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 ApprovedCONSTRUCTION MANUAL
  
OCCUPATIONAL SAFETY AND HEALTHCM-00-000
 
On December 29, 1970, the Occupational Safety and Health Act of 1970 (Public Law 91-596) was enacted by the Congress. This law, comprehensive in scope authorized the U.S. Secretary of Labor to set mandatory occupational safety and health standards for all construction activities. It also provided that existing federal safety standards already enacted under certain acts and in effect as of April 28, 1971, would become a part of the standards. The Occupational Safety and Health Act of North Carolina vests in the North Carolina Commissioner of Labor the authority and responsibility to administer occupational safety and health standards applicable to most public businesses and private entities. Pursuant to NCGS 95-131 the occupational safety and health standards adopted under the federal Occupational Safety and Health Act of 1970 are adopted as the occupational safety and health regulations applicable to employers in North Carolina. Pursuant to NCGS 95-128 the standards and regulations are applicable to all businesses that are regulated by specific federal laws. Therefore, Contractors performing under any construction contract with the NCDOT are required to comply with all provisions of the North Carolina OSHA regulations.
 
The assurance that a Contractor complies with the applicable regulations rests with the Department of Labor. Article 107-1 of the Standard Specifications for Roads and Structures requires that the Contractor observes and complies with all laws and regulations.
 
In order to ensure statewide uniformity in this area of contract administration, the following procedures should be followed: 
 
  1. At the Preconstruction Conference, the Contractor will be reminded that he and all of his Subcontractors are expected to comply with the applicable OSHA regulations and the MUTCD. The Contractor should also be asked to name the employee within the company who is in charge of safety. This name should be recorded in the minutes.  
     
  2. The Department has established emphasis areas to protect Department project personnel from imminent danger situations where serious injury may occur. During the life of the project, the Resident Engineer and each Inspector should especially observe the operations involving emphasis areas with a safety-oriented view. The emphasis areas include fall protection, crane safety, equipment, excavation protective systems, and respirable crystalline silica. The pertinent regulations on these emphasis areas are included in this section of the Manual. If the Resident Engineer or Inspectors observe a possible violation of the regulations pertaining to the emphasis areas, the Contractor should be advised to take immediate corrective action. Should the Contractor not take immediate corrective action and Department personnel appear to be in danger, the work should be suspended under the provisions of Article 108-7 of the Standard Specifications. When there is a question of interpretation of the regulations, the situation should be discussed with the Division Engineer before work is suspended. All verbal communications to the Contractor’s personnel should be documented in writing with a copy to the Division Engineer, Area Construction Engineer, the Director of Safety and Risk Management, and the State Construction Engineer. If the Contractor disregards the requests to correct possible violations, the Division Engineer and State Construction Engineer should be advised with the full details. If necessary, the State Construction Engineer or the Director of Safety and Risk Management will request a Department of Labor inspection.  
     
  3. If a representative of the Department of Labor makes an inspection on the project, it will be the responsibility of the Resident Engineer and his personnel to cooperate with him as may be necessary. If OSHA wants to open an inspection with DOT, the Safety Engineer should be called to participate.    
The following is a partial listing of pertinent regulations:
 
1926.104, 1926.451, 1926.500, 1926.1426 – 503 Fall Protection
 
Safety railing meeting the requirements of 1926.451 and 1926.500-503 are required on all elevated work surfaces more than 6 feet above ground.
 
On operations more than 6 feet above the ground, such as setting of structural steel and setting of grades on structural members where the use of other fall protective measures is impractical, fall protection shall consist of the use of safety harnesses and lanyards as allowed by the Standards.
 
1926.1400, 1926.1501 Crane Safety
 
Lifting hooks shall be equipped with operable safety latches.
 
All accessible areas within the swing area of the rotating superstructure of the crane shall be blocked out.
 
When used to hoist personnel, cranes shall be equipped with controlled load lowering and two block damage prevention devices. Refer to the June 10, 1993, memorandum from L. A. Sanderson to Division Engineers for an explanation of these devices if needed.
 
Special attention needs to be given to the distances from power lines.
 
1926.601, 1926.602 Equipment
 
All equipment with an obstructed view to the rear shall be equipped with an audible backup alarm audible above the surrounding noise level or shall utilize a “spotter” when operated in the reverse mode.
 
1926.650 – 1926.652, Subpart P Appendix A, B, C, D and F
 
Open excavations shall be protected as required by the above regulations. This includes excavations such as pipe trench (storm drain and underdrain, and utility), undercut, drainage structure manhole, foundation, and retaining wall. Competent person(s) must be identified.

1926.1153​ Respirable Crystalline Silica 
 
Crystalline Silica is a common mineral found in nearly all rock, stone, concrete, sand, brick, and mortar.  Respirable Crystalline Silica particles are too small to see and can reach the deep parts of the lungs when inhaled.  Table 1 of OSHA regulation 1926.1153 identifies the affected tasks and the appropriate engineering and work control methods that must be implemented to prevent inhalation of respirable crystalline silica.​
 
Manual on Uniform Traffic Control Devices (MUTCD)
 
The MUTCD provides information for temporary traffic control to include flagger requirements. NCDOL OSH compliance officers review adherence to the MUTCD.​

Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 104 SCOPE OF THE WORKCM-01-104
 
 


 
Requirements contained in this division are directly applicable to all other divisions. A thorough knowledge of the requirements of this division is necessary for the satisfactory administration of the other portions of the Specifications.
 
GENERAL
 
This section of the Specifications sets forth the intent of the contract provisions relative to adjustments to the terms of the contract as a result of changes in plans, deviations from contract quantities, extra work, and changed conditions, as well as requirements for maintenance and final cleanup. Engineers and others involved in construction cannot properly perform their function unless they are thoroughly familiar with the provisions of this section. A misinterpretation of, mishandling of, or a failure to follow these provisions may result in very costly expenditures by both the Department and the Contractor.
 
The Contractor should fully comply with the requirements of this section even if, in his opinion, he is clearly due additional compensation for the work. Conversely, when the Engineer receives a request for additional compensation or notice of intent to file a claim, he shall comply fully with the requirements of the Specifications in spite of the fact that he considers the request or claim to be unwarranted or frivolous.
 
A claim submitted by the Contractor may initially be denied by someone in the Department. When further reviewed by the approving authority level, their perspective may result in approval of the claim based on additional information or their experience. Documentation of all facts relevant to the claim, checking the Contractor's record keeping, and maintenance of accurate records of labor, equipment, and material utilized in performance of the work is imperative for all claims and disputed work.

104-1 INTENT OF CONTRACT
 
The responsibility of the Department is to produce a contract with the scope and payment of the work to be performed. It is the Contractor's responsibility to perform the work in accordance with the contract documents. In the event the method of construction or character of any part of the work is not covered by the plans, the Standard Specifications shall apply.

104-2 SUPPLEMENTAL AGREEMENTS
 
A supplemental agreement as defined in Article 101-3 of the Specifications, is an instrument for making allowable modifications to the terms of the contract; however, modifications are limited to those which are necessary for the satisfactory completion of the work. Instructions for preparing and handling the Supplemental Agreement are contained in the Records and Reports Section of this Manual.
 
Execution of a supplemental agreement is required prior to making any change in the terms of the contract, including but not limited to compensation, changes in the contract time, and modification of the Specifications. The Engineer must have on file a list of individuals authorized by the Contractor to execute Supplemental Agreements before processing an agreement.
 
A supplemental agreement must be executed prior to performing the affected work except as provided in Subarticle 104-8(A). The supplemental agreement may be signed electronically by all parties to expedite the execution of the agreement. If the agreement is not executed electronically, then hand signatures are required. If the Engineer and the Contractor do not agree to a modification to the terms of the contract prior to the performance of the affected work, neither compensation nor time can be granted by execution of a supplemental agreement.

104-3 ALTERATIONS OF PLANS OR DETAILS OF CONSTRUCTION
 
The Engineer may make changes in the plans or details of construction as may be necessary or desirable. When the proposed changes extend beyond the original project termini, the Division Engineer shall make a written request for approval to the Chief Engineer providing details as to the necessity of extending the project beyond the original project limits.
 
The Contractor shall perform the modified work at the original contract unit or lump sum prices unless the character and the cost of performing the work materially changed over that originally anticipated and bid upon in the contract.
 
This provision indicates that when a change in the contract is directed, which the Engineer determines will materially change the character of the work and the cost of performing the work, payment will be made in accordance with the provisions of Subarticle 104-8(A). This provision has a twofold requirement. Both conditions, a material change in the character of the work and the cost of performing the work, have to exist in order to modify the unit cost of the work in question. An increase or decrease in the cost of performing the changed work does not in itself constitute justifiable grounds for modifying the unit price in the contract. The character of the work has to materially change along with the cost of performing the work.
 
Whenever the Engineer makes changes in the plans or details of construction, he should review the changed work to determine if, in his opinion, the character of the work has changed and the cost of performing the work will decrease. If so, he should advise his Division Engineer and determine if a price reduction should be pursued with the Contractor.
 
When the Department requires the Contractor to perform work which the Contractor feels results in changing the character of the work and materially increases the cost of performing work, he can request additional compensation prior to beginning the work. If the Engineer agrees compensation is due, then payment should be made in accordance with Subarticle 104-8(A). If the Engineer disagrees with the Contractor's opinion, the Engineer must advise him in writing ​of the Department's decision.​ If the Contractor intends to pursue his request for compensation, he must advise the Engineer in writing prior to beginning work in order to protect his rights to recover the costs after the work is complete in accordance with ​​​Subarticle 104-8(B).​
 
Changes which would allow negotiation for revised unit prices are the exception rather than the rule. A simple example would be when the Department directed the only pipe line on the project be shifted from a plan location in earth material to a location in solid rock so that blasting would be required in order to excavate for the pipe line. The Contractor would have to use equipment in the excavation process that could not have been anticipated during the bidding process. The character of the work has materially changed and obviously the cost of the work has increased. The Contractor would be eligible for additional compensation as the alteration met both conditions as outlined in this provision.
 
Another example would be when the Department directed the Contractor to remove concrete slabs and repair the area using ACBC, Type B 25.0 material. The contract contains the item, ACBC, Type B 25.0; however, all of the material was to be placed by an asphalt paving machine on the four and ten foot shoulders. The repair of areas where the slabs are removed will necessitate the use of hand tools for placement due to the confined area. The character of the work has changed due to the material change in the placement equipment, and the unit cost of performing the work has increased due to the decrease in the production. The Contractor may be due additional compensation under this provision of the contract.

104-4 SUSPENSIONS OF WORK ORDERED BY THE ENGINEER
 
(A) SUSPENSIONS OF THE WORK ORDERED BY THE ENGINEER
 
When the Engineer orders the suspension of the work, he must do so in writing. The notice should be sent to the Contractor by Certified Mail and should include the date and the hour the suspension begins. When the Contractor believes that a work suspension issued by the Engineer has resulted in costs due to idle equipment and/or labor and the Contractor believes additional compensation is justifiable due to the suspension, the Contractor is required to notify the Engineer of his intent to file a claim within 7 days of the date of the suspension. Upon receipt of the Contractor's notice, the Engineer should immediately begin checking the Contractor's record keeping to verify that the Contractor's equipment and/or labor are idle.
 
The Engineer must notify the Contractor in writing to resume work. The notice should be sent by Certified Mail and should include the date and the time the work is to resume. Within 14 days of receipt of the notice to resume work, the Contractor is required to submit to the Engineer in writing his claim for additional compensation due to the suspension. The claim must be submitted in accordance with Subarticle 104-8(C) and include any reasons and support for an adjustment in compensation.

(B) ALLEGED SUSPENSIONS
 
When the Contractor feels he is being prevented from performing all or any portion of the work and the Engineer has not suspended the work, the Contractor must notify the Engineer in writing of intent to file a claim for additional compensation by reason of such alleged suspension. No adjustment in compensation will be made for idle equipment and/or labor prior to the submission of the written notice of intent to file a claim for additional compensation by reason of alleged suspension. The Engineer should document receipt of notice of intent from the Contractor by writing the date and the time the notice was received on the notice. Upon receipt of the notice, the Engineer will promptly investigate the Contractor's allegations and should also determine available work throughout the project. If the Engineer agrees with the Contractor's allegations, he will notify the Contractor in writing of the suspension of all or part of the work and the Contractor will strictly adhere to the provisions of Subarticle 104-8(C). When the Engineer determines that no portion of the work should be suspended, he will notify the Contractor in writing of his determination. The Engineer should also advise the Contractor of other work available. If the Contractor does not agree with the Engineer's determination, the provisions of Subarticle 104-8(C) will be strictly followed.
 
Within 14 days after the last day of the alleged suspension, the Contractor is required to submit to the Engineer in writing his claim for additional compensation. The claim must be submitted in accordance with Subarticle 104-8(C) and include any reasons and support for an adjustment in compensation.

(C) CONDITIONS
 
If the suspension is for a period of time not originally anticipated, customary, or inherent to the construction industry, is for reasons other than those stated in Article 108-7​, and is not the result of the fault or negligence of the Contractor, the Engineer may make an adjustment in compensation for the actual verified cost of the idle equipment and idle labor caused by the suspension determined in accordance with Subarticle 104-8(C). No adjustment in compensation will be made for each occurrence of idle equipment and/or idle labor which has a duration of twenty-four hours or less. If the suspension of all or any portion of the work and the notice to resume work are given by the Engineer within twenty-four hours of each other, no adjustment in compensation will be made. If the Contractor submits a written notice of intent to file a claim for additional compensation by reason of alleged suspension and subsequently resumes work within twenty-four hours of the beginning of the alleged suspension, no adjustment in compensation will be made.
 
Additional compensation allowed as the result of the suspension of work is limited to idle labor which cannot be absorbed into other work, idle equipment paid at the rate specified for equipment held in readiness, and the percentages established for force account work in Article 109-3​.

104-5 OVERRUNS AND UNDERRUNS OF CONTRACT QUANTITIES
 
(A) GENERAL
 
Deviations in the final quantities in excess of the specified percentages may be valid grounds for revising the unit price for that quantity in excess of the stated percentages if it can be shown that the overrun or underrun of work causes an increase in the unit cost of performing the work. An overrun or underrun in excess of the specified limits is not, in itself, sufficient grounds for revising the unit price.
 
Adjustment of unit prices is provided both "before the fact" and "after the fact" due to the overrun or underrun of contract items in excess of the specified limits. In view of this, it is imperative that the Engineer keep the estimated quantities of work performed by the Contractor current and accurate at all times. When an overrun or underrun of a contract item in excess of the specified limits is anticipated, the Engineer should notify the Contractor in writing of the anticipated overrun or underrun. The Engineer should consider executing a supplemental agreement at a reduced unit price or the contract unit price for the anticipated excess quantity. If the Contractor is not willing to execute a supplemental agreement at a reduced unit price or the contract unit price, the Engineer should keep detailed cost records for the quantity that exceeds the specified percentages. The Contractor has the responsibility to initiate any increase in unit price; however, such adjustments do not require prior written notice by the Contractor.
 
Projects are designed utilizing input from each of the preconstruction disciplines. The final product is a design based on sound engineering principals which can be constructed at the most economic cost and within a reasonable time. However, there are times when conditions or circumstances arise during the construction of a project that require a revision to the design or plan quantities. In these instances, the originating design unit should be given an opportunity to re-evaluate the revised circumstances.
 
The Division Engineer or his representative will consult with the design unit responsible for establishing a contract item when he anticipates either:
 
the final quantity will exceed the original contract quantity of a major contract
item by more than 15%
 
OR
 
the final quantity will exceed the original contract quantity of a minor contract
item by more than 100% ​and the cost of the overrun amounts to more than
$50,000.00
 
OR
 
the cost of the overrun of a minor contract item amounts to more than
$100,000.00.
 
The design unit representative will make a recommendation to the State Construction Engineer, either directly or through the Division Engineer, as to whether the additional overrun is warranted. This recommendation should include a cost analysis of the total anticipated overrun and comparisons with other possible alternatives. Following consultation with the Division Engineer, the State Construction Engineer will make a determination whether the additional overrun is warranted.
 
In addition, each time the total contract overrun is expected to increase by an increment of $500,000.00, the Division Engineer or his representative will consult the Program Development Branch, who will be responsible for the funding of the overrun.

(B) OVERRUNS -- INCREASE IN UNIT PRICES
 
The Contractor may request an increase in unit price at any time. An increase in unit price made will be made based upon the Contractor's cost records for the work previously performed. An increase made in the unit price after the work is performed will be made by the Engineer based upon a comparison of the Contractor's verified cost records for the work performed and the contract unit price. The increase in the unit price applies only to those quantities beyond the stated percentages. It is incumbent on the Contractor to provide detailed cost records that can be verified by the Engineer. This shall include a daily record of the hours each employee or piece of equipment was used in the work and invoices for all materials used in the work. The Engineer may request other information to be used in his evaluation of the claim, including the Contractor's original or certified copies of original bid document.

(C) UNDERRUNS -- INCREASE IN UNIT PRICES
 
The Contractor may request an increase in unit price at any time. The Contractor is required to provide sufficient documentation to satisfy the Engineer of the requested additional compensation. He shall provide original or certified copies of original bid documents to support any request for non-recovered fixed costs. When the requested increase in unit prices is for cost other than non-recovered fixed costs, he shall provide documented cost records for the work performed together with documentation that the increased cost was caused by the underrun. The Contractor may not receive additional compensation when a minor item underruns.

(D) OVERRUNS AND UNDERRUNS -- REDUCTION IN UNIT PRICES
 
A reduction in the contract unit price may be made when a contract item overruns or underruns in excess of the allowable limits. The Engineer has the responsibility to initiate any decrease in unit price prior to the work being performed. When an agreement cannot be reached regarding the reduction in the unit price to be made, the decision whether to direct the Contractor to perform the work on a force account basis will be made by the Division Engineer and in consultation with the State Construction Engineer.

104-6 ELIMINATED CONTRACT ITEMS
 
The Engineer may eliminate any item of work in the contract; however, prior to eliminating any item of work, the Engineer may wish to consult with the Division Engineer, the Division Construction Engineer, and/or the Area Construction Engineer. This article also provides that the Contractor shall be reimbursed for any work performed on an eliminated item prior to being notified of said elimination. The Engineer is responsible for being familiar with the work being performed such that the need to eliminate work can be identified as soon as possible. He is also responsible for notifying the Contractor of any eliminated items of work in a timely manner. Notification of eliminated work should be documented in the project diary and confirmed in writing to the Contractor.
 
The Contractor shall be reimbursed for the cost of materials which have been fabricated or partially fabricated for use in the eliminated work when such materials are not considered to be a stock item or for materials which have been delivered to the project for use in the eliminated item. The Engineer should consult with the Division Engineer, the Division Construction Engineer, and/or the Area Construction Engineer to determine if the Department has a need for the material and, if so, the location where the materials are to be delivered. Payment for delivered materials shall be in accordance with Article 109-6. If the Engineer determines the Department does not have a need for the materials, the Engineer should advise the Contractor that he is to retain possession of the materials and request that he furnish an invoice for the materials showing the cost of the materials including any transportation charges and less any discounts the Contractor received. The invoice shall also reflect any credit for the salvage value of the materials. Upon receipt of the invoice, the Engineer should verify that the salvage value allowed is reasonable and submit the invoice with his recommendation regarding payment to the Division Engineer for approval. See the Records and Reports Section of this manual for the procedures for 'Payment for Leftover Materials'.
 
The Contractor shall be reimbursed for the verified actual cost of items of work that have been partially completed prior to notification of the elimination of the work. This actual cost shall not include profit or anticipated profit. Since the Contractor and the Engineer were not keeping detailed records of the cost of performing the eliminated work, the records submitted by the Contractor must be verified by the Engineer as being accurate based upon his engineering judgment. When the verified cost on the partially completed work is less than $5,000.00, the Engineer should make payment for the work on the next estimate. When the verified cost on the partially completed work is $5,000.00 or more, the verified cost records should be submitted to the Division Engineer for verification and approval prior to making payment for the work. The verified cost records should be submitted with the Final Estimate Assembly. If it is a federally funded project, the costs should be reviewed by the Construction Unit prior to payment of the eliminated materials.​ See the Records and Reports Section of this manual for the procedures for payment of partially completed items of work.

104-7 EXTRA WORK
 
Extra work is defined in Article 101-3 of the Standard Specifications. To determine if there is extra work, the Engineer must be familiar with the "Description of the Work" and "Measurement and Payment" as set forth in the Standard Specifications or the Special Provisions for the various bid items. The Engineer should never knowingly instruct the Contractor to perform extra work without advising him that the work is indeed extra work and establishing a basis of payment for the work.
 
Extra work may be developed as a result of circumstances including but not limited to the following: (a) omission of necessary bid items from the contract, (b) failure to include a basis of payment in the contract for work necessary to be performed under the terms of the contract, or (c) necessary plan revisions. When any of these circumstances occur, the Contractor and the Engineer should be alerted to the possibility of extra work being required. Compensation for extra work shall be made in accordance with Article 104-8. When the Engineer determines that extra work is warranted, he should determine if an extension of the contract time is warranted for performance of the extra work. See the Records and Reports section of this Manual for Supplemental Agreement procedures.
 
Approval of extra work is normally secured by the execution of a Supplemental Agreement. When work is to be performed on a force account basis as provided by Article 109-3​, a force account notice should be issued by the Engineer prior to the work beginning. The approval of the necessity for performing extra work and the cost of performing the work should be secured in writing from an individual authorized to approve a supplemental agreement for the work. This approval must be obtained before the Contractor is authorized to perform the work. If there is any question as to whether extra work is required, the Engineer should immediately consult with the Division Construction Engineer and/or the Area Construction Engineer. In addition, after determining that the extra work is warranted, the Engineer should determine if a contract time extension is warranted by the required extra work.

