
**Reference: Monthly Reporting Packet Handout
MONTHLY COMPLIANCE DOCUMENTS
Primes to provide TZC with all payments made to
tier-subcontractors within the reporting period
Lower Tier Subcontractors are to submit
MCD to their Sub-Prime
Sub-Prime are to retain a copy for
their records
Sub-Prime are to submit MCD to TZC
for all Lower Tier Subcontractors
CONTRACTOR SAFETY STATISTICS FORM CSS FORM - SAMPLE
Key Points:
Supervisor Name: Name of Field
Supervisor
Contractor: Company Name
Month: Month & Year Reporting
Week Ending: Month & DAY
Employee Work Hours:
o Month: # of man hours
worked for the month
o YTD: # of man hours YTD
No. of Hours Since Last Lost
Workday Case: Should match your
YTD unless there was a recordable
incident.
TA-W1022-9 UTILIZATION PLAN FOR ALL SUBCONTRACTORS
Note: If no lower tier
subcontractors are employed
(contracted) by your firm, the form
must still be completed with the
word “None” or “N/A” in the FIRST
box provided for the listing of
subcontractors.
TA-W1023-9 PAYMENTS TO D/M/WBE SUBCONTRACTING FIRMS
This form is for DBE Subcontractors
or DBE Supplier payments ONLY.
All payments made to NON-DBE
Lower Tier Subcontractors are to be
provided under separate cover by the
Sub-Prime.
Note: If no lower tier subcontractors are
employed (contracted) by your firm, the form
must still be completed with the word
“None” or “N/A” in the FIRST box provided
for the listing of subcontractors.
OFCCP REPORTING REQUIREMENTS
Manage TZC compliance efforts overseeing all Labor Compliance and DBE reporting
of all subcontractors, regardless of tier level, working on the Tappan Zee Hudson
River Crossing Project D214134, TANY-12-18B, all while maintaining an accurate
account of the commitments & attainments utilizing EBO.
o Obtain Subcontract Approvals from NYSTA
o Liaison between Subcontractor and NYSDOL for the Project
o Internal Audit and Submission of all CPRs
o Adhere to PLA requirements, prevailing wages & benefit packages
o Monitor and Maintain accurate account of Commitment and Attainments utilizing
the EBO System
o Compliance approval of invoices
TZC COMPLIANCE TEAM’S ROLE
All Tier Subcontractors are to adhere to the same process as their Prime:
o Require approval from NYSTA prior to mobilization on site.
o All subcontractors are to submit compliance documents on time with strict
adherence to the submission days & dates as per the Prime Contract.
o Lower tier subcontractors are submit compliance documents to their Prime.
o Sub-Primes are responsible for reviewing sub tier documentation for
accuracy prior to submission to TZC.
o Sub-Primes are required to submit all subcontractor payment information to
TZC as part of the monthly compliance reports.
SUBCONTRACTOR COMPLIANCE RESPONSIBILITIES
EQUITABLE BUSINESS OPPORTUNITY SOLUTION - EBO
EBO is an Internet-based management control system that provides government agencies with the tools to develop,
implement and monitor a Disadvantaged Business Enterprise program in accordance with 49 CFR Part 26, including
all the tools necessary to set agency and contract goals, monitor non-discriminatory procurement and award
processes, execute availability, utilization and disparity studies, set and monitor labor goals and provide statistical
evidence to remedy discrimination as identified, and to monitor and report on participating contracts.
EBO Overview:
o AAP15 - EEO Officer Information
o Set Up Contract Employees
o Assign Employees to Contract
o Enter Workforce Labor Hours
o Automatically Generates: Workforce Summary &
Workforce Utilization Reports
o Verification of Payments
Reference: EEO Information
https://www.fhwa.dot.gov/programadmin
/contracts/1273/1273.pdf
Thank you for your time and attention. Together we can make this a success.
TZC WELCOMES YOU TO THE PROJECT.