104-8 COMPENSATION AND RECORD KEEPING
 
(A) COMPENSATION FOR ARTICLES 104-3 OR 104-7
 
When the Engineer and the Contractor agree compensation is due under the provisions of Articles 104-3109, or 104-7, payment shall be as follows: (1) when the Engineer and the Contractor agree to the prices to be paid, such agreement shall be documented through the execution of a supplemental agreement; or (2) when the Engineer and the Contractor cannot agree to the prices to be paid, the Engineer should issue a force account notice and the affected work shall be performed as directed by the Engineer with compensation in accordance with Article 109-3. See the Records and Reports Section of this Manual for additional information regarding supplemental agreements and force account work.

(B) CLAIM FOR ADDITIONAL COMPENSATION
 
The Contractor is required to give written notice of intent to file a claim for additional compensation under the provisions of Articles 104-3 and 104-7. Written notice of intent to file a claim shall include the following: (1) identify the project and plainly state that the document is notice of intent to file a claim; (2) specifically identify the affected work and provisions of the contract upon which the claim is based; (3) specifically state the Department's act or failure to act that is the basis for the claim; and (4) list all labor, equipment, materials, and overhead expenses that will be affected by the claim. When the Contractor gives apparent notice of intent to file a claim and such notice does not provide the information specified above, the Engineer should immediately advise the Contractor to clarify the notice. No exception will be allowed to the requirement that written notice be given of intent to file a claim prior to performing the work. Verbal notice of intent is not acceptable and does not meet the requirements of the Specifications. Written notice will be required in all situations. A copy of each intent should be sent via e-mail to the Area Construction Engineer.
 
The Contractor is required to submit separate records each week for each occurrence for which he has given notice of intent to file a claim. The Engineer should promptly check the Contractor's records and notify him of any difference between the Contractor's records and the Engineer's records. When the difference between the records cannot be resolved, the Engineer should document the cause of the difference. In addition, the Engineer should have his representative compare records with the Contractor's representative at the end of each day's operations and note in the diary any difference in the records. If the Engineer cannot verify the records within 7 days, the Contractor should be notified in writing that the records have been received but not verified. In all cases, whether the records are verified or not, receipt should be acknowledged for each set of records received and the Contractor advised that receipt of records does not imply validity of the claim. See the Records and Reports Section of this Manual for claim processing procedures.

If the Contractor chooses to pursue the claim after the disputed work is complete, he shall submit a written claim to the Engineer for an adjustment in compensation based upon his cost records within 120 calendar days after completion of the disputed work. The claim shall be accompanied by a certification from an officer of the company or person authorized to execute supplemental agreements, stating that the claim is truthful and accurate. The Contractor may submit a claim on the Contractor Claim Submittal Form (CCSF-1).
 
Claim correspondence for contract construction projects should be processed as follows:
 
  • Include Contract Number and Claim Tracking Number on claims correspondence. 
  • Enter claim information in Claims Tracking (HiCAMS).
  • The Division Engineer should follow the claim review process outlined in the Records and Reports section of this manual.

(C) COMPENSATION FOR ARTICLE 104-4
 
The Engineer should keep detailed records regardless of whether the suspension is directed by the Department or alleged by the Contractor. Complete diary entries should be made concerning the affected work. In the event a claim is submitted by the Contractor as a result of an alleged suspension, records detailing labor, equipment, and materials for each operation will be available to verify or dispute the Contractor's contentions. The Engineer should promptly review records submitted by the Contractor and promptly notify him of any disagreement with his records. The Engineer should also evaluate the justifications submitted by the Contractor as to why the equipment cannot be absorbed into other work on the project and why the labor cannot be absorbed into other work on the project or on other projects. In addition, the Engineer should evaluate the anticipated duration of the suspension to determine if payment should be authorized for mobilization cost to allow equipment to be absorbed into work on other projects.

(D) NOTIFICATION OF DETERMINATION
 
Failure of the Engineer to notify the Contractor of his determination within the specified time shall result in payment of interest on any monies determined due from the request for adjustment in compensation. Therefore, it is important for the claims to be promptly reviewed by the Resident, Division Construction Engineers, and Area Construction Engineers. See Records and Reports Section of this Manual for claim processing procedures.
 
If the Contractor fails to receive such adjustment in compensation as he believes he is entitled under the terms of the contract, he may resubmit the claim as a final claim upon completion of the project. A claim for additional compensation under the provisions of Articles 104-3, 104-4, and 104-7 can be resubmitted only as a part of the Contractor's final claim upon completion of the project.

104-10 MAINTENANCE OF THE PROJECT
 
The Contractor is required to maintain the project from the availability date or date of beginning work - whichever occurs first - until the project is accepted, except when a portion of the work is accepted as provided in Article 105-17.
 
Maintenance of the various items of work during the course of construction is important. Maintenance is also an inherent part of the work upon which the Contractor has based his bid. Accordingly, it is the Engineer's responsibility to require adequate maintenance of the project, and it is the Contractor's contractual obligation to perform the maintenance work as required in a timely and cooperative manner.
 
Adequate and continuous maintenance of the work will provide a great return to the Contractor and the Department. As an example, on grading projects, the Contractor who maintains adequate drainage will be able to effectively work more days than one who does not adequately maintain the project. Benefits realized by the Contractor are a decrease in the number of days lost to weather, which results in a net increase in days available to pursue the work, potential increase in project productivity, and the reduction/elimination of liquidated damages which have the potential to decrease the margin of profit for the Contractor.
 
There are maintenance operations required which are strictly "dead expense" items of work which are related to public safety and health issues. These include but are not limited to maintenance of drainage, removal, and disposal of dead animals and maintenance of pavements and surfaces over which public traffic passes. It is in these and similar areas of maintenance that the work is most needed and, in some instances, the most difficult done by Contractor's forces. The need is derived from the fact that faulty or negligent maintenance in these areas result in inferior end products that possibly cannot be documented by normal means of measurement; however, they show up as hazards or inconvenience to the traveling public, damage to adjacent property and poor public relations which ultimately reduce the image and prestige of the Department. The Engineer's approach toward getting this work performed must be firm but tactful. If the Contractor fails to perform maintenance in time commensurate with the need, the Engineer may invoke the sanctions provided in Article 105-16 of the Standard Specifications. The procedure for invoking these sanctions are contained in Article 105-16 of this Manual​.
 
When damage occurs to existing facilities as a result of the Contractor’s operations, the Engineer must determine if the damage is due to the Contractor’s negligence. For example, if the Contractor is crossing a road with off-road trucks which exceed legal weight limits and damages the pavement, repair will be performed at no cost to the Department. However, if the pavement is damaged by the Contractor hauling legal loads and repair is necessary, the Department should bear the cost of repair.
 
The Engineer should maintain open communications with other work units within the Department where the project is located and develop a contingency plan to manage emergency situations which require response during normal non-working periods. A complete listing of personnel available for emergency call back should be submitted by the contractor at the preconstruction conference and then updated throughout the life of the project. This list should be accessible by the Engineer and assigned project personnel to facilitate a prompt response to possible emergencies. The SharePoint team site should be updated to include all emergency contact information once it has been provided by the Contractor.
 
Specific guidelines for inspection of maintenance of the various items of work are included in the applicable divisions of this Manual and project personnel should assure that the Contractor adheres to these requirements. Continuous, effective maintenance often can prevent a minor maintenance problem from becoming a critical problem that requires emergency after-hours repair.
104-11 FINAL CLEANING UP
 
Prior to acceptance of the project, the Contractor shall remove all rubbish, excess materials that are to remain the property of the Contractor, temporary structures, and equipment from the highway right of way, borrow areas, and waste areas.
 
On resurfacing projects the Contractor will be required to remove all rubbish resulting from his operations. Rubbish includes chunks of asphalt generated from widening or patching operations, sod trimmings generated when the edge of pavement is cleaned for paving that may impair future maintenance of the facility, and any other debris which is a direct result of the resurfacing operation.
104-12 VALUE ENGINEERING PROPOSAL
 

General

The purpose of the Value Engineering Proposal (VEP) is to encourage Contractors to incorporate innovative thinking into the Department's construction projects. This section will provide guidance and address some FAQs about a VEP. A VEP is a post-award proposal submitted by the Contractor and should produce either cost savings, time savings and/or an innovative solution while providing the same or better improvements. Materials substitutions of permanent features, design alternatives in contract plans and plan errors submitted as a VEP are not allowed (see Design-Build section for exclusions). Additionally, depending on the complexity of its evaluation and implementation, VEPs with estimated net cost savings of less than $10,000 may not be considered. Any idea conceived by the Contractor that meets these criteria and does not impair the essential functions of the project can be submitted as a VEP for review. The achieved net cost savings will be split equally between the Contractor and the Department.

Requirements

Ideas for a VEP can originate from the prime Contractor or a subcontractor; however, the VEP can only be submitted to the Department by the prime Contractor. Prior to submittal, it is recommended that the Contractor discuss VEP ideas with the Resident Engineer at meetings, or even hold a separate meeting/workshop for a more complex VEP, to get preliminary feedback on the concept. A meeting/workshop has also been proven helpful when there are multiple ideas for VEPs.  To ensure a project's critical path and schedule are not impacted, it is important to establish and adhere to a timeline for the Department's review and approval.

A Preliminary Proposal is an optional but recommended step, especially for a complex VEP, to get preliminary feedback on the merit of a concept prior to the Contractor spending time and money developing a more detailed Final Proposal. A Contractor may elect to submit only a Final Proposal which contains the required level of detail for review. The Contractor should send a copy of each proposal concurrently to the State Value Management Engineer at ValueManagementUnit@ncdot.gov​, the Resident Engineer, and Design-Build Unit (if applicable). The Value Engineering Proposal (VEP) Submittal Form is required for any submission after January 1, 2021 and encouraged to be used for any submission prior to the requirement date. The VEP Submittal Form serves as a statement that the modification request is being made as a VEP and summarizes the proposed VEP; with attachments added, as necessary. The Department's review of each submitted proposal (preliminary and final) will take approximately 20 business days, and Contractors remain obligated to continue doing scheduled contract work while the VEP is being reviewed and processed. An overview of the VEP Review Process  is described below.  No time extensions will be granted for the time required to prepare or review a Preliminary Proposal or Final Proposal.

a.       Preliminary Proposal Submission and Review

A Preliminary Proposal gives the Department a chance to review the merit of the VEP concept prior to the Contractor spending time and money to develop a Final Proposal.

Preliminary Proposal submittals consist of the VEP Submittal Form. The following information should be included or attached, as necessary:

  • Description of the proposed change and the associated benefits,
  • Estimate of cost savings (with a breakdown, if available), and
  • Sketches or mark-ups on existing plan sheets.  If plan sheet markups are not included as part of the VEP package, indicate or attach impacted plan sheets for ease of review.

​Review

  • Upon submission, Value Management (VM) and the Resident Engineer confirm that all requirements are met, and determine if the idea should be pursued before advancing the VEP for review of its technical merit.
  • During technical review, VM will notify the Design Project Manager (PM) of the potential design changes. Prior to distribution to the Division and the Resident Engineer, VM reviews comments and concerns with the State Construction Engineer.
  • The State Construction Engineer will send a memo to the Division's contract administrator regarding the status of the preliminary VEP.
  • The Resident Engineer notifies the Contractor, in writing, of the outcome of the review (conceptual acceptance or rejection), copying the PM.

The Contractor will address any comments or concerns for a conceptually approved VEP and resubmit the VEP as a Final Proposal or discontinue pursuit of the VEP.

The Department in no way warrants that a favorable response to a Preliminary VEP will translate into a favorable response to a Final VEP. Likewise, a favorable response to a Preliminary VEP is not sufficient to incorporate the concept into the contract.

For an example of a VEP submission, see Records & Reports Section.​

b.       Final Proposal Submission and Review

A Final Proposal represents a fully developed VEP concept, for an alternative which will result in lower cost and/or time saving construction methods while providing the same or better improvements. The Final Proposal consists of the VEP Submittal Form, with the following information included or attached:

  • Design calculations (if applicable),
  • Contract plan sheet modifications, and
  • Contract document changes and a cost savings estimate based on contract line items. For Design-Build projects, the cost savings estimate shall include a line item break down with unit prices for each line item.

Review

  • Upon submission, VM and the Resident Engineer confirm that all requirements are met before advancing the VEP for review to confirm it is technically acceptable. (If a Preliminary Proposal was not submitted, the Project Manager (PM) is notified of the potential design change.)
  • Prior to distribution to the Division and the Resident Engineer for review, VM reviews comments and concerns with the State Construction Engineer.
  • The State Construction Engineer will send a memo to the Division's contract administrator regarding the status of the preliminary VEP.
  • The Resident Engineer notifies the Contractor, in writing, of the final decision (acceptance or rejection), copying the PM.

Within 10 days of approval, the Contractor shall submit a final set of plans incorporating the approved changes to the Value Management Office, Resident Engineer and Design-Build Unit (if applicable). Based on the approved VEP, the Resident Engineer prepares a Supplemental Agreement (SA) that incorporates the new changes. If the required documents are not submitted within 10 business days, either party may elect to withdraw the VEP and not execute a SA. Pending execution of a SA implementing the approved VEP, the Contractor shall remain obligated to perform all work in accordance with the terms of the existing contract.

For an example of a VEP submission, see Records & Reports Section.

Design-Build VEPs

Review of a Design-Build VEP follows the process described above, but only a VEP, which alters the requirements of the RFP issued by the Department and/or the Technical Proposal submitted by the Design-Build Team, will be considered as a VEP. A previously submitted ATC (Alternate Technical Concept) that was not approved can be resubmitted for consideration as a VEP, if applicable.

Note: In addition to the technical review, a Design-Build VEP will be reviewed by

  1. the Design-Build Unit for Contractual compliance, and
  2. the Estimating Management Group to confirm that the approximate savings noted by the Contractor is fair and reasonable, since there are no unit prices. Additional review time may be needed and should be anticipated. VM coordinates all the necessary reviews.

Supplemental Agreement

For approved VEPs, an executed Supplemental Agreement must be required prior to performing work associated with the VEP.  ​

For guidance on entering Value Engineering Proposals in HiCAMS, see the HiCAMS User Guide Review Supplemental Agreements – Entering VEPs and Review Supplemental Agreements.

​Savings & Payments

Following execution of the Supplemental Agreement, the final net cost savings will be split between the Contractor and the Department with each party receiving 50% of the net savings. Net savings shall be calculated as follows:

Net Savings = Original Contract Costs – Proposed VEP Costs

The Contractor shall be responsible for covering the costs of developing all preliminary and final proposals. Thus, the costs associated with developing and reviewing the VEP, by either the Contractor or the Department, will not be considered in the net savings calculation. If a subcontractor idea was submitted as a VEP, the Contractor may choose any arrangement for the subcontractor value engineering cost sharing, but the payment arrangement shall not impact the Department's 50% of the final net cost savings.


104-13 RECYCLED MATERIALS & SOLID WASTE MATERIALS 
 
General

North Carolina's General Statutes (G.S. 136-28.8(g)andG.S.130A-309.14(3)) require that NCDOT increase the use of recycled materials within its construction and maintenance programs; therefore, it is NCDOT's policy to help reduce the volume of materials that contribute to the solid waste stream.  Accordingly, the Resource Conservation Program (RCP) exists to promote the use of recycled products and solid waste materials within NCDOT programs. The program is intended to provide expertise to Contractors on the identification, selection and recommended use of recycled products and materials. Before Contractors can use any recycled products or materials on their projects, approval is required by the Department. The Resource Conservation Program within the Materials and Tests Unit is responsible for facilitating this approval. ​​​

Proposal

Any Contractor that would like to incorporate recycled products or solid waste materials into their construction projects must submit a Recycled Products or Solid Waste Materials Proposal to the Department. A Recycled Products or Solid Waste Materials proposal is used to review and approve the Contractor's desire to use recycled materials. This requirement does not apply to recycled products or solid waste materials that have already been specified for use by the Department, nor does it apply to reclaimed asphalt materials referenced by Section 610 of the Standard Specifications.

The proposal must include a statement that the modification to the materials used is being made as a Recycled Products or Solid Waste Materials Proposal. Additionally, the proposal must include a description of the difference between the existing contract and proposed modifications, a set of design drawings with the proposed modifications, a set of design calculations, an itemized list of contract requirements to be modified, a detailed cost estimate for the proposed modification, and a statement of when approval of the proposal should be issued by the Department in order to achieve the total estimated cost reduction. Proposals should be submitted  to the Resident Engineer and carbon copy  resourceconservation@ncdot.govfor review and approval. However, if Contractors wish to submit a proposal that includes cost savings, a copy of the proposal should also be sent to the State Value Management Engineer at ValueManagementUnit@ncdot.gov.

The Resident Engineer will be the sole judge of the acceptability, the value, and the estimated net savings or additional compensation to be paid to the Contractor. If the proposal is rejected, no further action is taken. The Department has the right to reject any proposal, and the Contractor is not entitled to any additional compensation or additional contract time if the proposal is rejected. If the Recycled Products and Solid Waste Materials Proposal is approved, a supplemental agreement is created to implement the proposed modifications. It is the Contractor's responsibility to provide certifications verifying the source of the material and percentage of materials to be used and to obtain permits required to handle and store the materials to be used. The Contractor also remains obligated to perform existing contract work during execution of the supplemental agreement. After implementation of the supplemental agreement, the Department has the right to use, duplicate or disclose any information about the modification on other projects without restrictions from the Contractor. ​

Savings

An approved Recycled Products & Solid Waste Materials Proposal may introduce net savings to a project. Net savings is calculated as the difference between the existing contract costs and the actual final cost as a result of the modifications implemented by the proposal; the cost of developing a proposal is not included in this calculation. The terms of the savings and how the savings will be distributed between the Contractor and the Department will be reflected in the supplemental agreement. In accordance with Article 104-12 of the Standard Specifications, if a proposal results in savings, 50% of the net savings will be distributed to the Contractor following the execution of the supplemental agreement. If a proposal doesn't achieve savings and increases costs, but results in a significant effect of long-term markets for materials or significant beneficial usage, the Department will be responsible for the increased costs. When a proposal results in increased cost, but is innovative and completely new to Department projects, the Department will cover this cost, and at least $500 but no more than $2,500 may be awarded to the contractor. ​

Annual Report

Each year, the Department publishes an Annual Recycled Products and Solid Waste Utilization Report and provides it to the Secretary of Transportation; thus, Contractors must report their use of recycled products and materials to the Department annually via the Annual Recycling Report Form found on the Resource Conservation Program website. The purpose of the form is to solicit recycling data from Contractors in order to quantitatively represent the Department's efforts to recycle construction and maintenance materials. On the form, Contractors must provide quantities of reused or recycled materials incorporated in a project or diverted from landfills, and any practices which minimized environmental impacts. The Annual Recycling Report Form is due by July 1st, annually; however, Contractors don't have to restrict themselves to entering data into the form only once during the year. This form can be accessed multiple times which allows the Contractor to input data on the same project throughout the year. ​​


ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 105 CONTROL OF WORKCM-01-105
 
 


105-1 AUTHORITY OF THE ENGINEER
 
In accordance with  Article 101-3 of the Specifications, "Engineer" is defined as the chief engineer, acting directly or through his duly authorized representatives. "Authorized representatives" are all Department personnel involved in contract construction, performing their duties and responsibilities within the bounds as may have been delegated to them by their supervisors.
 
Each contract construction project is assigned to a Division Engineer who has the responsibility and is delegated the authority for the administration of the contract to the end that the Contractor performs the work in accordance with the terms of the contract. This responsibility and authority is subsequently delegated to an Engineer as is deemed necessary.
 
Division and Resident Engineers are delegated authority to approve extra work and the time extensions associated with extra work. See "Subcontracts" and "Supplemental Agreements and Requests for Construction Change" in the Records and Reports Section of this Manual for a detailed explanation of these authority levels.
 
Representatives of the Construction, Traffic, and Roadside Environmental Units are experts in their particular field and will periodically visit the projects in their area. They are available for consultation with construction issues and contract administration. In making these inspections, they may have recommendations for the Engineer and his inspection staff. The Area Representative does not take any authority or responsibility away from the Engineer for direct administration of the contract; however, the Area Construction Engineer has been delegated the authority to stop any or all work by issuing a written order should they determine that the Contractor is violating the terms of the contract requirements for safety or erosion control, and the Division's representative or the Contractor fails to take corrective action as suggested.
 
The Engineer is a representative of the State Highway Administrator by delegation from the Division Engineer. As such, it is the responsibility of the Engineer to see that the project is constructed in accordance with the terms of the contract and to administer assigned work in accordance with the terms of the contract.
 
The word "contract," as defined by Article 101-3 of the Specifications, includes the proposal form, the printed contract form and all attachments thereto, the contract bonds, the plans, the Standard Specifications and all Supplemental Specifications thereto, the Standard Special Provisions and Project Special Provisions contained in the proposal form, and all executed supplemental agreements. The Engineer shall carefully study all components of the contract and their relationship to actual field conditions. If he does not thoroughly understand any provision of the contract or if any provision of the contract appears to be in error, he shall request clarification from the Division Engineer. It is not possible for the Engineer to exercise the "authority of the Engineer" as set forth in Article 105-1 without being thoroughly familiar with the terms of the contract.
 
The Engineer has the authority to alter the terms of the contract through a supplemental agreement as previously noted. The Engineer, with appropriate consultation with the Division Engineer, has the authority to modify quantities, plan details, etc.; however, it is expected that before making significant modification to plan details, etc., appropriate consultation will be made with the Design Unit and others as may be appropriate. The Division Engineer shall consult with the State Construction Engineer when significant modification is made in quantities that significantly change the cost of the project or affect the design, i.e., change in undercut excavation, borrow, excavation, or subgrade stabilization. In most instances, project plans include designs and details of construction that were placed in the contract for specific reasons and they should not be altered without sufficient justification and review to determine that the integrity of our design has not been affected. This requires experience and technical knowledge in most instances and is not a responsibility to be taken lightly. The Area Construction Engineer is available to assist the Engineer if these instances arise.
 
As long as the Contractor's plan and method of operation are in accordance with the terms of the contract and the end product is as specified in the contract, the Engineer does not have the authority to require the Contractor to change his plan and/or method of operation. If, however, the Contractor's plan and/or method of operation or the end product are not in conformance with the terms of the contract, the Engineer does have the authority to instruct the Contractor to cease operations, either in part or whole, by written order. Refer to Article 108-7 of this Manual.
 
In exercising his authority, the Engineer must at all times refrain from being arbitrary in his decisions. His decisions must be based upon due deliberation and at all times within the framework of the contract.

105-2 PLANS AND WORKING DRAWINGS
 
The Specifications and certain contract provisions require the Contractor to submit varying numbers and types of working drawings and submittals to supplement the plans. With the exception of certain structural items, these required submittals shall be submitted directly to the Engineer for his further handling. Upon receipt of a submittal, the Engineer shall stamp the date received on the cover letter and each part of the submittal. The Submittal Tracking Form shall then be attached to the submittal package. After performing an initial review of the submittal to ensure that it is complete, the Engineer shall fill in the following information on the Submittal Tracking Form:
 
  1. Project Number - Both the WBS element and TIP numbers should be used.  
     
  2. Submittal - a brief description of the submittal  
     
  3. Division Engineer  
     
  4. Resident Engineer  
     
  5. Telephone Number - the Resident Engineer's telephone number  
     
  6. Reviewing Unit - The unit that is responsible for the review and acceptance and/or approval of the submittal. The following list gives the reviewing unit for the most common types of submittals.  
     
  7. Contractor - The Contractor and Subcontractor, if applicable, should be listed.  
     
  8. Date Received From Contractor - The date should match the date stamped on the submittal.  
     
  9. Date Transmitted to Reviewing Unit  
     
  10. Turnaround Time and Deadline Date - Unless specified otherwise in the Project Special Provision, the maximum turnaround time is 40 days. The deadline date is the date which the Engineer must receive the reviewed approval back in his office in order to prepare the letter of transmittal back to the Contractor and allow for mail delivery time. The Engineer should develop a system to alert him of impending deadline dates so that the reviewing unit may be contacted to obtain the current status of the submittal. 
The Engineer shall transmit the submittal package to the reviewing unit together with any pertinent comments. Upon receipt of the submittal package, the reviewing unit will fill in the appropriate dates in Part II of the Submittal Tracking Form.
 
For those submittals which are sent directly from the Contractor to the design unit, the reviewing unit will attach a Submittal Tracking Form. The reviewing unit should utilize the remarks section of the form to document any telephone conversations regarding the submittal. Dates when additional information is requested and received should also be documented in the remarks section. The reviewed submittal package will be transmitted to the Engineer with a copy of the memorandum to the Division Engineer. Upon receipt of the package, the Engineer will complete Part III of the Submittal Tracking Form, prepare a letter of transmittal to the Contractor, and attach the completed Submittal Tracking Form to the file copy of the letter.
 
The Structures Management Unit (SMU) and the Geotechnical Engineering Unit (GEU) allows contractors to submit specified working drawings directly for review and approval.  The process is outlined in the Project Special Provisions and is applicable for the specific sibmittals listed.  Submittals not specifically noted in the Project Special Provisions shall be submitted directly to the Resident Engineer.
 
When a contractor submits a working drawing directly to SMU or GEU, he should submit one copy, including attachments, to the Resident Engineer and submit the designated number of copies to the SMU and /or GEU for each specific submittal.  One copy of calculations should be sent to either SMU or GEU, unless both units require submittal copies.  The submittal contact and addresses for SMU and GEU are listed in the Project Special Provisions.
 
Submittals may also be made thorugh email and are encuraged to be submitted in this manner.  These contacts are also provided in the Project Special Provisions.
 
The status of the review for structure related submittals sent to SMU can be viewed on the Units's web site using the "Drawing Submittal Status and Design Notes"​ link. Questions concerning the status of the review, review comments or drawing mark-ups should be directed to the contacts listed in the Project Special Provisions.
 
The Resident Engineer will recieve the review comments and drawing mark-ups from both SMU and GEU.  The Resident Engineer  will be responsible to notify the Contractor for the submittal results.    
    
INSTRUCTIONS FOR COMPLETION OF SUBMITTAL TRACKING FORM
(Form ST-1)
 
  1. Upon receipt of a submittal from the Contractor, the Resident Engineer shall stamp the date received on the cover letter and each submittal and attach a Submittal Tracking Form to the submittal package. THE FORM SHALL REMAIN ATTACHED TO THE SUBMITTAL PACKAGE THROUGHOUT THE REVIEW PROCESS. 
     
  2. The Resident Engineer shall perform a review of the submittal to ensure that it is complete.  
     
  3. The Resident Engineer shall complete information listed in part I on the Submittal Tracking Form.  
     
  4. The Resident Engineer shall transmit the submittal package to the reviewing unit by memorandum. In cases where there is an urgent need for review, the Resident Engineer may consider delivering the submittal package or sending an advance facsimile of the submittal package followed by the original through the usual mail service.  
     
  5. The reviewing unit shall perform a review of the submittal and fill in the appropriate dates in part II on the Submittal Tracking Form. The remarks section of the form should be utilized to document dates when additional information is requested and received. The reviewing unit shall transmit the submittal package to the Resident Engineer by copy of the memorandum to the Division Engineer.  
     
  6. The Resident Engineer shall fill in the appropriate dates in part III on the submittal Tracking Form and prepare a letter of transmittal for the return of the submittal to the contractor. The Submittal Tracking Form shall be attached to the copy of the transmittal letter.

105-3 CONFORMITY WITH PLANS AND SPECIFICATIONS
 
The Specifications provide that the Contractor shall perform the work contemplated within reasonably close conformity with the details shown on the plans or in the Specifications. It also provides, that in the event, the work is not found to be in reasonably close conformance with the requirements, the Engineer may either accept or reject the work depending upon whether, in the Engineer's judgment, the completed work will satisfactorily perform its intended function.
 
The decision to accept or reject the non-conforming work is made by the State Construction Engineer in order to have uniform application of this type of judgment. If accepted, the adjustment to be made in the contract price is determined by the State Construction Engineer. Others may be called upon to make appropriate recommendations.
 
This article of the Specifications does not require that a supplemental agreement be executed to affect a reduction in the contract price. The reduction will be made in the next partial payment estimate as a PAR in HiCAMS following the decision rendered by the State Construction Engineer.

105-4 COORDINATION OF PLANS, SPECIFICATIONS, SUPPLEMENTAL SPECIFICATIONS, AND SPECIAL PROVISIONS
 
Refer to this section of the specifications​ for the hierarchy of contract documents. This article sets forth the hierarchy of contract documents.  The Engineer shall consult the Division Construction Engineer and/or the Area Construction Engineer if there is any question over what document governs work performed on the project.

105-5 COOPERATION BY CONTRACTOR
 
This article sets forth the time limitations for the Contractor's notification to the Engineer as to when he proposes to begin work on the project, suspend work, and resume work. The Department should make every effort to accommodate the Contractor's plans to begin or resume work although the specified notice was not given. In the event the Contractor fails to follow these requirements, the Engineer shall bring this to the attention of the Contractor in writing, setting forth any delays that might have been caused by the Contractor's failure to follow the provision(s). Delays resulting from the Contractor's failure to provide the required notice is not considered justification for extension of the completion date.

105-6 SUPERVISION BY CONTRACTOR
 
This article requires the Contractor to have a competent employee to manage and supervise the work on the project at all times work is being performed. This supervisor is to be an employee of the Contractor unless otherwise requested in writing and approved by the Engineer. The Engineer, Technician, and other Department representatives shall address this individual relative to any phase of the work. All instructions directed toward work being performed by subcontractors or employees of the Contractor shall be transmitted through the Contractor's delegated supervisor.
 
A problem in implementing the provisions of this article typically occurs when all or the major portion of current work is being performed by Subcontractors. At any time when the Contractor is not complying with this provision of the Specifications, the Engineer shall notify the Contractor, in writing, giving the Contractor reasonable notice to provide the required supervision. If the Contractor fails to provide the requested supervision within the time limit specified, the Engineer has the authority to suspend the work. Prior to issuing the suspension order, the Engineer shall consult the Division Engineer and/or Area Construction Engineer. See Article 108-7 of this Manual.

105-7 COOPERATION BETWEEN CONTRACTORS
 
The Department has the right to let a project under more than one contract. Under these conditions, it is the Contractors' responsibility to cooperate with one another to the extent that each Contractor can proceed with his individual work without hindrance by the other. The Department is not liable for any damages caused one Contractor by another.
 
In this same connection, however, Article 105-1 of the Specifications does impose some responsibility upon the Department to take all reasonable steps to see that the Contractors cooperate with one another and that they properly coordinate their work. In the absence of a construction schedule in the contract, reasonable steps to be taken would include but not be limited to the following:
 
  1. The Engineer shall advise the appropriate Contractor in writing of his action or inaction which may result in delays to another Contractor. This correspondence may also include suggestions as to steps necessary to remedy the situation.  
     
  2. Actions similar to those in (1) above may be taken during construction conferences and documented in the minutes.  
     
  3. Verbal suggestions may be made to the Contractor's supervisory personnel on the project; however, these conversations shall be documented in the diary and confirmed in writing to the Contractor. 
Note that in all items above, the Engineer should suggest changes in the Contractor's plan of operations and is not authorized to direct the Contractor's operations.
 
When a project is let under separate contracts and the contracts include a construction schedule, this article provides that the Contractors must complete the various phases within the time limits set forth in the construction schedule; except that, at the Contractor's option, they may submit a joint construction schedule for approval by the Engineer. Upon approval by the Engineer, the joint construction schedule supersedes that construction schedule in the original contract and the Contractors must complete the various phases within the time limits specified in the joint construction schedule. Since the original contracts will normally include an intermediate contract time for completion of portions of the work or an availability date for portions of the work, changes in the schedule may require the execution of a supplemental agreement to modify one or more of the contracts.
 
When the contracts do not contain intermediate contract times or a specified availability date for all or portions of the work that would be affected by the schedule changes, the following procedures should be used:
  
  1. The construction schedule shall be thoroughly reviewed during the preconstruction conference.  
     
  2. When a phase is completed within the time specified, the Engineer should notify each Contractor in writing.  
     
  3. When it becomes apparent that a phase of work is not going to be completed on schedule, the Engineer shall notify each Contractor by letter, advising the dilatory Contractor of the sanctions provided in Article 105-7 of the Specifications and the provisions providing for a joint construction schedule.  
     
  4. When a phase of the work is not completed on schedule, the Division Engineer should submit a report of the work status to the State Construction Engineer. This report shall include any circumstances beyond the Contractor's control which may justify the late completion of the phase and be justification for not removing the dilatory Contractor from the list of prequalified bidders. If there are no apparent extenuating circumstances, the report shall include the Division Engineer's opinion why the phase of work was not completed on schedule. The final decision relative to the removal of the Contractor from the list of prequalified bidders shall be made by the State Construction Engineer.  
     
  5. If the Contractors elect to submit a joint construction schedule, the following procedures shall be followed:
  1. The schedule shall be submitted to the Resident Engineer in quadruplicate.  
     
  2. The schedule shall be reviewed by the Resident Engineer and Division Engineer.  
     
  3. A copy of the schedule together with a recommendation for approval or disapproval shall be submitted to the State Construction Engineer.  
     
  4. Approval or disapproval of the schedule shall be made by the State Construction Engineer. If approved, copies shall be distributed to appropriate parties. If disapproved, all copies shall be returned to the Division Engineer.  
     
  5. The Engineer should notify both Contractors as to whether the joint construction schedule is approved or disapproved.

105-8 COOPERATION WITH UTILITY OWNERS
 
Very few projects are constructed without conflict with some public or private utility. These utilities may consist of electric power, telephone, television, fiber optic, water, sewer, gas, oil, petroleum products, steam, railroads, or chemical lines. These utilities serve the public with necessities and conveniences in the same manner that a highway serves as a means of transportation. It is necessary that utility adjustments be handled expeditiously and with caution, safety, and a full knowledge of all conditions involved.
 
Utilities often need to be removed from highway right of way; however, the General Statutes require the Department to allow utility companies and municipalities to encroach on the highway right of way to construct and maintain their utility facilities either underground or overhead. See Article 107-5 of this Manual.
 
On upcoming and active construction projects, it is the responsibility of the State Utilities Manager to administer the adjustment and relocation of all utility conflicts. This responsibility includes determining utility right of way status; conducting on-site utility inspections; providing the company or municipality that owns the utility (hereinafter UTILITY) with appropriate highway plans; obtaining all necessary utility agreements, estimates and plans; coordinating activities with other units within the Department; obtaining necessary approvals of the Federal Highway Administration; and making proper authorization to the UTILITY for the adjustment and relocation of utilities to accommodate highway construction.
 
When the UTILITY is authorized to begin work, the Engineer will receive a copy of the authorization letter along with applicable copies of agreements, plans, and estimates. The Engineer should schedule a utility preconstruction conference to discuss the work and when the work will be commenced so that proper records can be maintained. Any work done by the UTILITY prior to authorization may be ineligible for reimbursement.
 
The approved Utility Relocation Agreement indicates whether utility relocations are to be made by the utility company's own forces, by continuing contract, by a contract let to bid, or a combination of these. If a Contractor for the UTILITY arrives on the project to perform relocations and the agreement indicates that the work will be performed only by the UTILITY’s forces, the State Utilities Manager should be notified immediately since all contract work must have prior approval by the Department. If any major changes are needed on the approved relocation plans, these changes need to be approved by the State Utilities Manager.
 
The Engineer shall be familiar with all utility relocation work being performed on the project and is to enter into the Weekly Project Report any delays to the Contractor due to utility work as such delays may be considered for the possible extension of the contract time.

CONTRACTOR'S RESPONSIBILITIES
 
In accordance with this article of the Specifications, the Contractor is required to:
  
  1. Thoroughly investigate the effect of required utility work, whether indicated on the plans or not, on his plan of operation prior to preparation of his bid and to include in his bid any additional resulting cost.  
     
  2. Notify NC One-Call center (telephone 1-800-632-4949) and any non-subscribing UTILITIES prior to performing excavation as required by GS 87-100. NC One-Call center will notify all subscribing members of the proposed excavation.  
     
  3. Use special care and, where necessary, provide protection for existing utilities when working around or near same.  
     
  4. Cooperate with the UTILITY or the UTILITY's agent when utility adjustments are made necessary by the construction of the project.  
     
  5. Promptly notify and cooperate with UTILITY in restoring utility service when same is interrupted due to the Contractor's operations.  
     
  6. Maintain access to all fire hydrants within the confines of the project.  
     
  7. Pay for all temporary utility adjustments made solely for his convenience. 
This article also provides that the Contractor will not receive any additional compensation for delays, inconveniences, or damages as might be caused by utility adjustments and/or construction except as provided for in Article 104-4. This provision, however, does not preclude payment for extra work as might be necessitated by utility work or extensions of the completion date(s) as may be allowed by Article 108-10.

RESPONSIBILITY FOR RELOCATING UTILITIES
 
Relocation of conflicting utilities in a timely manner is necessary to minimize delays to construction and possible claims for additional compensation. To accomplish this goal requires all parties to understand and fulfill their responsibility in the relocation of utilities.
 
RESIDENT ENGINEER'S UTILITY RELOCATION PROCEDURE
 
UTILITY RELOCATION FLOWCHART
 
(90 weeks to 43 weeks prior to Letting Date)
Final Right of Way plans are completed and the Division Utility Engineer/Coordinator starts the process to clear any conflicts. The Division Utility Engineer/Coordinator meets on the project with all utility companies that have potential conflicts and they look at all areas that are potential conflicts with construction. The Division Utility Engineer/Coordinator will give the utility company a copy of the roadway plans so they can begin work on their Relocation Package.
 
(27 weeks to 22 weeks prior to Letting Date)
The Relocation Package is needed from the utility company. The Relocation Package consists of the following: (1) 3 sets of Relocation Plans, (2) Utility Relocation Agreements/Encroachment Agreements, (3) 2 itemized cost estimates, If the package is complete, then the authorization to relocate is approved in approximately 2 weeks. This authorization is still subject to right of way acquisition. The Division Utility Engineer/Coordinator is working with the Division Right of Way Agent to ensure all right of way is acquired before the authorization is sent to the Resident Engineer.
 
(22 weeks prior to Letting Date)
Utility plan data is sent to the Utilities Unit, and the Project Special Provisions are written concerning the utility relocations.
 
(14 weeks prior to Letting Date)
The Division Utility Engineer/Coordinator will contact the Resident Engineer to give an update concerning the utility conflicts and utility authorizations. If the utility company has been authorized to relocate, the Resident Engineer should communicate any problems or concerns for potential delays to the Division Utility Engineer/Coordinator. This will allow the Division Utility Engineer/Coordinatoradequate time to voice our concerns to the utility company to help avoid future delays to the Highway Contractor.
  
(8 weeks prior to Letting Date)
The Division Utility Engineer/Coordinator should review the progress of the utility relocations with the Utilities Unit. They will discuss if any time needs to be added to the Proposals to relocate utility conflicts during construction. Any decision to add time to the proposals will be based on the following: (1) utility impact to the project, (2) Authorization status for utility relocations, (3) Right of way issues, (4) Permits, (5) Resident Engineer’s recommendations, (6) Latest information from the Utility Company concerning construction schedules. This is a very critical date, and the Resident Engineer must have the latest information of what has been accomplished on the project. This is the final date that any time changes can be made in the Proposal concerning the utility relocations. 

  Utility Relocation Flowchart.png
 
The following is a listing of the procedures to be used in the clearance of utility conflicts on construction projects:
 
  1. The State Utilities Manager will obtain all necessary agreements, estimates, and plans for the adjustments and/or relocation of each utility.  
     
  2. The State Utilities Manager will issue a written authorization to the UTILITY for the adjustment and/or relocation of the utility. The UTILITY will be informed in the letter of authorization not to proceed with the work until contact is made by the Division Engineer or his representative.  
     
  3. When the UTILITY is authorized to adjust and/or relocate the utility, the State Utilities Manager will transmit to the Division Engineer by cover letter, a copy of the letter of authorization, along with copies of the agreement, plans, and estimate for performing the work.  
     
  4. Upon receipt of the authorization, the Division Engineer or the assigned Engineer should immediately contact the UTILITY and schedule a meeting. In this meeting, a defined schedule should be determined for the UTILITY to clear the conflict. The initial contact, the schedule, and any agreements made should be documented in writing to the UTILITY.  
     
  5. If the Engineer cannot determine a reasonable schedule with the UTILITY to clear the conflict in a timely manner and not impact construction, the State Utilities Manager should be contacted for assistance. The Engineer should document the matter in the project records.  
     
  6. If a reasonable schedule is determined and the UTILITY has not begun the adjustment and/or relocation within 10 days from the date specified, the State Utilities Manager should be contacted for assistance. Every effort should be made by the Engineer to persuade the UTILITY to commence clearing the conflict prior to contacting the State Utilities Manager. These efforts should be documented by the Engineer in the project records.  
     
  7. The Engineer should follow the procedures outlined below for monitoring the UTILITY's work and keeping appropriate cost records of the work performed.  
     
  8. The Division Engineer should establish a tracking system in the Division Office for monitoring each conflict to ensure its clearance is being actively pursued by the Engineer, the UTILITY, and the State Utilities Manager.  
     
  9. The Division Engineer or his representative will be requested to furnish certain information on utility conflicts as a part of the final field plan review. This will include a listing of each utility owner and the status of the authorization for utility adjustments by the Utilities Unit. 
In conclusion, it is fully the intent of the Department to clear utility conflicts by the contract availability date or as soon thereafter, as is practical, in order to complete projects in a timely manner and minimize the exposure to potential claims.
 
Upon receipt of utility data from the State Utilities Manager, the Engineer should study the proposed location or relocation of utility installations for possible conflict with plan grades, alignment, drainage construction details or other interference with planned construction, and should become familiar with all areas where moves must be coordinated with construction operations. It may be necessary upon request of the UTILITY to provide centerline stakes, right of way stakes, or in some instances, construction limits stakes for the UTILITY.
 
In his initial contact with the representatives of the UTILITY, the Engineer should call attention to the fact that he must verify the work performed, materials used, and materials salvaged prior to reimbursement to the company, and request their cooperation in obtaining accurate and correct information for his records. The Engineer shall continue to have regular meetings with the UTILITY to track progress until all relocation is completed. Unduly poor cooperation should be reported, in writing, to the State Utilities Manager.

NOTIFICATION OF WORK BEGUN
 
The Engineer is to notify the State Utilities Manager by letter of the date on which a UTILITY begins the actual work of removal or relocation and the date of completion. This notification is required for each UTILITY involved.

PROJECT PRECONSTRUCTION CONFERENCE
 
After the award of the project construction contract, the Engineer establishes the date for a preconstruction conference to be held with the Contractor. The State Utility Manager The UTILITIES should be requested to have a qualified representative in attendance. On projects with "heavy" utility involvement, the Engineer may wish to conduct a separate utility preconstruction conference. When such conferences are held, a knowledgeable representative of the Contractor should also be present. The problems of the UTILITY in coordinating their work with the Contractor's proposed construction schedule should be thoroughly discussed and, if possible at this meeting, a satisfactory solution reached. If the project is of such magnitude and is located in a highly developed urban area or involves complex utility structures, additional conferences should be held with regularity until all the work is complete.
 
Several major items which should be discussed with the UTILITY representatives at the conference are:
  
  1. The Engineer should call attention to his responsibility in maintaining records of the work performed for use in verification for reimbursement and request their cooperation.  
     
  2. Requirements for advance staking for the utility work should be discussed and definite locations and sequences should be established. The benefits gained by avoiding future conflicts between the utilities and proposed highway construction will outweigh the effort spent to assure utilities are placed at the proper location.
  3.  
  4. The utility representative's attention should be called to the necessity for proper compaction of backfill around and over underground installations, the use of suitable material (not wet) for such backfill, ensuring adequate depth for the utility, and the possibility of the use of roadway density equipment to check this operation.  
     
  5. The UTILITY’s attention should be directed to the fact that relocations made by them without attention to planned placement of project drainage may result in additional moves at the expense of the UTILITY.  
     
  6. When proof rolling of the subgrade is required, the UTILITY should be cautioned as to the possibility of damage to their underground installations by this operation. Proof rolling cannot be omitted without permission, in writing, from the State Construction Engineer.  
     
  7. The UTILITY should be advised that all underground installations beneath pavements are to be completed prior to the placement of the final layer of pavement and that all patches made will consist of the full complement of base and paving in their proper order and with proper compaction.  
     
  8. The UTILITY should be advised that all overhead installations must conform to Department policy and any questions are to be referred to the State Utility Manager. 
     
  9. An understanding should be reached as to the manner and frequency of inspection of salvage material. This may be accomplished on a daily basis on the site or at longer intervals in stockpiles.

INSPECTION OF UTILITY WORK
 
It is the responsibility of the Engineer to assign one or more Technicians to observe and record the utility construction in progress. It is desirable that this Technician have some previous experience in inspecting similar utility construction. The Engineer should discuss the utility plans with the Technician and make him aware of any and all decisions about work sequences, etc., which may have been previously decided. The Technician is to see that the utility construction is done in accordance with the utility plans, and it is desirable that he keep an up-to-date set of project plans noting the final locations of utilities adjusted. This will eliminate a great amount of work in the preparation of the as-constructed plans. The Technician will also keep a daily Technician’s Diary of the work to be submitted and entered into the Engineer's Utility Diary.

UTILITY DIARIES
 
The Engineer will keep a diary on all construction projects for each UTILITY making adjustments or relocations at the Department's expense. This may be a single diary incorporating the work performed by all UTILITIES or it may be a single diary for each UTILITY performing work, depending upon the complexity and volume of utility work to be performed. The Engineer is to be familiar with all utility and should enter into the project diary documentation of the UTILITY’s activities and any information relating to delays to the Contractor caused by such utilities, as such delays may be considered justification for an extension of the contract time. The approved Utility Relocation Agreements and/or plans will indicate what part of the work will be at the Department’s expense and what part of the work will be at the expense of the UTILITY. In the event this information is not clear, the Engineer should contact the State Utility Manager.
 
The diaries should start the day the UTILITY is authorized to begin work and entries made in the diary each day that the UTILITY performs work. The utility diary should be kept in the same manner as any other project diary consisting of dates, weather conditions, the company performing the work including any Contractors doing work for the UTILITY, the nature of the work, any field changes made and the authorization for the changes, any special instructions, any conditions which will tend to delay or effect the work, and any other information that is in direct relation to the reimbursable cost.
 
If the UTILITY is performing work with its own forces, then the diary should reflect information as to man hours and equipment hours of operation, material installed and/or removed, description of the operations, and salvage material when this information is available. At no time should the Engineer or his Technicians inquire as to wages paid to the UTILITY or Contractor employees.
 
If the work is being performed by the UTILITY's Contractor on a unit price basis, then the Engineer will record only units being removed and installed. Information on man hours and equipment is not necessary in this case since the Department will be billed on unit prices only. The UTILITY should notify the Engineer when work is to be performed that is not on a unit price basis.
 
If the approved Utility Relocation Agreement provides for a lump sum reimbursement, the Engineer will make entries in his diary in the same manner as for contract work by unit prices. Under this type of an agreement, the Engineer should ensure that the work is being performed in accordance with approved utility plans and should note any modification in the event there is a change in the Utility Relocation Agreement. Upon receipt of the UTILITY invoice, the Engineer is verifying that the work has been performed in accordance with the plans. The invoice amount will be verified by the State Utility Manager.
 
In keeping the utility diary, the Engineer is not expected to have a detailed account of all pieces of hardware that might be used; however, the diary is expected to show major components of material and have sufficient information to reasonably check the UTILITY'S invoice.
 
The utility diary or diaries are to be held by the Engineer for reconciliation with invoices submitted by the UTILITY upon completion of the work. When all the invoices have been submitted by the UTILITY and the approval for payment has been given by the Engineer, the utility diary or diaries are to be forwarded to the State Construction Engineer with the final estimate assembly.

CHANGES IN UTILITY PLANS
 
There will be many instances where it will be necessary to modify utility installations from what is shown on the approved utility plans. If these changes are of a minor nature that will not adversely affect the construction project and will not appreciably change the cost of the relocation, then the Engineer may authorize such changes and make proper entries in his diary to reflect same. If there are changes in the scope of work, extra work, or major changes that will appreciably affect the approved agreement, plans, and estimates, then reimbursement will be limited to cost covered by a modification of the agreement or a written change or extra work order approved by the State Utility Manager and, where applicable, the Federal Highway Administration. When changes of this nature do occur, the Engineer should contact the State Utility Manager for handling. In emergency situations, modifications may be handled by telephone between the Engineer and the State Utility Manager and confirmed in writing.

DELAYS BY UTILITY WORK
 
Since having all utility adjustments made as stated in the contract documents is the responsibility of the Department and since delays to the Contractor due to utilities not being cleared may in some cases be considered as the basis for additional compensation and/or an extension of the completion date, it is the duty of the Engineer to make every effort to expedite the removal or adjustment of the utilities at the earliest possible date.
 
On projects in highly developed areas, regular conferences held between the Engineer, the representatives of the UTILITY, and the Contractor are recommended.
 
If during the performance of the work on the project, the Engineer observes that progress on the utility work is not being carried out at a pace or at locations such that delays may be encountered in construction operations, he should immediately contact the UTILITY involved and request that alterations in schedules be made to clear the conflicting area. Should the UTILITY fail to cooperate with the Engineer’s request and a delay to the work is eminent, the Engineer shall notify the State Utility Manager giving full details on the conditions and requesting assistance in clearing the conflict at the earliest possible date.
 
If a delay in contract construction operations does occur, it is the duty of the Engineer to determine and properly document the beginning date of the conflict, to what extent the Contractor's operations are delayed (e.g. equipment, labor, etc., idle or moved to other work due to the conflict), actions taken to clear the conflict, and the date the Contractor is advised that operations can be resumed in the area. This information should be entered in the Engineer's project diary to document a recommendation for or against an extension of contract time.

INSPECTION OF SALVAGE MATERIALS
 
Materials recovered on construction projects in suitable condition for reuse by the UTILITY are returned to stock and credited to the cost of the work. Materials recovered which are not considered to be suitable for reuse by the UTILITY are disposed of by sale or scrap.
 
Where materials are of a non-reusable nature, the Department shall have the right to inspect recovered materials prior to disposal by sale or scrap. This requirement will be satisfied by the UTILITY giving written notice or oral notice, with written confirmation, to the Department of the time and place the materials will be available for inspection. This notice is the responsibility of the UTILITY who may be held accountable for full value of materials disposed of without notice. It will be the responsibility of the Engineer and the Utility Agent to inspect this material at the time and place designated by the UTILITY and record in the utility diary the results of the inspection.
 
The Engineer shall record in his diary a listing of major components of the materials recovered which he has inspected including his findings as to such materials being unsuitable for reuse and whether the materials are to be disposed of by sale or scrap. If there are materials to be scrapped, which, in the opinion of the Engineer and the Utility Agent would have some resale value, the diary should contain this information and written notice should be given to the State Utility Manager.
 
The dollar value of the materials recovered and found to be unsuitable for reuse is negligible on many of the utility adjustments. There are adjustments where such materials represent considerable value; therefore, it is considered advisable to point out that the scope of the inspection and degree of documentation should be commensurate with the dollar value of the materials involved.

UTILITY BILLS
 
A UTILITY may submit a progress or partial billing based upon the estimated percentage of the work performed, not to exceed 95% of the total estimated cost. When the UTILITY has completed all work for which reimbursement is to be made, the UTILITY will submit to the State Utility Manager a detailed invoice indicating the total cost of the work. This invoice is forwarded to the Engineer to be checked against the information contained in the utility diary. It is important that the diary contain sufficient information to reasonably verify the invoice items. If there are major items shown on the invoice which cannot be reasonably substantiated by the Engineer's records, he is to advise the State Utility Manager, in writing, of any discrepancies or known justification for discrepancies.

105-9 CONSTRUCTION STAKES, LINES, AND GRADES
 
Unless otherwise required by the contract, construction stakeout shall be performed by the Department or its agent. It is the Department's policy that in roadway operations, the Department will establish clearing limits, profile grades, and set slope stakes, line and grade stakes for all drainage structures and ditches, subgrade, and/or finished grade blue-tops, and any other stakes considered necessary by the Engineer for the Contractor to satisfactorily complete the work.
 
In bridge and reinforced concrete box culvert operations, it is the Department's policy to establish all lines and grades necessary for the construction of the structure that requires the use of a surveying instrument to establish said lines and grades. It is the Contractor's responsibility to work from these established controls to perform all necessary layout of the structure. The Department shall not perform, supervise or direct the work of laying out form lines, establishing pile locations, etc., as this work is the responsibility of the Contractor.
 
It is the Contractor's responsibility to guard and preserve all controls established by the Department. If the Contractor fails to do this and said failure and negligence on the part of the Contractor results in their destruction, the Engineer shall so advise the Contractor in writing. If, after this written notification, the Contractor continues to destroy the controls, the Engineer shall advise the Contractor in writing that he is keeping cost records of replacement costs and that these costs shall be deducted from monies due the Contractor. Prior to the latter notification, the Engineer shall consult with the Division Construction Engineer.
 
Prior to beginning the stakeout of any phase of the work, the Engineer, Party Chief, and Contractor's supervisory personnel shall have a mutual understanding as to how the phase is to be staked. In particular, it shall be made clear to the Contractor as to the meaning and interpretation of said marks. These discussions with the Contractor's personnel shall be documented in the project diary.
 
It is absolutely necessary that the construction stakeout be coordinated with the Contractor's plan of operations. This requires a cooperative attitude on the part of both parties. Prior to or during the preconstruction conference, the Contractor should advise the Engineer as to his proposed sequence of operations. As the work progresses, the Contractor should advise the Engineer with adequate notice as to any changes that are to be made in the original plan. If the Engineer does not feel he is adequately advised as to the Contractor's plan of work, he shall write the Contractor requesting a written breakdown of the Contractor's planned operations by phases, locations, and times. With this information, the Engineer shall coordinate and plan the stakeout operations such that the Contractor's operations will not be delayed due to a lack of stakes.
 
It is suggested that only one designated representative of the Contractor, usually the Superintendent, be allowed to request stakes of highway personnel. This will assure that the Contractor is aware of all staking needs such that the most critical stakes can be placed first and will provide the Prime Contractor with a set method to coordinate various Subcontractor's staking needs. It is recommended that a “Staking Request Form” be given to the Contractor at the preconstruction conference. The Contractor should submit the forms indicating a staking sequence.

105-10 AUTHORITY AND DUTIES OF THE TECHNICIAN
 
The Engineer shall delegate the authority to inspect all or any part of the work and any materials incorporated into the work. These individuals shall be made known to the Contractor's representatives by the Engineer such that there will be no misunderstanding as to the authority of the individuals. The purpose of this inspection is to provide documentary assurance that the work and materials are in conformance with the terms of the contract.
 
The Technician shall bring to the Contractor's immediate attention any work or material that is not in conformance with the contract provisions. If the Contractor fails to take corrective action, the Technician has the authority, if delegated by the Engineer, to stop the Contractor's operations by a written order. Such written order does not have to be in typed letter form but may be handwritten and delivered by hand to the Contractor's supervisory personnel. Such orders shall list the reasons for work stoppage. A copy of this order shall be retained by the Department’s representative. A blank sheet in the diary is an excellent place to write the order, so a copy will be retained by the Technician.
 
In the event a work stoppage order is issued by the Technician, he shall immediately contact the Engineer. The Engineer shall promptly make an on-site investigation and take such actions as are necessary.
 
The Technician does not have the authority to supervise or direct the Contractor's operations; in fact, he shall not do this. It is the Contractor's responsibility through his supervisory personnel assigned to the project to direct the operations of his forces. This is in accordance with Article 105-6 of the Specifications.
 
The Technician does not have the authority to operate the Contractor's equipment, set, move, or tamper with gauges, dials, feeds, and the like. In accordance with Article 108-5 of the Specifications, it is the Contractor's responsibility to furnish sufficient workmen, methods, and equipment to complete the work in accordance with the terms of the contract.
 
It is the responsibility of the Engineer to see that individual Technicians are thoroughly familiar with the contract requirements and certified for the various phases of work which they are called upon to inspect. He shall also make certain that each Technician fully understands his limits of responsibility and authority as may be delegated by the Engineer. As in all other organizations, Department inspection personnel have varying degrees of experience and qualifications. The Engineer must become knowledgeable of his Technician's abilities such that he may delegate authority to the Technician commensurate with his proficiency and knowledge of the contract provisions and construction procedures.
 
There shall be maintained on the project at all times a set of plans, copy of the Standard Specifications, and a bound copy of the contract including Project Special Provisions and Standard Special Provisions and Permits. It shall be the duty of all Technicians to study the contract requirements relating to the job they have been assigned and they must be familiar with all the details of the work to be done.
 
The Technician shall maintain all records and reports in accordance with the applicable provisions of this Manual.

105-11 INSPECTION OF WORK
 
This article of the Specifications provides that Department representatives shall have access to all portions of the work. The Contractor shall allow and provide reasonable access to all parts of the work to the Department's representatives and the Contractor shall cooperate with the representatives making the inspection by providing such information and assistance as is necessary for a complete inspection. In no circumstance should the safety of the Department's representative be jeopardized when performing the inspection.
 
Having access to all parts of the work does not give the Engineer and/or Technician the right to interfere with the Contractor's operations. Occasionally, however, the Technician may have to stop the work for a sufficient length of time to sample, test, or check measurements. This should be done as expeditiously as possible.
 
If the Contractor does not allow access to the work and does not cooperate with Department representatives in making the inspection, the provision of this article of the Specifications must be brought to his attention. Continued failure to provide access and cooperation is grounds for suspending the work in accordance with Article 108-7 of the Specifications. Except in cases of emergency, suspension on these grounds shall not be invoked without first consulting with the Division Construction Engineer.
 
If the Technician has reasonable grounds to believe that any finished work is not of the quantity or quality required by the contract and if the Technician has been delegated the authority by the Engineer, he may require the Contractor to remove or uncover such portions of the finished work as may be suspected of being defective. When the suspect work is exposed, the Technician shall immediately investigate the conditions and take such samples and make such tests or visual observations as may be required to document whether the suspect work does conform to the requirements of the contract. The results of this investigation shall be covered in every detail by appropriate entries in the project diary. In any event, the work shall be restored in a manner such that the finished work does, in fact, comply with the requirements of the contract.
 
During the course of removing, uncovering, and restoring the work, cost records shall be maintained by the Contractor and the Technician. If it is determined the suspect work is not defective, payment will be made to the Contractor for all of the work involved in removing, uncovering, and restoring the work based upon the verified actual cost of performing the work. If it is determined the suspect work is defective, no additional compensation will be allowed the Contractor for removing, uncovering, or restoring the work.
 
It may well be that the final decision relative to payment for this work will not be made until after final acceptance of the project. Accordingly, it must be repeated that exceptionally detailed documentation of all circumstances surrounding the work must be maintained by project personnel.
 
This article also provides that representatives of other units of government or political subdivisions, paying a portion of the cost of the work, railroad corporations and utility owners shall have the right to inspect the work. Unless otherwise indicated in the contract, these representatives do not have the authority to issue instructions directly to the Contractor but must act through Department project personnel. It is the Department’s responsibility to cooperate fully, to the extent possible, under the terms of the contract, with these outside representatives.

105-12 UNAUTHORIZED WORK
 
Unauthorized work may be generally defined as follows:
  
  1. Work which is performed beyond the limits indicated by the contract and/or lines and grades established by the Engineer unless specific authority has been granted by the Engineer to exceed these limits.  
     
  2. Work performed without lines and grades having been established prior to performance of the work unless the Engineer has given specific approval to perform the work prior to establishing lines and grades.  
     
  3. Work performed contrary to instructions given by the Engineer.  
     
  4. Extra work which is performed prior to approval being given by the Engineer as required in Article 104-7 of the Specifications. 
The Engineer should make every effort to prevent the performance of unauthorized work. This may be accomplished by (a) carefully coordinating the project stakeout with the Contractor's plan of operations, (b) making certain the Contractor thoroughly understands the marks and stakes by which the limits of the work are established, (c) making himself thoroughly familiar with the contract such that instructions given to the Contractor are at all times in accordance with the terms of the contract, and (d) promptly advising the Contractor, in writing, when unauthorized work is observed on the project.
 
In reference to Item (c) above, the Engineer should not knowingly instruct the Contractor to perform extra work without advising the Contractor that the work to be performed is, in fact, extra work. Guidelines for making this interpretation are contained in Article 104-7 of this Manual. On the other hand, however, failure on the part of the Engineer to so notify the Contractor does not relieve the Contractor of his responsibility to follow the procedures outlined in Article 104-7 of the Specifications nor does said failure on the part of the Engineer entitle the Contractor to additional compensation for the performance of unauthorized extra work.
 
Prior to invoking the sanctions provided in the Specifications, the Engineer should consult with the Division Construction Engineer. All circumstances surrounding the performance of unauthorized work shall be documented in the project diary. This article is not intended to be used in lieu of a temporary suspension of work order when the Engineer determines that a stop work order is prudent. See Article 108-7 for guidance in suspending work.

105-13 LIMITATIONS OF OPERATIONS
 
To restrict the Contractor's operations is a very serious undertaking. Unless the restriction is strictly in accordance with the terms of the contract, the Department could become liable for payment of additional compensation and be obligated to extend the completion date. Accordingly, in all cases where the Engineer is considering restricting the Contractor's operations under this provision, he shall first consult with the Division Construction Engineer.
 
Normally, restrictions on the Contractor's operations will be listed in the Project Special Provisions in the form of phased construction. The Engineer shall always enforce these restrictions. Other causes for restriction will generally be limited to those instances where the Contractor's operations represent a hazard to the general public or impair the function of the facility being constructed where traffic is being maintained.

105-14 NIGHT WORK
 
Today, much of the construction is being performed on roadways that are open to public traffic and the contract documents restrict the periods during which certain portions of the work may be performed or require the work to be performed at night and on weekends. The Contractor may be required to provide specified lighting or submit for approval the lighting he proposes to utilize for the night work. If the Contractor elects to perform night work, the Engineer has the authority to restrict those operations to those which are adequately lighted to provide for safe and proper construction and adequate inspection. The Engineer should investigate local noise ordinances to determine if night work is permitted. If night work is prohibited on a particular contract, it will be so stated in the contract Special Provision.

105-15 RESTRICTION OF LOAD LIMITS
 
The implementation of the provisions of this article of the Specifications is primarily a function of the Division Engineer. Letters from the Contractor requesting an increase in posted load limits shall be addressed to the Engineer. The Engineer shall investigate the route(s) in question and forward the Contractor's request to the Division Engineer with appropriate recommendations. The Division Engineer and, if posted bridges are involved, the Bridge Maintenance Unit will determine whether or not the Contractor's request will be granted.
 
If it is deemed that the Contractor's request may be allowed, a written agreement shall be entered into setting forth all of the conditions listed in Article 105-15 of the Specifications. This agreement may be in the form of a letter from the Contractor to the Division Engineer and shall be accompanied by a satisfactory bond as required in Item C of this article. (Refer to Records and Reports for a sample copy of a Permit Bond and a Special ‘Light Traffic Roads’ Permit). When the agreement has been approved, the posted weight limits of the affected road and/or bridge will be removed and the maintenance and repair of the road and/or bridge become the responsibility of the Contractor. The Engineer shall advise the Contractor, in writing, of the effective date of the agreement. The agreement and bond will remain on file in the Division Office.
 
Upon completion of the hauling operation, the road and/or bridge shall be inspected by the Division Engineer or his delegated representative, Engineer, and/or the Bridge Maintenance Unit. The Engineer shall advise the Contractor, in writing, of any necessary repairs, giving the Contractor a reasonable length of time in which to make the repairs. If the repairs are not made or if the Contractor has not begun making the required repairs within the stipulated time, the Division Engineer may authorize the work to be performed by State forces. In this case, the Contractor shall be billed for all costs involved in making the repairs. Upon satisfactory restoration of the facility and receipt by the Division Engineer of any monies due the Department for work performed by State forces, the bond shall be returned to the Contractor.
 
If the Contractor’s hauling operations cause damage to existing facilities, the Division may elect to post a facility so that all loads on the facility are reduced.
 
This article of the Specifications also limits the Contractor's use of equipment on pavement, completed base course, and structures to that which complies with the statutory load limits. This provision shall not be altered without specific approval of the State Construction Engineer.

105-16 FAILURE TO MAINTAIN THE PROJECT OR PERFORM EROSION CONTROL WORK
 
If the Contractor fails to perform required maintenance or erosion control operations and the Engineer has reason to believe that said failure will result in (a) an end product not meeting the requirements of the contract, (b) damage to adjacent property, (c) an unnecessary inconvenience to the traveling public, (d) conditions hazardous to the traveling public, or (e) a violation that may result in the issuance of an NOV, ICA, or C & D, the Engineer should take immediate steps to have this work performed.
 
The Contractor should be advised, in writing, of the work required, the necessity for such work, and the sanctions provided for by Article 105-16 of the Specifications. The Contractor should be given a reasonable time to begin and adequately pursue the required work. If the Contractor fails to begin the work within the time limit specified, the Engineer should, with the approval of the DivisionEngineer, take whatever steps are necessary and available to have the work performed by others. Any costs incurred by the Department for work performed by others as provided above in excess of the costs that would have been incurred had the work been performed by the Contractor will be deducted from monies due the Contractor on his contract.
 
This article of the Specifications places a responsibility both on the Contractor and the Engineer to have required maintenance work performed.

105-17 INSPECTION AND ACCEPTANCE
 
The Chief Engineer has delegated the final inspection and acceptance responsibility to the Division Engineer on Purchase Order Projects, Division let contracts, and resurfacing projects with 100% State funds. The Area Construction Engineers will have this responsibility on all other projects. See Preconstruction Conference ​in the Records and Report Section of this Manual for more details.

TWELVE MONTH GUARANTEE
 
Many contracts contain a Twelve Month Guarantee Provision which covers major components of work for which the Contractor is wholly responsible. See Twelve Month Guarantee in the Records and Reports Section of this Manual for more information.

ADDITIONAL RESOURCES 
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 106 CONTROL OF MATERIALCM-01-106
 
 


106-1 GENERAL REQUIREMENTS
 
The contract provides Specifications for all materials that will be incorporated into a project. This article stipulates that all materials used in the work are to be new and unused unless indicated otherwise. The "Minimum Sampling Guide" found in HiCAMS, indicates who is to do the sampling and testing of each material incorporated into the project.
 
Reference should be made to publications by the Materials & Tests Unit for the procedures to be followed in sampling and testing of these materials.

(B) DOMESTIC STEEL
 
The specifications require steel and iron products that are permanently incorporated in a project, to be produced in the United States. However, a minimal amount of foreign steel and iron products are also permitted to be used in the project. The “minimal amount” is based on the combined cost of the foreign material utilized in a project. The combined costs of the foreign steel cannot exceed 0.1% of the contract bid amount or $2,500.00, whichever is greater. The Resident Engineer should ensure that the total cost of multiple items of foreign steel do not exceed the above thresholds. The contractor should provide invoices to show the actual, invoiced cost of the foreign steel or iron products. If the contractor does not provide invoices for the foreign steel, the bid amount of the item will be used to calculate the cost. If the foreign steel component is part of a lump sum item, only the actual, invoiced cost of the component will count against the allowable threshold. If invoices are not provided for the component which is part of a lump sum item, the entire amount of the lump sum item will count against the allowable threshold.
 
In addition, the contractor and/or subcontractor is responsible for providing documentation to certify the steel permanently incorporated in a project is produced in the United States and verify his effort to purchase domestic steel by dong the following:
 
  1. Furnish to the Engineer a notarized certification, certifying the steel product meets the Domestic Steel requirements.  
     
  2. Maintain a separate file for steel products incorporated in any project to verify the effort the contractor put forth to purchase domestic steel. 
The minimal amount of foreign steel cannot include high strength fasteners.

106-2 SAMPLES, TESTS, AND CITED SPECIFICATIONS
 
The Engineer is responsible for performing sampling and testing at the frequency listed in Minimum Sampling Guide. Additional tests may be performed as the Engineer deems necessary.

106-4 DELIVERY AND HANDLING OF MATERIALS
 
All materials are to be handled so that they will meet the Specifications when incorporated into the project. Materials that have been inspected and approved should be rejected by the project personnel when they are judged as not meeting the contract requirements at the time of installation. The appropriate Section Materials Specialist is available to help make decisions of acceptability of materials which may be in question. For example, reinforced concrete pipe that has been stamped approved may be damaged during delivery and subject to rejection.

106-5 STORAGE OF MATERIALS
 
The Engineer has the authority to control the storage of material within the right of way of the project. On projects where traffic is maintained, the Engineer should ensure that no material is stored adjacent to the travel way to cause any hazard to the traveling public. The Engineer should also ensure that no materials are stored in environmentally sensitive areas. Materials such as bagged cement, seed, etc., should be stored in such a manner as to prevent deterioration. If the Engineer or his representative suspects deterioration of a material, the Section Materials Specialist should be consulted prior to the material being incorporated into the project.

106-6 INSPECTION AT SOURCE
 
The inspection of materials at the source will be performed by the Materials & Tests Unit or by their representatives. Upon receipt of the Materials Received Report, the Materials & Tests Unit will forward the appropriate test results to the Engineer. When the pretested material is stamped approved in accordance with the list of approved stamps published by the Materials and Tests Unit, tagged with metallic non-colored M&T tags, tagged with F&R tags, or is liquid asphalt, it may be incorporated into the project upon receipt except that the germination of seed shall be verified. When the pretested material is tagged with red M&T tags, the material is not to be incorporated into the project until test reports have been received by the Engineer or until he has received verbal approval from the Materials and Tests Unit that the material meets the contract requirements.
 
The Materials and Tests Unit will determine if and when the Contractor is to be billed for testing of materials which were ordered by the Contractor but were not incorporated into the project.
 
Materials tested at the source of supply are subject to testing and rejection after being delivered to the project. An example of this is liquid asphalt which may become contaminated in transport tankers or in the Contractor's storage. Another example is concrete pipe, prestressed concrete items, etc., which could be damaged in handling and not be within the Specifications on the project.

106-7 SCALES AND PUBLIC WEIGHMASTER
 
Upon delivery of the material to the project, the truck driver will give one legible weigh ticket to the Technician. The Technician should check the weigh ticket to ascertain that all required information has been provided. The Technician shall sign the certificate to certify delivery, list the time of delivery, and list the location of delivery (station, etc.). These weigh tickets will be forwarded to the Engineer no later than the following day and retained as a part of the project records.
 
The Technician should periodically reweigh trucks delivering material to the project for which payment is to be made on the basis of weight. The trucks should be weighed on approved platform scales. Random loads of material should be discretely selected by Department personnel on a periodic basis and reweighed to check the weighing devices to verify their correctness and to check and verify the weight certificate issued by the Public Weighmaster. A check of the weighing device would be performed on different scales; whereas, the check to verify the weight certificate issued by the Public Weighmaster could be made on the same weighing device if platform scales were utilized. The allowable difference between the weights being compared should not exceed 0.4% of the weight. This weight comparison should be shown on the individual ticket along with the signature of the Department's employee who observed the reweighing.
 
In the event this check reveals a discrepancy between the recorded and observed weights, Department personnel will investigate and attempt to determine the reason for the variance. The reason should be noted on the ticket and the ticket corrected if the cause for the variance is determined.
 
Whether tickets are stamped or printed with the Weighmaster’s certification number, the certification expiration date should be reflected on the ticket.
 
Technology has developed and the methods of producing the required information on weigh tickets have evolved. In general, all the information on the weight ticket can now be computer generated; which includes the Weighmaster’s stamp and signature. If the stamp is computer generated, the Weighmaster’s certification number and the certification expiration date shall be reflected on the ticket. If a ticket is printed with the Weighmaster’s signature, then an electronic signature is acceptable, which may occur where the Weighmaster is in one building and the weight ticket is printed somewhere else, such as a gatehouse. In this case, a signature is made on a device and then transmitted to the printer. A stored electronic signature that anyone would have access to is not acceptable. If there are questions about whether the electronic weighmaster system is acceptable, the Materials and Tests Section Materials Specialists should be contacted.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 107 LEGAL RELATIONS AND RESPONSIBILITY TO PUBLICCM-01-107
 
 


GENERAL
 
The Specifications set forth the legal relationships between the Contractor and the Department, the FHWA, other governmental agencies, and the general public. It describes the Contractor's liabilities that may be incurred due to damages as may arise out of the prosecution of the work. It sets forth the provisions relative to the protection of the environment. It is not the intent of this section of the Manual to attempt legal interpretations. Accordingly, the detailed discussions are limited to those provisions which require direct implementation by engineering personnel. It is the policy of the Department that the Attorney General's office will be contacted for written legal opinion only by the Administrator or Chief Engineer. Inquiries concerning the need for legal opinions should be directed to them.

107-1 LAWS TO BE OBSERVED
 
Briefly, this is an indemnification clause protecting the Department or its employees from any liability due to the Contractor's failure to abide by laws which affect the work.

107-2 ASSIGNMENT OF CLAIMS VOID
 
By setting forth the fact that the Department will not recognize any assignment of claims by any Contractor against the Department, this is in effect declaring that all payments due the Contractor will be made directly to him except that with the written agreement of both the Surety and Contractor, payment may be made to them jointly. Questions of this nature should be referred to the State Construction Engineer.

107-3 PERMITS AND LICENSES
 
Unless otherwise specified in the contract, it is the Contractor's responsibility to secure all permits and licenses, pay all charges, fees, and taxes, and give all notices necessary and incident to the due and lawful prosecution of the work.
 
In general, the Department is not a policing agency to deliberately investigate and report all such violations. If, however, it is made known to the Engineer that the Contractor has failed to abide by this provision, it is his responsibility to promptly advise the Contractor, in writing, of any alleged violation and give him a reasonable time within which to comply. If the Contractor fails to comply within a reasonable time, it is the Engineer's responsibility to suspend such portions of the work as may be affected by the non-compliance in accordance with Article 108-7.
 
As an exception to the above, the Engineer will fully investigate the special and general conditions of any environmental permits applicable to the project such as Coastal Area Management Act or Corps of Engineers permits to ascertain compliance with all conditions. In the event a discrepancy is discovered between the work being accomplished, whether in accordance with approved plans or not, the Engineer shall conduct an immediate investigation. Work found not to be in compliance with the approved permit(s) shall be immediately suspended. Work may resume when the permits are amended and approved.

107-4 PATENTED DEVICES, MATERIALS, AND PROCESSES
 
This is an indemnification clause protecting the Department from any liability for claims arising out of the Contractor's infringement of any patented agent.

107-5 ENCROACHMENT ON RIGHT OF WAY
 
In no case shall any utility cross or otherwise occupy the right of way without written permission of the Department. The utility owner, his agent, or Contractor must have available at the utility construction site at all times during utility construction, an approved copy of the utility agreement with plans attached. The Engineer will be furnished copies of all authorized utility agreements and it will be his responsibility to ensure that all installations on the right of way are authorized. The Engineer or his designated representative will have the authority to stop any unauthorized work. Following the completion of the project, the Engineer shall transmit one copy of each encroachment agreement to the District Engineer and one copy to the Division Engineer.
 
Cases will arise where private owners or business enterprises either deliberately or unknowingly excavate, fill in, begin construction of temporary or permanent type structures or signs on the project right of way. Although it is within the authority of the Engineer to stop work of this nature immediately, direct action should be delayed to the extent of contacting the property owner or business to determine the exact nature of the work and if at all possible, contact the Division Engineer or Division Right of Way Agent.
 
It is the duty of construction personnel to assist in the enforcement of these regulations on projects under construction, and also to call to the attention of the Division Engineer or appropriate District Engineer any known violation which they may observe along any highway in their Division.

107-6 FEDERAL PARTICIPATION
 
Federal participation in state highway construction is administered by the Federal Highway Administration (FHWA) of the United States Department of Transportation. During the preconstruction phases of a proposed project, an agreement is consummated between the Department and the FHWA which sets forth the monetary amount of participation on a percentage basis depending upon the Federal Aid system on which the project is to be constructed. These construction projects are commonly referred to as "Federal Aid Projects."
 
In this agreement, it is provided that the FHWA will extend monetary assistance and in return the Department is charged with the responsibility of administering the contract with such engineering control, inspection, policies, and procedures that the project will be constructed in accordance with the terms of the contract and that the finished materials and workmanship will be in reasonably close conformance with the requirements of the Specifications. It is also a requirement of the agreement that the Department maintain documentation of contract pay quantities and progress of the work in accordance with the procedures set forth in this Manual.
 
Some Federal Aid projects require "step-by-step" approval or follow "certification acceptance" procedure during the construction of the project. However, the FHWA reserves the option to change the designation of a project from certification acceptance to step-by-step approval. This change would be made during the preconstruction phase of the project. Projects designated as requiring step-by-step approval will be periodically reviewed by representatives of the FHWA during the construction phase of the project and approval by the FHWA is required prior to making major changes in the work. Department representatives perform all reviews and approvals on projects designated to follow certification acceptance procedure. If a project is step-by-step, it will be noted in the “Review Contract Details” in HiCAMS.
 
On all Federal Aid projects requiring step-by-step approval, representatives of the FHWA will make periodic inspections to determine if the Department is abiding by the terms of the agreement. Such inspections will include investigations of various phases of work in progress, adequacy of inspection, maintenance of traffic, engineering control, documentation in records and reports, and compliance with all federal requirements contained in the Special Provisions of the contract. During these visits, the Engineer shall cooperate fully with FHWA representatives by making all files, project records, and parts of the work available for inspection. He shall also, to the best of his knowledge, answer any questions concerning the work. On those Federal Aid projects requiring step-by-step approval, the FHWA must approve all changes and extra work. This approval will be made prior to such changes being made. Changes requiring advance approval would include work requiring negotiated prices or where force account provides the basis of payment, significant plan revisions, overruns, and underruns of quantities which would result in a major change in the cost of federal participation, and generally, any change which would require a Supplemental Agreement except as noted in the Records and Reports Section of this Manual.
 
On non step-by-step projects, prior FHWA approval is not required regardless of the amount.
 
On step-by-step projects changes in the work of this nature and/or magnitude will require concurrence of the Division Engineer, State Construction Engineer, Area Construction Engineer and the FHWA. Accordingly, when the Engineer discovers in advance that such changes are going to be required, he should first consult with the Division Construction Engineer. Wherever possible, he should also bring these impending changes to the attention of the Area Construction Engineer and the FHWA's Area Engineer.
 
On Federal Aid projects designated to follow certification acceptance procedure, the Department assumes the responsibilities of the FHWA and performs the inspections and approvals otherwise performed by FHWA representatives under projects requiring step-by-step approval. In essence, the FHWA will not be involved in the normal overview and step-by-step approval process in the construction phase of the project. However, the FHWA reserves the right to become involved in the project and must still be notified in advance of all final inspections. Subsequently, the Department is placed with the burden to operate consistent with our governing procedures and with proper contract administration and construction management.
 
On Federal Aid projects following certification acceptance procedure, representatives of the Department will do the following: perform construction supervision, inspection and engineering, and record keeping; verify project charges; approve change orders and construction revisions; and resolve contract claims. The FHWA shall be notified of any major claims of an unusual or controversial nature and any major changes in the design or standards resulting in the need for a design exception. FHWA representatives will not normally make periodic inspections during the course of the project but shall be contacted in advance of all final inspections. Final inspections will be made by Department representatives and should not be delayed pending the FHWA's attendance. Every effort should be made to administer construction projects in accordance with proper contract administration and construction management regardless of whether a Federal Aid project is designated to require step-by-step approval or to follow certification acceptance procedure.

107-9 COORDINATION WITH RAILWAY
 
For those contracts containing Special Provisions which require the Contractor and all Subcontractors to have railroad insurance, the following procedure is to be followed:
 
  1. It shall be the responsibility of the Division Engineer to review the Special Provisions relating to the special railroad insurance and to discuss them at the preconstruction conference. The Contractor shall be advised that neither he nor any of his Subcontractors will be permitted to perform any work within the limits specified in the contract until all required insurance has been approved by both the railway company and the Department. The Contractor shall also be advised that all correspondence pertaining to the insurance policies and certifications including the submission of them for approval shall be to the State Railroad Agent. This shall be recorded in the minutes of the preconstruction conference (see Article 108-3).  
     
  2. After notification of award of the contract, the State Railroad Agent will write the Contractor and give him specific instructions as to the procedures to be followed in the preparation of the required insurance. A copy of the Insurance Special Provisions will be attached to the letter to the Contractor. A copy of the letter will be sent to the Contractor's insurance agency with a copy of the Insurance Special Provisions attached. One copy of the letter will also be sent to the Division Engineer and one to the Resident Engineer.  
     
  3. As instructed in the letter, the Contractor or his insurance agency shall submit the required insurance, in its entirety, to the State Railroad Agent for review and further handling with the railway company.  
     
  4. The policies and Certificates of Insurance will be reviewed by the State Railroad Agent. If correct, they will be forwarded to the railway company for approval with copies of the letter of transmittal being sent to the Division Engineer, the Resident Engineer, and if the project is a Federal-Aid project, the FHWA with a copy of the Certificate of Insurance. If incorrect, the State Railroad Agent will handle any communications necessary for corrections with the Contractor's insurance agency, primarily by telephone. Should it be deemed necessary to handle by letter, the State Railroad Agent will write the Contractor's insurance agency and set forth the specific corrections required with copies of the letter being sent to the Contractor, the Division Engineer, and the Resident Engineer.  
     
  5. When railway company approval of the insurance policies and Certificates of Insurance have been received by the State Railroad Agent, the Resident Engineer will be notified of approval by copy of a memorandum to the Division Engineer. The date the policies expire will be shown in the memorandum of approval. The Contractor cannot begin work in the railroad right of way until these policies are received.  
     
  6. The Resident Engineer shall advise the Contractor, in writing, that his insurance has been approved and shall also show the date that the policies expire. Copies of this letter shall be sent to the Division Engineer and the State Railroad Agent.  
     
  7. At least 30 days prior to expiration of any policy, the State Railroad Agent will advise the Contractor by letter as to the date a specific policy will expire with a copy of the letter to the Contractor's insurance agency, the Division Engineer, the Resident Engineer, and the affected railway company.  
     
  8. Insurance for a Subcontractor will be handled as set forth in Items (2) through (7) when work is to be performed in a railroad right of way by a Subcontractor. When the Resident Engineer approves the Subcontract Approval Form (SAF), for this work, the State Railroad Agent shall be mailed or, when approval needs to be expedited, faxed a copy.  
     
  9. In those instances where a minor portion of a sublet contract item is to be performed within the railroad right of way, insurance for a Subcontractor will not be required if the Prime Contractor will perform that portion of the work within the railroad right of way. A minor portion of a contract item would be 10% or less. The entire contract quantity would be shown on the Subcontract Approval Form (SAF), with an explanatory note to the effect that the portion of work for the affected line items within the railroad right of way will be performed by others.  
     
  10. Whenever work is performed within railroad rights of way, the Prime Contractor and the Subcontractor shall maintain appropriate insurance coverage. The Prime Contractor is also required to ensure that those workers who perform work within the railroad right of way are legitimate employees of the Prime Contractor or Subcontractor with appropriate insurance coverage.
     
  11. The State Railroad Agent will communicate directly with a Contractor, Subcontractor or insurance agency. The State Railroad Agent will relieve the Resident Engineer of all responsibilities related to the contract insurance requirements except authorizing the Contractor or Subcontractor(s) to begin, continue or resume work on railroad right of way, and determining the necessity of a Subcontractor to furnish insurance as set forth in Item (8) above. 
It is realized that railroad insurance is a special item and the Resident Engineer is not expected to be familiar with all insurance requirements. The State Railroad Agent will be responsible for the administration and technical review of the provisions.

107-10 WORK IN, OVER, OR ADJACENT TO NAVIGABLE WATERS
 
Prior to the final design of bridges and approaches over navigable streams, the Department secures all necessary permits from the U. S. Coast Guard. Similar permits are obtained from the Corps of Engineers for work proposed in constructing highways parallel to and encroaching on navigable streams. Any special condition of these permits will be outlined in the Special Provisions.
 
If a Contractor of his own volition during construction desires to construct haul roads or borrow pits which affect navigable waters and which are not specifically covered in the project permit, he must initiate the action to secure an additional permit from the Corps of Engineers coordinating as necessary with the Department.

107-11 PROTECTION AND RESTORATION OF PROPERTY
 
This article of the Specifications holds the Contractor liable for any act, omission, negligence, or misconduct on his part which results in damage to any property. This includes underground and overhead utility facilities, previously completed work, adjacent properties, and any other property directly or indirectly affected by his prosecution of the work.
 
The Department’s project personnel should assist the Contractor in avoiding damages by warning him of known underground facilities, the limits of project right of way, and/or easements in any operations connected with the prosecution of the work which it appears may result in property damage. These personnel must also guard against giving instructions to the Contractor which would result in property damage.
 
On some projects, the established right of way width purposely does not contain the outer limits of project construction. In these cases, permanent or temporary construction easements are included in project right of way agreements. These easements may be specific as to the limits involved or may be general in the sense that they include areas more than sufficient for project construction. The forces responsible for staking the project should be fully informed as to the project right of way limits and all construction easements which have been obtained by the Right of Way Department. This information may be obtained by securing copies of all project right of way agreements.
 
All stakeouts shall be confined to the limits described in the right of way agreements. In no case, shall the Resident Engineer allow the Contractor to proceed with construction outside the previously obtained limits on verbal authority from the property owner. Failure on the part of the Resident Engineer to follow this procedure may result in the Department being liable for property damage.
 
If property damage does occur due to the Contractor's operations, the Resident Engineer shall advise the Contractor, in writing, of such damage and direct him to restore the same within a reasonable period of time. If the Contractor fails to make the corrections within the stipulated time, the Resident Engineer shall consult with the Division Engineer to determine the method of restoring the damage. In the event restoration is made by State forces, the cost of performing such work will be deducted from any monies due the Contractor.
 
The Engineer should urge the Contractor's cooperation with property owners and postal service employees to ensure mail delivery to property owners affected by project construction during the life of the project.

107-12 CONTROL OF EROSION, SILTATION, AND POLLUTION
 
(A) GENERAL
 
The General Assembly of 1973-1974 enacted into law the N. C. Sedimentation Pollution Control Act of 1973 and amendments to the Act of 1974. This is a comprehensive and strict law which governs the control of sediment in construction type activities, both public and private. As a result of this law, the Department developed an Erosion and Sedimentation Control Program and submitted it to the N. C. Sedimentation Control Commission, who approved it for use by the Department in lieu of their published program. The Department’s program consisted of the Standard Specifications for erosion control and the assurance that the Sedimentation and Pollution and Control Act would be adhered to. The Department is allowed to operate under this program because it was felt the same results could be achieved. The approval of this program must be renewed each year and can be revoked at any time it is determined the Department is not meeting its obligations. If the Department were not able to operate under this blanket program, it would require individual project submission to the N. C. Sedimentation Control Commission for approval and put another step and delay in the chain of requirements before a project can be constructed. For this reason, if for no other, it is imperative that the Department require Contractors to live up to the requirements and obligations imposed by its contracts.
 
It is the policy of the Department to prevent or retain all accumulations of sediment developed as a result of erosion within the project limits. This same policy holds true for waste, borrow, and soil type base material sources outside the right of way, to the extent that all accumulations of erodible material will be confined to the work site area. This containment of erodible materials will be in accordance with the applicable provisions of the Specifications and this Manual.
 
The Specifications provide the Resident Engineer with the authority to limit the areas over which the Contractor may carry out clearing and grubbing, excavation, borrow, and embankment operations. Reference should be made to the applicable provisions of the Specifications and this Manual for guidelines to follow in carrying out this authority.
 
The General Assembly of 1971 enacted into law "The Mining Act of 1971." This Act provides that, except for on-site construction activities, "mining" shall consist of the breaking of the surface soil for the purpose of extracting of minerals, ores, or other solid matter over any area in excess of one acre. It further provides that no mining operations shall commence until the operator or firm proposing to perform the mining has submitted a "Plan of Reclamation" to the Mining Council for approval and subsequent permit. By prior agreement, the Mining Council has determined that the provisions of the Standard Specifications represent an acceptable "Plan of Reclamation" and accordingly, has extended an exemption to Contractors performing work in borrow and soil type base course pits solely for the purpose of construction of public roads systems of North Carolina. This exemption applies only to those natural material deposits listed. Contractors are required to obtain permits for all other "mining" operations.
 
This is mentioned in this Manual to emphasize the fact that the exemption as allowed is based on the premise that both Department and Contractor personnel will see to it that the applicable provisions of the contract relating to shaping, draining, controlling of erosion, and reclamation within these areas will be fully enforced. Failure to enforce these provisions may result in the exemption being revoked.
 
It is further the policy of the Department, to the extent possible and/or practicable, to protect the natural beauty, water supplies, and atmosphere of the State from damage by construction activities within the terms of the contract and all applicable laws and ordinances affecting such operations. The public is made aware of environmental protection measures included in individual contracts through public hearings and environmental impact statements. The Engineer must make himself fully aware of the applicable terms of the contract and take such actions as will prevent damage from occurring.
 
Best Management Practices (BMP) are activities, practices and procedures undertaken to prevent or reduce water pollution. The Engineer should use these BMPs consistently on all projects.

(B) EROSION AND SILTATION CONTROL
 
The Contractor shall install erosion control devices in accordance with the contract documents. The size and type of many measures are dictated by the erodible surface that a Contractor may plan to expose in one drainage area.
 
The purpose of erosion and siltation control is to provide protection for natural streams, water impoundments and adjacent property from eroded materials. The Engineer should be aware of the restrictions contained in the Specifications and, by appropriate consultation with representatives of the Roadside Environmental ​and Construction Units, see that adequate devices are installed to control siltation during construction. All devices must be maintained in order to be effective. If devices are overcome by extremely heavy rains, the Department, acting through the Contractor, must rebuild and restore the devices so that they will continue to function.

(C) COORDINATION OF EROSION CONTROL OPERATIONS
 
Incorporate the required erosion control measures into the project in an expeditious and continuing manner. If, due to impracticality or seasonal limitations, permanent features cannot be constructed, temporary measures must be coordinated with the various phases of construction. These provisions list some temporary measures that may be taken, but the Engineer should never feel limited to those features listed in this provision or in the plans.

(D) WATER AND AIR POLLUTION
 
The North Carolina Department of Environmental Quality (DEQ) has developed and published rules and regulations governing water and air pollution in North Carolina. This agency has a staff that visits construction projects for the purpose of determining if any violations exist. The Contractor is required by Specifications to comply with all applicable laws and ordinances, including water and air pollution laws. Department personnel should cooperate with the staff of DENR in their reviews and should give full consideration to any recommendations that might be made. If a violation is brought to the attention of the Engineer, he should advise the Contractor of the deficiency and request that appropriate actions be taken to correct the situation. Copies of the appropriate rules and regulations should be obtained, if needed, from that agency in order to assure the most current information is obtained.

(E) DUST CONTROL
 
The Contractor may use any recognized dust palliative of his choosing that does not endanger the environment. These may include water, calcium chloride, or other chemical treatments. Dust control shall not be considered effective when the amount of dust creates a potential or actual unsafe condition, public nuisance, or condition endangering the value, utility, or appearance of any property.

(G) SANCTIONS
 
In the event the Contractor fails to provide erosion control measures as directed, the Engineer may temporarily suspend the work wholly or in part by written order as provided by Article 108-7. The Engineer should consider suspending the contractor’s work when the weekly erosion control list has not been completed. If the Contractor fails to perform erosion control work as directed within twenty-four hours of notice, the Division Engineer, in consultation with the State Construction Engineer, can have the work performed with other forces and the cost of performing the work will be deducted from the monies due the Contractor, as provided in Article 105-16.
 
It is the Department’s policy that the Engineer will suspend the contractor’s land disturbing operations when an ICA, NOV or C&D is issued.

107-13 PROTECTION OF PUBLIC LANDS
 
This article places special emphasis on the Contractor's responsibility in preventing and suppressing forest fires within State or National Forests.

107-14 RESPONSIBILITY FOR DAMAGE CLAIMS
 
This article ties together all of the damage and liability provisions of this section of the Specifications. It provides for the withholding of monies due the Contractor for certain claims arising from damages incurred as a result of the Contractor's prosecution of work. For other damage claims, it provides for the Contractor to show proof of protection from such liabilities by public liability and property damage insurance.
 
Generally speaking, monies may be withheld from the Contractor for (a) claims by reason of the Contractor's infringement of patent, etc., (b) amounts paid by the Department by reason of the Contractor's failure to comply with or violations of law, etc., and (c) claims arising from damages caused by the Contractor's failure to control erosion either within or outside the right of way in accordance with the terms of the contract.
 
The Department may withhold monies due the Contractor or may require him to show proof of public liability and property damage insurance for (a) claims for the failure of the Contractor to safeguard the work, (b) claims by reason of the Contractor's failure to erect adequate barricades, warnings, etc., and (c) claims by reason of blasting damage.
 
The examples listed are subject to review on an individual basis by the Division Engineer prior to taking action.
 
In implementing these provisions, it should be understood that it is the intent of these provisions that the Department does not propose to construct a project at the expense of third parties.

107-15 LIABILITY INSURANCE
 
The Contractor shall furnish to the Department an original standard ACORD form certificate of insurance evidencing commercial general liability with a limit for bodily injury and property damage in the amount of $5,000,000.00 per occurrence and general aggregate, covering the Contractor from claims or damages for bodily injury, personal injury, or for property damages which may arise from operating under the contract by the employees and agents of the Contractor. The required limit of insurance may be obtained by a single general liability policy or the combination of a general liability and excess liability or umbrella policy. The State of North Carolina shall be named as an additional insured on this commercial general liability policy.
 
The Resident Engineer should verify that the Contractor has the applicable limits of insurance prior to the Contractor beginning work on the project. 
 
Here is an example of the standard ACORD of certificate.
 
The Contractor and his subcontractors shall provide the Resident Engineer proof of coverage of worker’s compensation insurance prior to beginning work. The Contractor’s proof of coverage may be from an insurance carrier or a certificate of compliance issued by the Department of Insurance for self-insured subcontractors.

107-16 OPENING SECTIONS OF PROJECT TO TRAFFIC
 
This article gives the Engineer the authority to open all or any portion of a project to traffic when it is determined that the Contractor will not complete the project by the completion date. This article only applies when the contract provides that traffic will not be maintained through the project during construction.
 
This action is not taken unless it is deemed absolutely necessary due to extended inconvenience to the traveling public caused by the late completion of the project. Prior to taking such action, careful consideration must be given as to what the ultimate completion date will be as "completion date" includes all authorized extensions. This will require the complete review of the project records to determine if the Contractor is due any authorized extensions of the completion date as may be allowed under Article 108-10 of the Specifications. The placing of traffic on a project prior to expiration of contract time could well lead to the Department of Transportation being liable for extensions in the completion date as well as additional compensation. Requests to open a project to traffic should be made to the State Construction Engineer along with a complete written review in accordance with the guidelines set forth in Article 108-10 ​of this Manual.

107-17 CONTRACTOR'S RESPONSIBILITY FOR WORK
 
This article of the Specifications provides that the project is under the care and keeping of the Contractor until final acceptance (Article 105-17). The Contractor is required to repair at his expense any damage which occurs to the work. Exceptions to this would include, but may not be limited to, the following examples:
 
  1. Damage to any work caused by actions of the elements of such exceptional nature as to be legally classified as Acts of God (Reference Article 101-3 of the Specifications).  
     
  2. Damage caused by the elements to embankments which have been properly constructed, drained, and maintained by the Contractor (Reference Subarticle 235-3(D) of the Specifications).  
     
  3. Damage to seeding and mulching which was caused without the fault or negligence of the Contractor.  
     
  4. Damage caused by work being performed by Department forces.

(A) GENERAL
 
The acquisition of the right of way for a construction project is a function of the Right of Way Branch. This portion of the Manual will, therefore, be limited to the responsibilities and duties of the Engineer and his assigned construction personnel in seeing that all work on the project is contained within the limits of the acquired right of way or construction and drainage easements and that all special conditions set out in the right of way agreements are carried out.
 
In accordance with practice and procedure in effect within the right of way, the Right of Way Agent will prepare a list of all items of work to be done by the Department or its Contractor which may have been agreed upon during negotiation and will furnish this list to the Division Engineer and the Resident Engineer. This list will contain, but not be limited to, such items as restoration of driveways, resetting of fences, sloping of banks, modification of drainage easements, etc. The Division Engineer or Resident Engineer will also be notified of any instance where a property owner has been allowed extended occupancy of a building beyond the date of contract award or any other instance of delayed right of entry. In the event it is determined when the project is staked that additional construction easements are needed or if any question arises relative to the administration of the right of way, the Engineer is to contact the Division Right of Way Agent immediately.
 
With the above mentioned information and services which are made available to the Engineer, it should be reemphasized that in no case, even at the direct request of the property owner, should work be performed outside of the limits of the acquired right of way, construction, or drainage easements without the execution of a written agreement between the property owner and the Department covering the work to be performed.

(B) CONDEMNED PROPERTIES
 
In certain cases, the Right of Way Branch cannot obtain the necessary right of way for a project by negotiation. In these cases, condemnation proceedings are started by the Right of Way Branch and a declaration of taking and complaint is filed prior to the award of the contract. A plan sheet showing the property is filed with the complaint and, if the condemnee files an answer, a detailed map of the property is filed along with the other documents. These detailed maps are prepared by the Property Survey Section of the Location and Surveys Unit. When only a part of the property is to be taken, this map shows the right of way lines and/or construction easement lines with respect to the property boundaries and also the general topography of the property. After the map has been prepared, it is sent to the Division Right of Way Agent who will consult with the Resident Engineer to determine that all slope easements, drainage easements, right of way lines, etc. are properly shown on the map and that the actual construction limits of the project are contained within the various lines shown on the map. This check of the map is very important in that inaccuracies discovered in the map during the actual trial can result in great embarrassment and loss to the Department.
 
Department forces and Contractor's forces are to confine all their work to the areas shown on the plans and the detailed map if it has been prepared. This should be emphasized during the project preconstruction conference and at that time the Contractor should be given a list of all condemned property on the project and impressed with the importance of staying within the areas designated. Should the Contractor, for any reason, work or park equipment outside the designated area, he should know that it is his responsibility and that any transaction between him and the property owner does not include the Department.
 
Any question arising as to the administration of the right of way on condemned property should be referred immediately to the Division Right of Way Agent, and in the event it is finally determined that additional area must be obtained to construct the project, it may be necessary to refer the matter back to the Attorney General's Office ​so that an amendment be filed to the declaration of taking. This procedure is undesirable and can take three to four weeks to process.

(C) DRIVEWAYS
 
The location of driveways necessary to be relocated or otherwise adjusted during project construction should be determined during the field plan inspection. The driveways must be graded so that the property owner maintains use of the driveway. It may be necessary that the property owner be contacted before a final decision for driveway adjustment can be reached. If at all possible the representative of the Right of Way Branch negotiating for the right of way will obtain a construction easement to cover any work in adjusting the driveway which will exceed the project right of way. The Engineer should be familiar with the terms of the Right of Way Agreement and ensure that construction adheres to the agreement. In the event an easement has not been previously obtained or in the event the property owner requests a change in the construction outlined in the agreement, the Engineer is to allow no work to be performed outside of the right of way until the Division Right of Way Agent has been contacted and the proper action taken.
 
The Department has adopted a uniform policy for driveway widths and locations for commercial properties. A copy of this Policy Manual ​and any necessary interpretations should be obtained from the Division Engineer.

(D) RELOCATION OF FENCES
 
Generally, the relocation of fences is covered in the Right of Way Agreement. In the event it becomes necessary to relocate fences as a contract item, the Right of Way Agent will furnish a list of the work necessary to the Design Unit ​for inclusion in the contract. Fencing reset by contract is usually replacement in kind; however, should it become necessary to use new materials, the Resident Engineer should contact the Division Right of Way Agent to determine the proper course of action as the furnishing of new materials is not normally included in the contract. The Contractor may privately deal with the property owner to reset his own fence. Any agreement of this nature should be properly documented in the Engineer's files. The Engineer should also note that any labor performed on the right of way of a Federal Aid project is subject to the wage provisions of the contract (Article 107-22).

(E) DRAINAGE EASEMENTS
 
The need for drainage easements is established by the Hydraulics Unit during the design stage of a project. These easements are to provide the work area required for the widening, deepening, or relocation of flow channels along the project, or at the inlet or outlet ends of drainage structures. In some instances, where drainage structures outlet into existing ditches and cleaning out the existing ditch is all that is required, drainage easements are not considered necessary. In those cases, it may be desirable to clean out existing ditches with Maintenance forces prior to letting the project to contract. Factors of this nature should be thoroughly reviewed at field plan inspections. Ensure the project permits allow the work planned within the drainage easement.
 
In the event drainage changes must be made during construction, the effect on adjacent properties is to be thoroughly studied prior to the change. Additional drainage easements required could be difficult to obtain, could be across condemned property and may require a revised permit. After the change has been determined necessary and approved by the Hydraulics Unit, the Resident Engineer is to contact the Division Right of Way Agent and request that easements required by the change be negotiated.
 
Where water is discharged from the right of way outside a natural drain or existing ditch, an easement is required for the necessary channel and construction operation to a natural drain. Where diversion of water is made to a natural drain or existing ditch which would increase the discharge considerably above its capacity, an easement is required to enlarge and improve the drain to a point where the increased discharge can be released without causing damage.
 
Where improvement to an existing drain is required for proper drainage and not covered in the paragraph above, a permanent drainage easement is not required. Even though the drain may be enlarged and deepened, if the property owner is informed of what is to be done and agrees, in writing, to allow entry onto his property for this work, this is all that is required. This should not be construed to mean that in all cases of this nature, a temporary permit of entry only should be obtained. There will be instances where a permanent easement is desirable. Also, it should not be necessary to obtain written permit of entry on those drains which have previously been routinely maintained. Permission for this is implied until otherwise advised by the property owner. Ensure the project permits allow the work p​lanned for drainage improvements.
 
Recommendations for clean outs which are to be covered by permit of entry should be so noted on the plans. The approximate length and cross section should be included so that this permit can be obtained at the same time as the acquisition of right of way.

107-20 NO WAIVER OF LEGAL RIGHTS BY THE DEPARTMENT
 
In the event of overpayment or underpayment on the part of the Department or in the event the Contractor fails to perform the work in accordance with the terms of the contract, the Department has the authority to correct such payment whether or not the final estimate might have been previously processed.
 
In the event it becomes necessary for the Department to recover overpayment from the Contractor and/or Surety after the final estimate has been paid, the matter will probably be handled by the Attorney General's office ​involving considerable legal expenses. Preparing the monthly estimate accurately should avoid these unnecessary costs.
 
Underpayments on the final estimate will be handled by the State Construction Engineer in the form of a Supplemental Final Estimate.

107-21 SAFETY AND ACCIDENT PROTECTION
 
107-22 WAGES AND CONDITIONS OF EMPLOYMENT
 
General
 
The provisions contained in Form FHWA-1273 are generally applicable to all Federal-aid construction projects; however, certain provisions, such as Davis-Bacon and ​Copeland Act requirements are only required for projects located on a Federal-aid highway system. Form FHWA-1273 must be made a part of, and physically incorporated into all contracts as well as appropriate subcontracts and purchase orders. These provisions can be found in the Standard Special Provisions of all Federal Aid contracts. If payrolls are not required of the Contractor, the contract will contain a Project Special Provision entitled, “Submission of Records- Federal-Aid Projects” which states the following: This project is located on a roadway classified as a local road or rural minor collector, therefore the requirements of Paragraph IV - Davis Bacon and Related Act Provisions are exempt from this contract. Otherwise, the requirements outlined in Form FHWA-1273 do apply and should be enforced by the Department.
 
The Davis-Bacon Act requires the payment of locally prevailing wages and fringe benefits to laborers and mechanics employed on Federal contracts in excess of $2,000 for construction, alteration, or repair (including painting and decorating) of public buildings or public works. Davis Bacon was enacted as a means to prevent contractors from importing cheap labor from outside the area, thereby, keeping capital at home with the local labor force where it would do the most good. See the US DOL's Wage and Hour Division Website​ for additional information regarding labor policies. 
 
The provisions of Paragraph IV require the submission of payrolls by the Contractor and each Subcontractor as well as overtime regulations and the withholding of liquidated damages for wage violations. Each Engineer shall become familiar with these contract provisions. The Contractor should be requested to furnish one copy of each week's payroll. Each approved second tier Subcontractor should send their payroll to the first tier Subcontractor and each approved first tier Subcontractor should send their payroll to the Prime Contractor who will check it for correctness and furnish it to the Resident Engineer. The payrolls are to run consecutively from the date the Contractor begins construction through the date of acceptance. During periods of time, one week or longer, when no work has been performed, it will not be necessary for payrolls to be submitted.

With the increased use of technology, certified payrolls may be submitted electronically. The electronic versions shall include all the required information in accordance with the FHWA 1273 and include a signed "Statement of Compliance."  If the Contractor elects to submit payrolls electronically, he shall maintain the original payrolls and basic records relating thereto for a period of three years after the payment of the Final Voucher for the project.  Further, the Contractor must provide the original payrolls and basic records relating thereto upon request to the Department, the FHWA, or the Wage and Hour Division of the Department of Labor.​

 

Site of Work
 
The “site of work” is defined as the physical place or places where the work called for in the contract will remain; and any other site where a significant portion of the work is constructed, provided that such site is established specifically for the performance of the contract or project. This would include borrow/wastes pits that are established exclusively for the project. Asphalt/Concrete plants are not typically considered "site of work" but there are cases where plants are established exclusively for the project, and in those cases they are considered "site of work." Transportation between locations, which are included in the “site of work”, are covered under Davis-Bacon and certified payrolls should be submitted for the employees (including truckers) performing work in these areas.
 
Payroll Exemptions
 
Instances where employees are not subject to requirements of the Davis-Bacon Act and certified payrolls are not required for the work include the following:
 
  • Truck drivers, who come on the “site of work” to deliver or pick up construction materials, including those employed by the contractor. 
  • Project engineers, surveyors, superintendents, quality control or quality assurance inspectors and contract compliance inspectors are not usually considered to be laborers or mechanics. 
Required Information
 
After the contract is awarded and work has started, payrolls shall be received and documentation shall be completed for each week of the period prior to processing of the monthly estimate. Payrolls are to be received for the period four weeks in advance of the period payment being made. Payrolls are only needed for Contractors that performed work during a given week. If no Contractors worked, complete the form and list "No Work" on the form.
 
When a payroll is submitted for a Subcontractor, it shall show the following:
 
(Name) , Subcontractor for (Name), Prime Contractor.​
 
When a payroll is submitted for a second tier subcontractor, it shall show the following:
 
(Name) , Second Tier Subcontractor for (Name),Prime Contractor.
 
A Department representative, assigned by the Resident Engineer and working under his/her direction, shall review the Contractor's payroll to determine if there is reasonable compliance with contract requirements. The payrolls shall be assembled in the same order as listed on the attached coversheet, and filed in the Contractor's Payrolls section of the project file (or on the Construction Team Site). Form FAP-1, is acceptable as the coversheet. Note: Where the Contractor provides certified payrolls electronically, the Resident Engineer's office shall complete a Form FAP-1 (or similar) and store it electronically with the electronic certified payrolls for the associated week of work.
 
The first payroll received from the Prime Contractor and each Subcontractor shall be thoroughly inspected for conformance with contract requirements. If error(s) are found in the first payroll, the second payroll shall be thoroughly inspected and so forth until a correct payroll has been submitted. Once a correct payroll has been received, the checking of subsequent payrolls may be limited to the review of wages for at least two employees randomly selected for each weekly payroll received from the Contractor and each Subcontractor. However, to ensure that a diversity of classifications is being examined, a thorough inspection shall be made of all payrolls received from the Prime Contractor and each Subcontractor for at least one week for each quarter year period. This review should be documented by the appropriate check box on the FAP-1 form.  
 

If a certified payroll is not received from a contractor during a week in which work was performed on the project, then the Engineer should contact the prime contractor to advise of any missing payrolls.  If the payroll is not received, then money due to the contractor on the next monthly partial estimate may be withheld.  If the contractor not submitting payrolls is a subcontractor, then only that subcontractor's portion of the partial pay estimate should be withheld.   A letter should be sent to the contractor advising them that money is being withheld due to the failure to submit contractually required certified payroll.  If payrolls are not received after withholding money due, then the Engineer should contact the Construction Unit for additional assistance."

The FAP-1 should be completed by reviewing daily diaries for the week.  Each contractor who performs work on the project should be marked in the “Active" column on the FAP-1.  If a payroll was received from a contractor, this should be marked in the “Payroll Received" column on the FAP-1.  Comments can be provided if a contractor who performed work on the project is not required to submit a certified payroll.  The FAP-1 should be signed by the individual performing the review of the certified payrolls.  

 An Electronic FAP-1 may be utilized in SharePoint in lieu of the FAP-1 included here.  Contractors who are documented in electronic diaries stored on SharePoint will be captured as “Active" on the project.  Additionally, the Engineer has the ability to denote any contractor who was not captured in the diaries by checking the box labeled “Active but No Diary" for the respective contractor.  The date that the payroll is received should be recorded in “Date Received".  If a payroll is not required, the “Payroll Not Required" check box should be checked.  Additional comments can be provided in the “Notes" for each contractor.  Manage Attachments can used to upload electronic copies of the certified payroll.  The report should be approved upon receipt of all payrolls required. 

 
​The following check list should be used to determine the Contractor's compliance.
 
  1. The payroll covers the starting date of the project.  
     
  2. A weekly statement of compliance, signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract, is attached to or made a part of each payroll, including each supplemental payroll. The Statement of Compliance shall certify the following: 
  1. That the payroll for the payroll period contains the information required to be provided under §5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under §5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;  
     
  2. That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;  
     
  3. That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. 
The USDOL Form WH-347 may be used to meet the requirements of the statement of compliance.
 
  1. The payroll has the full name of the employee. Addresses and full social security numbers shall not be submitted on weekly transmittals, however, an individually identifying number for each employee (e.g. last four digits of employees’ social security number or an assigned employee number). If new employees are added to subsequent payrolls, the above information is required.
  2.  
  3. Classifications shown on the payroll are as listed in the general wage decision in the contract.
  4.  
  5. The basic hourly wage rate is as much or more than the rate for each classification shown in the general wage decision in the contract. Contractors may use “bona fide” fringe benefits to achieve the hourly wage rate listed in the contract wage decision. Where fringe benefits are required to be paid or are being used to offset required wage rates, they should be shown on the certified payroll information in order to verify the employees are being paid the prevailing wage rate for work performed.
  6.  
  7. All time worked by laborers and mechanics in excess of 40 hours per week shall be paid at a rate equal to 1-1/2 times the regular hourly rate. The half-time premium for overtime must be at least one-half the basic hourly rate from the contract wage decision and cannot be met with fringe benefits. (See examples below.)
  8.  
  9. For those employees working in more than one classification, the daily and weekly hours worked in each classification, including actual overtime hours worked, are shown.
  10.  
  11. All deductions are itemized.
  12.  
  13. The appropriate fringe benefit notation has been checked or the benefits are itemized on the payroll.
  14.  
  15. All mathematical computations are correct.
  16.  
  17. The net wages paid are shown. 
Example #1:
 
Minimum Wage Decision:
Required Hourly Rate = $14.00
Required Fringe Benefits = $0.00
Total Minimum Wage/Fringe Benefit Obligation = $14.00
 
The minimum wage and fringe benefit requirements may be met in either of the
following ways:
 
  1. $14.00 in hourly wages; OR
     
  2. $11.00 in hourly wages and $3.00 in pension contributions or other “bona fide” fringe benefits. 
In case (2), if the employee works 41 hours, for the one hour of overtime, the
half-time premium is paid on the contract hourly rate. The one hour of overtime
may be shown as:
 
$11.00 (hourly wage) + $3.00 (fringe benefits) $7.00 (half–time premium rate) 
 
Example #2:
 
Minimum Wage Decision:
Required Hourly Rate = $14.00
Required Fringe Benefits = $3.00
Total Minimum Wage/Fringe Benefit Obligation = $17.00
 
The minimum wage and fringe benefit requirements may be met in either of the
following ways:
 
  1. $17.00 in hourly wages;
     
  2. $14.00 plus $3.00 in pension contributions or other “bona fide” fringe benefits;
     
  3. Any combination of equivalent hourly wages and fringe benefits that equal $17.00. 
*Note – if the employee works 41 hours in a week, for the overtime portion of their pay, the employer must meet the $14.00 per hour rate then add the half-time rate of $7.00. 
 
“Bona Fide” Fringe Benefits:
 
The Davis-Bacon Act lists all types of fringe benefits which the Congress considered to be common in the construction industry as a whole. These include the following: Medical or hospital care, pensions on retirement or death, compensation for injuries or illness resulting from occupational activity or insurance to provide any of the foregoing unemployment benefits, life insurance, disability and sickness insurance or accident insurance, vacation and holiday pay, defrayment of costs of apprenticeship or other similar programs or other bona fide fringe benefits, but only where the contractor or subcontractor is not required by other Federal, State or local law to provide any of such benefits.
 
The Davis-Bacon Act excludes fringe benefits which a contractor or subcontractor is obligated to provide under other Federal, State or local law. No credit may be taken for the payments made for such benefits. For example, payments for workmen’s compensation insurance under either a compulsory or elective State statute are not considered payments for fringe benefits. Payments made for travel, subsistence or to industry promotion funds are not normally payments for fringe benefits under the Act.
 
Classification Reviews
 
Should the Contractor determine that classifications contained in the contract are not sufficient, he shall write the Resident Engineer stating his needs and the minimum hourly salary that he proposes to pay or complete Form 1444, Request for Authorization of Additional Classification and Rate.
 
The Resident Engineer will then forward this request to the State Construction Engineer who will prepare the necessary forms and submit the request to the Department of Labor (DOL). The State Construction Engineer will transmit the findings of the DOL to the Resident Engineer with any necessary instructions.
 
Process for Addressing Errors
 
If an error is found on a payroll, the following procedures for correction shall be utilized:
 
  1. The original payroll shall not be returned to the Contractor.  
     
  2. The Prime Contractor shall be notified of the error. Initial notification can be by phone, e-mail, or letter. However, should the prime contractor fail to provide requested information in an appropriate time frame, the Resident Engineer will follow up with a letter. If the payroll found in error is for a Subcontractor, the letter shall be addressed to the Prime Contractor with a copy to the Subcontractor. FAP-2 is acceptable. The Department shall not make corrections to or amend certified payroll information provided by the Contractor.  
     
  3. Upon receipt of the corrected payroll and other supporting data, document the resolution of the violation. A memorandum to the file shall be written along with the Contractor's letter of explanation and the copy of the canceled check which is payment from the Contractor to the employee for the underpayment or the copy of the statement signed by the employee that he has received the underpayment from the Contractor.  FAP-3 is acceptable. 
Spot Interviews
 
In addition to the checking of payrolls prior to payment of the monthly estimate, it is the responsibility of the Resident Engineer to perform the following for all Federal Aid projects:
 
  1. Conduct spot interviews with the Contractor's employees to determine they are properly classified. Interviews should be conducted on each project no less frequently than once a quarter (based on the calendar year, not the life of the project) and at least one employee of the Prime Contractor and each Subcontractor should be interviewed during the life of the project. The interview form provided at the end of this section or similar form should be used. A Spanish version ​of this form is provided also for the Engineer’s use in these interviews.  
     
  2. Determine by spot interview that each employee is paid at least the minimum hourly rate described for his classification that is contained in the contract and that each employee on the project is either on the Prime Contractor's payroll or on an approved Subcontractor's payroll. Trucking firms may not be required to submit payrolls (see information regarding trucking in this section). Verification of the information gathered during the employee interview should be made by comparing the information gathered during the interview with the payroll in effect on the interview date.  
     
  3. Furnish the required Federal Aid Posters with regard to employment and wages to the Contractor and require these posters be displayed on the project on a weatherproof bulletin board along with a copy of the minimum wage rates and the Contractor's EEO policy statement. U.S. Department of Labor’s website has a listing of required job site posters for NCDOT Federal Aid projects. Additional information regarding the posters can be found in the Records and Reports Section of this Manual.  
     
  4. Maintain a record in the project files of the individual interviews made to determine job classification and wage rate compliance. 
In addition to the above, the Engineer is expected to listen to any and all complaints by Contractor's employees with regard to proper classification and payment. When employees make complaints, the Engineer is expected to take investigative action he considers necessary to determine the validity of the complaint and submit his findings together with recommendations to the Division Engineer and the State Construction Engineer for further handling.
 
If there is any need for clarification and/or interpretation of any problems concerning labor compliance, the Engineer shall refer to the appropriate chapters of the Labor Compliance Manual and contact the Central Construction Unit.
 
Annual EEO Report
 
In addition to the weekly payrolls, the Federal Provisions (FHWA 1273) also require the Contractor to submit an annual EEO Report (FHWA 1391) for each that is active during the month of July. Information related to this can be found in the Records and Reports ​Section of this Manual.
 
With the above mentioned information and services which are made available to the Engineer, it should be reemphasized that in no case, even at the direct request of the property owner, should work be performed outside of the limits of the acquired right of way, construction, or drainage easements without the execution of a written agreement between the property owner and the Department covering the work to be performed.

107-24 RIGHT OF THE CONTRACTOR TO FILE A VERIFIED CLAIM
 
General Statute 136-29 provides that if the Contractor fails to receive in the final estimate payment such settlement as he believes he is entitled, he may accept such payment, then, within sixty days of receipt of the final estimate, file with the State Highway Administrator a verified claim for an amount to which he feels he is entitled under the terms of the contract. Within ninety days after receipt of the Contractor's verified claim, the State Highway Administrator and his staff review the claim. On the basis of this review, a settlement is offered to the Contractor or the claim is denied.

107-25 HAZARDOUS, CONTAMINATED, AND/OR TOXIC MATERIAL
 
When the Contractor exposes or encounters conditions which may indicate the presence of hazardous, contaminated, and/or toxic material, the Contractor shall immediately suspend operations and notify the Engineer. The Resident Engineer shall notify the Division Engineer and the Geotechnical Engineering Unit ​to obtain information regarding the procedure for testing the site. The Contractor shall not be allowed to resume his operations at the site until directed by the Resident Engineer.
 
If the investigation reveals hazardous, contaminated, and/or toxic material which is to be disposed of, the work may be performed by others under a separate contract or may be performed by the Contractor at the contract prices or as extra work. This determination will be made by the Engineer.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 108 PROSECUTION AND PROGRESSCM-01-108
 
 


108-1 GENERAL
 
The Contractor is responsible to begin work either on the date of availability or within a reasonable time thereafter and pursue the work diligently with such forces as will enable him to complete the project by the completion date. The importance of this requirement lies in the fact that the Contractor's failure to comply with these provisions may be grounds for forfeiture of extensions in the completion date to which he might otherwise be entitled, (See Article 108-10 ​of the Standard Specifications and this Manual,) the withholding of liquidated damages from monies due and/or the removal of the Contractor from the Department's list of prequalified bidders. If the Resident Engineer determines the Contractor will not be able to complete the project by the completion date, he shall advise the Contractor of this determination in writing and during construction conferences (See Article 108-4 of the Standard Specifications). When discussed at construction conferences, specific written documentation shall be made a part of the construction conference minutes. This will provide the Contractor an opportunity to rebut and provide documentation of extenuating circumstances during the course of the work. The Resident Engineer shall also indicate "Unsatisfactory Progress" in the project diary.
 
The Contractor may begin work on the project prior to the date of availability if a progress schedule has been submitted and approved; however, consideration should be given to the effect that beginning prior to the date of availability will have on the public and cost to the Department. Allowing work to begin prior to the date of availability without a change in the completion date is essentially an extension of the completion date.
 
As soon as practical after the Contractor initially begins work on a project, the Engineer shall notify the Contractor in writing, with copy to the State Construction Engineer, when the estimate period ​ends. This notice shall also include the date work began.

108-2 PROGRESS SCHEDULE
 
After the award of the contract, the Contractor shall submit a progress schedule to the Engineer no later than 7 days prior to the preconstruction conference. The progress schedule shall consist of a time scale diagram with major contract items and milestone dates clearly labeled and a narrative explaining the construction sequence. The time scale diagram shall be submitted on forms supplied by the Engineer or in a format that is approved by the Engineer. A detailed Critical Path Method (CPM) schedule shall not be submitted to replace the progress schedule details required below. (See Records and Reports Section of this Manual for examples of both the time scale diagram and written narrative.)
 
The purpose of the schedule is to provide Department personnel with the Contractor's general plan, and to assist in determining, during the course of the work, whether the Contractor's progress is satisfactory or unsatisfactory. The latter determination directly affects the Contractor's status on the prequalified bidders list. (See Article 108-8 of the Standard Specifications.)
 
Approval or disapproval of the schedule is the responsibility of the Division Engineer. In making this decision, he should consult with the Resident Engineer. Consideration should be given to: (1) the compatibility of the progress schedule with the construction schedule in the case of separate contracts requiring Construction Schedules; (2) a mathematical check of the percentages; (3) compliance with the terms of the contract; and (4) reasonableness and practicality of the schedule.
 
Any acceleration of the progress, as shown by the contractor’s progress schedule over the progress shown in the “Schedule of Estimated Completion Progress” in the contract shall be subject to the approval of the Engineer.
 
The Division Engineer should notify the Contractor in writing of his approval or disapproval of the schedule, with copies of the notification and progress schedule sent to the Resident Engineer and the State Construction Engineer.
 
The Specifications allow the Contractor to submit a revised progress schedule if the Engineer has extended the contract completion date or the project overrun is anticipated to exceed 5%. Regardless, the schedule must reflect completion of the work by the revised completion date. The Specifications also allow the Contractor to submit a revised progress schedule if plan revisions are anticipated to change the sequence of operations in such a manner as will affect the progress but not the completion date. In this case, the Contractor may submit a revised progress schedule for review and approval but the completion date shall remain unchanged.
 
The Contractor's detailed request and proposed schedule, together with the approval from the Division Engineer, shall be uploaded into SharePoint .
 
Progress Payout Schedule
 
Projects with a contract amount greater than $50 million, the Contractor is required to submit an Anticipated Monthly Payout Schedule (Payout Schedule) prior to beginning construction. The payout schedule is used by the Department to monitor the funding levels of the project. The Payout Schedule shall provide a monthly percentage breakdown of payouts, based on the contract amount of anticipate completed work. The Payout Schedule should cover the anticipated work from the date the Contractor plans to begin construction to the anticipated completion date. The Contractor is required to submit updates of the Payout Schedule on March 15, June 15, September 15 and December 15 of each calendar year until the project has been accepted. The Contractor should submit the original Anticipated Monthly Payout Schedule and each quarterly update to the Resident Engineer and a copy to the State Construction Engineer.

108-3 PRECONSTRUCTION CONFERENCE
 
For detailed information and examples for the Preconstruction Conference see the Records and Reports Section of this Manual.

108-4 CONSTRUCTION CONFERENCES
 
For detailed information and examples for Construction Conferences ​see the Monthly Meeting in the Records and Reports Section of this Manual.

108-5 CHARACTER OF WORKMEN, METHODS, AND EQUIPMENT
 
The Contractor is required to provide sufficient personnel and equipment to complete the work in accordance with the contract. He is prohibited from employing anyone determined by the Engineer to have engaged in fraudulent activities. Determination that an employee has engaged in fraudulent activities is a very serious matter and will be made by the Chief Engineer-Operations after consultation with the State Construction Engineer.
 
The Engineer has the authority to have removed from the project any employee of the Contractor or Subcontractor who "does not perform his work in a proper and skillful manner or is disrespectful, intemperate, or disorderly" should this problem arise, consideration should be given as to whether the circumstances affect the quality and/or progress of the work or the safety and well-being of project personnel. When any one of these proves to be the case, then every means possible should be explored to resolve the matter at the project level without resorting to personnel removal. If the problem persists, the Resident Engineer shall prepare a complete written report to the Division Engineer. The Division Engineer shall make the final decision in the matter keeping the Chief Engineer currently advised as to the status of the situation.
 
The Engineer also has the authority to have equipment removed from the project which does not produce satisfactory quality work or which may cause "damage to the roadway, adjacent property, or other highways" Prior to ordering the removal of equipment due to the above cause, the Resident Engineer must have some documentary or Specification evidence to support his actions. This may include, but not be limited to, the following:
 
  1. Finite measurement or test results or visual determination that unsatisfactory results are being obtained and that these results are attributable to the equipment.
     
  2. Damage to the roadway or other highways. (See Article 105-15 ​of the Standard Specifications.) 
     
  3. Damage to private property - (See Article 107-11 ​of the Standard Specifications.) 
If the Engineer has any questions as to whether equipment should be removed, he may seek the advice of the field representative of the Roadside Environmental, Materials and Tests, and Geotechnical Units, and/or the appropriate Area Construction Engineer.
 
Where practical, the Specifications are written as an "end result specification." That is to say that methods, equipment, and procedure are left to the Contractor's ingenuity with the basis of acceptance being recorded tests results and visual examination of the finished product. This places an increased responsibility on the Engineer and Technician to see to it that sampling, testing, and inspection procedures are strictly adhered to. The Engineer and Technician must thoroughly familiarize themselves with the Specification requirements for acceptance of these items so that they can confirm whether or not the Contractor's procedures are producing a satisfactory end product.
 
The Specifications also provide that where methods, procedures, and equipment are specified, the Contractor may change these with no revision in the contract unit price if approved by the Engineer. If such a request is made by the Contractor, the Resident Engineer should first make his own determination as to whether the revised procedures would (1) result in a satisfactory end product, (2) provide access for proper inspection, sampling and testing, and (3) not adversely affect any other operations. He should then transmit the Contractor's request together with his recommendation to the Division Engineer and the Area Construction Engineer for further handling with the State Construction Engineer. In the case of minor or emergency changes, approval may be secured from the State Construction Engineer by telephone.
 
The Contractor's procedures must produce a finished product that conforms with the terms of the contract.

108-6 SUBLETTING OF CONTRACT
 
The Contractor is permitted to sublet a portion of the work when approved in writing. The Contractor is required to perform not less than 40% of the total original contract amount with his own organization, except when specialty items and Disadvantage Business Enterprise/Minority Business/Women Business goals are included in the contract. The Contractor is not permitted to perform less than 35% of the difference between the original bid amount and the value of the specialty items. Materials purchased by the Prime for the subcontractor cannot be counted as work performed by the Prime.
 
The Contractor is required to submit a Subcontract Approval Form (SAF) to the Resident Engineer or Contract Administrator for each subcontractor and/or second tier subcontractor. Submittals of all proposed subcontractors shall be submitted to the Resident Engineer or Contract Administrator within 30 days of the contract date of availability or expiration of 20% the original contract time, whichever time is greatest. The early submission of the Subcontract Approval Forms allows the Resident Engineer or Contract Administrator to monitor the percentage of work being self-performed by the Prime Contractor from the beginning of the project.
 
Other requirements of the subletting work are as follows. The subcontractor and/or second tier subcontractor submitted must currently be a prequalified contractor or subcontractor. Use the Directory of Transportation Firms, located on the NCDOT web page, to verify the subcontractor’s prequalification status. Resident Engineers should request the actual executed subcontract agreement​ for 10% of the contracts, with a minimum of 2 to verify that the subcontract meets the requirements of FHWA (if federally funded) and Title VI.  Projects with federal funding are required to have both the FHWA 1273 ​"Required Contract Provisions" and the Title VI ​and Notice of Nondiscrimination language, in their entirety, as part of the actual subcontract agreement.  The actual subcontract agreeements for state funded contracts are required to incoporate the Title VI and Nodiscrimination language as part of the actual subcontract agreement. 
 ​
Failure to comply with the requirements of the Specifications of this article may be justification to remove the Contractor from the Bidder’s List.
 
Additional information regarding subletting of the contract, calculating percent performed by Prime, FHWA 1273, and the SAF can be found in Records and Reports section of this manual.

108-7 TEMPORARY SUSPENSION OF THE WORK
 
The Engineer has the authority to suspend the Contractor's operations. No extension of the completion date is allowed due to the suspension except as provided in Article 108-10 of the Standard Specifications. The Engineer should make his decision to suspend operations after all other means to resolve the problem have been exhausted.
 
Except in emergency situations, the Engineer shall consult with the Division Engineer and the Area Construction Engineer before suspending the work. If a suspension order is imposed, the Engineer shall notify the Contractor and the Division Engineer in writing with a copy to the State Construction Engineer.
 
Article 104-4 of the Specifications outlines the conditions for additional compensation when the Contractor experiences idle equipment and/or idle labor during a suspension or alleged suspension.

108-8 FAILURE TO MAINTAIN SATISFACTORY PROGRESS
 
This article of the Specifications defines unsatisfactory progress on the part of the Contractor and sets forth the sanctions that may be invoked for unsatisfactory progress.
 
The procedures for computing the percent of contract time and current contract amount required under this article are included as a part of the procedures for preparing monthly estimates in the Records and Reports ​Section of this Manual. HiCAMS will calculate the percent of work complete.
 
The decision to withhold anticipated liquidated damages from partial pay estimates will be made by the State Construction Engineer. The Resident Engineer should make his recommendation on the liquidated damages tab of the partial pay estimate that indicates unsatisfactory progress. For the Department policy relative to the withholding of anticipated liquidated damages, see Article 108-11 ​​of this Manual.
 
The intent of the  procedures is to enhance our project management with regard to project completion and to have effective communication start earlier between the Department and the Contractor as projects begin to fall behind schedule. The revised procedure states that when five percent (5%) of the contract time has expired or when a project is 10% behind schedule, by time or money, the Division Engineer writes a “Letter of Concern” to the Contractor. The letter should establish a meeting date between the Division Engineer and the Contractor to discuss the project schedule and require the Contractor to provide written explanation of how the project completion date will be achieved. If the Contractor’s progress then becomes 15% or greater behind schedule, the State Construction Engineer will write the Contractor a “Show Cause Letter”. This letter will establish a meeting between the State Construction Engineer, the Division Engineer and the Contractor. The letter should require the Contractor to provide written explanation of how the project completion date will be achieved and why the contractor should not be removed from the NCDOT Prequalified Bidders List.
 
The Chief Engineer will make the final decision as to whether a Contractor shall be removed from the Department of Transportation's list of prequalified bidders.

108-10 CONTRACT TIME
 
(A) GENERAL
 
By definition, contract time is "the number of calendar days inclusive between the date of availability and the completion date, as set forth in the special provisions, including authorized extensions to the completion date." The Engineer shall be familiar with all aspects of these provisions of the Specifications.

(B) COMPLETION DATE, INTERMEDIATE COMPLETION DATE, AND INTERMEDIATE COMPLETION TIME EXTENSIONS
 
It is the policy of the Department to fairly evaluate the Contractor's requests for extensions of completion dates. The Department should review within forty days any request submitted by the Contractor for extension of contract time and notify him of the determination in writing. It is not acceptable to delay making a decision until it can be determined whether an overrun of the contract time will occur as this delay may require the Contractor to incur additional cost in an effort to complete the work by the original completion date. The following represent guidelines to assist in determining whether there are valid grounds for extending the completion date. These are numbered in the same sequence as outlined in the Specifications.
 
1. This item provides for what is commonly referred to as pro rata extensions of the completion date or intermediate completion time. The extension allowed is directly proportional to the percentage of the adjusted dollar value overrun (contractual overrun) of the contract.
 
Example 1 Section 108-10.png
  
2. Extensions of time as allowed by supplemental agreements for performing extra work may also be extended by pro rata calculations. A similar calculation may be used relative to intermediate completion times. In this case it is necessary to make a quantity takeoff to determine the dollar value of work originally contemplated in the intermediate phase and the final dollar value of the work. The intermediate contract time to be pro rated is determined from the special provisions. A copy of these quantities and extension of the amounts shall be submitted with the final estimate.
 
Example 2 Section 108-10.png
 
Extensions in contract time are provided by supplemental agreements when the extra work becomes the controlling operation. In some situations, the controlling operation is affected during the negotiation and execution of the supplemental agreement in addition to the time the actual work is performed. Subarticle 108-10(B)3 of the Standard Specifications permits extensions in contract time for the delays during the negotiation and execution of the supplemental agreement. Extensions in contract time for the time required to perform the work are allowable per Subarticle 108-10(B)4 of the Standard Specifications.
 
Differentiation of this approval becomes especially critical when extensions in contract time are granted as part of the supplemental agreement for both delays during negotiation and execution of the supplemental agreement and performance of the extra work. Pro rata extensions in contract time for any overruns of the supplemental agreement work should be based solely on the time granted for the work performed and not the total time granted when it includes time for delays during negotiation and execution.
 
Example: Installation of storm drainage is underway for Intermediate Contract Time Number 1 when a line of existing storm drainage not shown on the plans is discovered on May 1st. Storm drainage installation is halted while the existing line is investigated. The line is found to be functional and a decision is made to install a special junction box to tie-in the existing line to the proposed line. Designs for the special box are provided to the Contractor on May 7th. Supplemental Agreement Number 8 is negotiated for the extra work and the Contractor is advised to proceed with the work on May 10th. Storm drainage installation is the current controlling operation for Intermediate Contract Time Number 1 during the period of the delay.
 
In this situation, it is appropriate to extend the contract time for Intermediate Contract Time Number 1 nine calendar days for the period from the date the controlling operation was suspended (May 1st) to the date the Contractor was advised work could resume (May 10th). The Contractor is due an additional extension in contract time in accordance with Article 108-10(B)4 of the Standard Specifications for the performance of the extra work.
 
3. To be a valid cause for an extension of the completion date, there are four basic criteria which must be met.
 
  1. The current controlling operation must have been delayed. Current controlling operation is defined as "any operation or operations, as determined by the Engineer, that if delayed would delay the completion of the project." This determination will necessitate a thorough review of the status of the project at the time the alleged delay occurred.
     
    Consider a project involving only fine grading and base course construction. The fine grading operation is a controlling operation until such time as a sufficient length of the project has been fine graded such that the Contractor might reasonably be expected to commence base course operations. From that point on, any delay that would subsequently delay the base course operations would be delaying the completion of the project. Of course, very few circumstances are as simple as the one described above. However, using this principle with sound Engineering judgment will result in decisions that are equitable to both the Department and the Contractor. There will be instances where more than one operation may be considered a controlling operation. In any event, it must be shown that the completion of the project was delayed before the affected operation can be considered as a controlling operation.
     
  2. The delay to the controlling operation must have developed from circumstances originating from the work required under the contract. In effect this requirement invalidates any request from the Contractor arising from delays on other projects or from any other delays whatsoever except those attributable to work required by the contract. 
     
  3. The Contractor must have pursued the work in accordance with Article 108-1 of the Standard Specifications. Article 108-1 of the Standard Specifications provides that the Contractor must pursue the work diligently and with sufficient workmen, equipment, materials, and methods as may be required to complete the project by the completion date. 
     
  4. Any delays must have been caused by circumstances beyond the Contractor's control and without his fault or negligence. Examples of "circumstances" which may be valid under this provision would include, but not be limited to, the following: 
  1. Plan revisions originated by the Department of Transportation.  
     
  2. Revision of material requirements originated by the Department of Transportation.  
     
  3. Department of Transportation stakeout error.  
     
  4. Failure of the Department of Transportation to provide stakeout at the appropriate time.  
     
  5. Failure of the Department of Transportation to approve required shop drawings submitted by the Contractor within a reasonable period of time.  
     
  6. Failure of the Department of Transportation to provide inspection of the work and/or materials within a reasonable period of time.  
     
  7. Failure of the Department of Transportation to secure right-of-way except as may be described in the Project Special Provisions.  
     
  8. Failure of the Department of Transportation to provide a reasonable work site by the contract date of availability.  
     
  9. Acts of God (See Article 101-3 of the Standard Specifications.)  
     
  10. Actions or inactions on the part of another Contractor performing work for the Department of Transportation within or adjacent to the project.  
     
  11. Strikes by the Contractor's forces or those forces of material producers, fabricators, haulers, etc.  
     
  12. Freight Embargoes  
     
  13. Shortage of materials due to national emergency or general industrial conditions.  
     
  14. Utility conflicts to be resolved by others and the operations by others of removing and/or adjusting said utilities if the time involved is beyond that which might have been reasonably anticipated.  
     
  15. Weather conditions as permitted within the text of this Specification article.
For those items (K), (L), and (M) above, the Contractor should submit evidence (copies of correspondence, requisitions, etc.) that he has attempted to secure materials from a reasonable number of sources. Delays as listed under this item are not limited to those which might result in a complete shutdown of the work. Consideration may also be given for loss of efficiency to controlling operations.
 
For item (O) consider a project with a date of availability of June 1, 2005, an original completion date of June 1, 2006, and a revised completion date of July 1, 2006. The number of calendar days to be considered for delays caused by the effects of weather would be those between June 1, 2005 and December 15, 2005, (198 calendar days), and those between March 16, 2006 and July 1, 2006, (108 calendar days), or a total of 306 calendar days. Therefore, if the current controlling operations were delayed by weather within the periods of time shown above in excess of 40 percent or 123 calendar days, the Contractor would be entitled to an extension of the completion date. Therefore, if adverse weather affected the controlling operation(s) on this project for a total of 140 calendar days, the contract completion date would be extended 17 calendar days (140-123=17).
 
In considering requests of this nature, it should be remembered that the controlling operations could not have been delayed by weather if he has failed to begin work unless he has provided documentation that weather has prevented him from beginning or continuing the work. Consideration for extension of the contract time due to weather can not be given until expiration of the contract time which includes any authorized extensions.
 
Listed below are examples of "circumstances" which generally will not be considered as beyond the control and without fault or negligence of the Contractor:
 
  1. Actions or inaction on the part of Subcontractors  
     
  2. Labor shortages  
     
  3. Local material shortages  
     
  4. Failure on the part of material suppliers to supply materials at an anticipated rate or quantity except as may be allowed under (K), (L),and (M) above.  
     
  5. Equipment breakdowns 
If the Contractor requests an extension of the completion date or completion time, he must provide the information stated in the first paragraph of this Article. This includes stating the number of calendar days or hours he is requesting. On occasion during his review of the Contractor’s request, the Engineer may determine a greater time extension is warranted than has been requested. It is appropriate for the Engineer to extend the time by the amount warranted even though it is more than the Contractor requested.
 
Example: Clearing and grubbing operations were underway when the Contractor encountered a suspected protected species. The Engineer suspended excavation operations on Friday, June 14th. An investigation was performed, and the species was determined not to be protected. On the following Thursday morning the Contractor was advised clearing and grubbing operations could resume. The Contractor submitted a request for an extension in contract time of five days.
 
It is appropriate to extend the contract time six calendar days for the period from the date the controlling operation was suspended (June 14th) to the date the Contractor was advised work could resume (June 20th) even though this is more time than requested by the Contractor.
 
Example: A project encompasses the replacement of an existing bridge along a two lane road. The project is limited to the bridge site plus the approaches on either end. Existing traffic will be detoured during construction.
 
The Project Special Provisions state an overhead utility line will be relocated prior to the date of availability. However, relocation of the utility line is not complete until four weeks after the date of availability. Because of the scope of work included in the contract, no work could begin until the utility relocation work was complete. The Contractor mobilized and began construction seven days after the conflict was cleared.
 
The Contractor has suffered a delay that was beyond his control and without his fault or negligence. In this situation, it is appropriate to extend the contract time for the period from the date of availability through the date the utility relocation work is complete utilizing a Department initiated claim. In this claim it is appropriate to further extend the contract time to allow for a reasonable period of time for mobilization. The amount of time granted would be based on the magnitude of the project and the equipment required to begin work. In no case should the amount of time granted be more than the actual amount of time to complete the initial mobilization of the controlling operation.
 
Any extensions in contract time beyond those stated above could be considered; however, the Contractor must make this request in writing stating the dates he is requesting and justifying the time requested. An example for additional mobilization time would be a situation where the Contractor can document that his forces were unavailable when the conflict was cleared and the reason the forces were unavailable was the result of the delays.
 
Example: A project provides for the widening of an existing road from a two lane section to a five lane section. The project is located in an urban area and several utilities exist along both sides of the roadway.
 
The Project Special Provisions state the aerial telephone and electrical lines will be relocated prior to the date of availability. The Project Special Provisions further state the Contractor will work around the existing water and sewer lines and make tie-ins as necessary.
 
Upon the date of availability, the electric company has installed new poles and moved their lines. However, the telephone company has not yet moved their lines to the new poles. The Contractor elects to begin work despite having to perform his clearing and grubbing operation around the existing aerial utility lines. The Contractor submits a request for an extension in contract time due to having to work around the existing utilities.
 
After determining the Contractor’s controlling operation for the period of the alleged delay, the Engineer must determine whether this operation was delayed as a result of the utility conflicts. Judgment must then be used to determine how the utility conflict affected the Contractor’s operation. Upon reviewing the diary, the Engineer can make an estimate as to the percentage the Contractor’s controlling operation was delayed. This percentage should then be applied to the total calendar dates the controlling operation was performed while delays were existing (including weekends, holidays, and wet weather when the Contractor was not working) to determine the extension in contract time due the Contractor.
 
As an exception to these requirements, extensions in contract time may be granted without a written request from the Contractor when delays have occurred that are clearly beyond the Contractor’s control and without his fault or negligence and these delays are documented in the project records. The Engineer may initiate an extension in contract time when in his opinion such an extension is justified. It is the Engineer’s option to require the Contractor to submit his request in writing. When the Department has not extended the completion date or completion time and the Contractor believes an extension is warranted, it is the Contractor's responsibility to make the request.
 
Example: The Contractor completed all known work on July 1st. Because of scheduling conflicts, the Department was unable to hold the final inspection until July 7th. During the final inspection, minor recommendations were noted. The Contractor completed all recommendations on July 8th.
 
The Contractor has suffered a delay that was beyond his control and without his fault or negligence. In this situation, it is appropriate to extend the contract time six calendar days for the period from the date the project was available for the final inspection (July 2nd) through the date the final inspection was held (July 7th) through a Department initiated claim.
 
4. This item of the Specifications provides that extensions of the completion date may be allowed for changes in the work that result in reduction in quantities, elimination of items, additional work, and/or extra work. Reduction of quantities and elimination of items sometimes result in a substantial reduction of the total dollar value of the contract thereby offsetting overruns of other items in the contract. Consideration can be given for an extension in the completion date when these reductions have occurred in items which would not have substantially affected the time necessary to complete the project. Extensions in this situation would generally be limited to the theoretical pro rata time as might have been allowed by the dollar value of the reduction. There are no step by step procedures to follow in making this determination as it must be based upon a thorough review of the project progress and sound Engineering judgment. The timing of those changes which result in additional work is of the utmost importance. If changes in the work which result in additional work are made at a time such that the Contractor cannot complete the affected work by the completion date and this delays the completion of the project, consideration must be given for an extension of the completion date. Consideration in this situation must be given to the time by which the project completion was delayed by the additional work versus the theoretical pro rata time allowed by the dollar value of the additional work. The Contractor may be eligible for an extension in contract time when his controlling operation has been delayed but not stopped as a result of circumstances that were beyond his control and without his fault or negligence. The Engineer must use judgment to determine the effects of the delay and the extension in contract time due the Contractor.
 
Example: The Contractor requests an extension in contract time for Intermediate Contract Time Number 1. The request is found to be legitimate. During the Engineer’s review of the Contractor’s request, he determines completion of Intermediate Contract Time Number 1 affects completion of the total project.
 
It is appropriate to extend the contract completion date and the completion date for the Intermediate Contract Time Number 1 even though the Contractor only requested an extension in contract time for Intermediate Contract Time Number 1.
 
An extension of the contract time may be warranted because the additional time (pro rata) allowed for overruns is not realistic of the time required to perform the work. This article requires the use of Engineering judgment to determine the effect that variations from the bid quantities have upon the time required to complete a project. Consideration may be given for an extension of the completion date due to additional or extra work. The amount of time to be allowed for such work will be dependent upon the anticipated delay in completion of the project caused by the extra work versus the theoretical pro rata time as might be allowed by the estimated dollar value of the work. Negotiations with the Contractor must be resolved prior to performing the work. Where practical, it is the best procedure to resolve the question of time extensions at the time the supplemental agreement is negotiated. This is normally documented by the statement that the completion date will be extended by a specific amount or will be extended in accordance with Subarticle 108-10(B)1 of the Standard Specifications. When the completion date is to be extended by a specific amount of time, the amount of time to be allowed is not necessarily the time required to perform the work. Unless the work will be the controlling operation or will require forces that would normally be performing work on the controlling operation, an extension of the completion date beyond that provided by Article 108-10(B)1 of the Standard Specifications is not normally allowed. When an agreement cannot be reached regarding the time extension to be allowed, the supplemental agreement should provide for consideration after performance of the work.
 
While an extension of the completion date is never justified due to the reduction in quantities or the elimination of items alone, such reduction in quantities and elimination of items sometimes result in a substantial reduction of the total dollar value of the contract thereby offsetting overruns of other items in the contract. Consideration can be given for an extension in the completion date when these reductions and/or elimination have occurred in items which would not have substantially affected the time necessary to complete the project and the overruns have occurred in items which have substantially affected the time necessary to complete the project. Extension of the completion date in this situation would generally be limited to the theoretical pro rata time as might have been allowed by the dollar value of the reductions in items which would not have substantially affected the time necessary to complete the project less the dollar value of the overruns of all items which have not substantially affected the time necessary to complete the project. There are no step by step procedures to follow in making this determination as it must be based upon a thorough review of the project progress and upon sound Engineering judgment.
 
Example: A project provides for the rehabilitation of a highway including bridges and roadway. The bridge rehabilitation included in the contract could have been performed in approximately half the time as the proposed roadway rehabilitation and would never have been the controlling operation. Class I and Class II Surface Preparation underran significantly representing 9% of the original contract amount. Milling Asphalt Pavement and Asphalt Concrete Intermediate Course, the controlling operations during the majority of time they were being performed, overran significantly representing 11% of the original contract amount. There were no significant changes in other contract items.
 
The underrun of the bridge items did not reduce the time required to complete the project; however, the overrun in the quantity of milling and paving increased the time required to complete the project. The extension of the completion date in accordance with Subarticle 108-10(B)1 of the Standard Specifications is minimal because of the underrun of the bridge work. An additional 9% pro rata extension of the completion date should be allowed due to the underrun of the bridge quantities.
 
Example: Although the overrun of various contract items amounted to 7% of the original contract amount, the net "contractual" overrun amounted to 2.5%. Several of the contract items underran that in the opinion of the Engineer would never have been the controlling operation had the plan quantity been performed. The total dollar value of the underrun of these non-controlling items represents 4.5% of the original contract amount. In addition, the overrun other non-controlling items of work represents 3.3% of the original contract amount.
 
Consideration should be given for an extension of the completion date beyond the 2.5% allowed in accordance with Article 108-10(B)1 of the Standard Specifications when the overrun of controlling items of work is in excess of the “contractual” overrun. The “contractual” overrun would be adjusted by adding the underrun of non-controlling items of work and subtracting the overrun of non-controlling items of work (i.e., 2.5% + 4.5% - 3.3% = 3.7%.) The extension of the completion date would be determined by multiplying the number of calendar days included in the original contract time by 3.7%. The Contractor must provide documentation to demonstrate such and extension of contract time is justified. In order to provide uniformity in the review of such requests, the following procedures will be followed:
 
An extension of the completion date may be justified because the additional time allowed for overruns in accordance with Article 108-10(B)1 of the Standard Specifications is not realistic of the time required to perform the work. Evaluation of such request will be made as follows (See Form 108-10(B)4):
 
   Subarticle 108-10(B)4 of the standard Specifications allows for time extensions due to additional and/or extra work that is the controlling operation when the pro-rata time extension does not adequately compensate the contractor for the time required to perform the additional and/or extra work.
 
When the performance of this work is the controlling operation, the extension of the completion date warranted would include an actual time required to perform the work plus non-productive time. When the work is performed in a continuous manner (not withstanding inclement weather or weekends/ holidays) and the time required to complete the work is 30 calendar days or more, the extension of the completion would be the equal to the number of calendar days from the date the work began through the date the work was completed. When the work is performed intermittently (regardless of duration of the work) or the time required to complete the work is less than 30 calendar days, the extension of the completion date would be the number of work days converted to calendar days. Based upon the Department's normal policy, an extension of the completion date is justified for performance of the work by converting the work days to calendar days at the ratio of 30/16. When an entire normal work day is not spent in the performance of the additional and/or extra work, reasonable judgment must be used to determine the fractional portion of the work devoted to the operation(s). The 30/16 rule is applicable in determining the amount of time extension to be granted for the performance of work [Subarticle 108-10(B)4] and should not be used for time extensions granted for delay [Subarticle 108-10(B)3].
 
Example: A supplemental agreement providing for the performance of extra work provides that consideration for additional contract time will be given upon request of the Contractor after performance of the work. The extra work required eight work days to perform and, upon completion, the Contractor requested an eight calendar day extension of the completion date. The Engineer confirms the work was the controlling operation, the Contractor diligently pursued the work for eight days.
 
Based upon the Department's normal policy, an extension of the completion date is justified for performance of the work by converting the work days to calendar days at the ratio of 30/16. Thus, a 15 calendar day extension of the completion date should be allowed.
 
Example: Supplemental Agreement Number 8 provides for the addition of a special junction box. The supplemental agreement states “Consideration for any additional contract time will be made upon receipt of the Contractor’s written request after completion of the affected work.” The Contractor submits a request for extension in contract time for Intermediate Contract Time Number 1 of two days for the period of time it took to perform the work. Upon review of the project records, the Engineer determines the special junction box became the controlling operation and construction of the box was completed during two working days. Based upon the Department's normal policy, an extension of the completion date is justified for performance of the work by converting the work days to calendar days at the ratio of 30/16. Thus, two work days converts to 3.75 calendar days, which rounds to four calendar days. The completion date for Intermediate Contract Time Number 1 should be extended four calendar days even though this is more time than the Contractor requested.
 
The timing of changes which result in additional work is of the utmost importance. If additional work is added at a time such that the Contractor can not complete the affected work without delaying the completion of the project, consideration must be given for an extension of the completion date. Consideration in this situation must be given to the time by which the project completion was delayed due to the additional work versus the theoretical pro rata time allowed by the dollar value of the additional work.
 
Consideration may be given for an extension of the completion date due to the addition of extra work. The amount of time to be allowed for extra work will be dependent upon the anticipated delay in completion of the project caused by the extra work versus the theoretical pro rata time as might be allowed by the estimated dollar value of the work. It is best to finalize negotiations for time when the supplemental agreement is prepared. No consideration will be given for an extension of the completion date due to insufficient time allowed in the contract.
 
For time extension requests made prior to notification of the final quantities and apparent liquidated damages, the Resident Engineer has approval authority for requests of 30 days or less. The Resident Engineer cannot deny a request, he shall forward recommendations for denials of the request to the Divisions Engineer. The Division Engineer’s approval and denial authority is unlimited. However, if the request is greater than 30 days the request shall be forwarded to the Bridge/Roadway Construction Engineer or if the request is greater than 90 days, the request shall be forwarded to the State Construction Engineer for review. The BCE/RCE/SCE must review the request prior to notifying the contractor of the Department’s decision. It should be emphasized that the burden of proof concerning the validity of any request lies with the Contractor. He should be required to submit whatever supporting evidence is necessary to the reviewing authority. It is important that the Contractor submit the data required by this article of the Specifications before the request is considered.
 
5. This subarticle of the Standard Specifications allows for the extension of the contract completion date or the intermediate completion date additional days if the accumulated authorized time extensions extend the revised completion date beyond December 15 of the contract expiration date. The maximum time extension for the additional dates would be the number of days between December 15 of one year and March 15 of the following year. The number of days for the additional time extension should be added to revised the contract time or the intermediate contract time. However, if authorized contract extensions are granted for dates that are between December 15 and March 15 of the following year after the expiration of the original contact completion date, those dates shall be deducted from the additional contract time extension.
 
Example:
Contract Completion Date: November 1, 2009
Actual Completion Date: May 1, 2010
Authorized Time Extensions: 60 calendar days (including a time extension
for a delay from January 2, 2010 through January 17, 2010.)
 
Applying the authorized time extensions to the completion date the revised completion date is November 1, 2009 + 60 days, which leads to a revised completion dated of December 31, 2009. Per Article 108-10(B)5 of the Standard Specifications , the completion date is further extended by the number of days between December 15, 2009 and March 2010 (90 days). Review of the authorized time extensions reveal that a time extension has been given for the dates between January 2, 2010 through January 17, 2010 (15 days); therefore in accordance with Article 108-10(B)5 the additional time extension is reduced 15 days to prevent granting time extensions for the same date more than once. The final revised completion date is December 31, 2009 + (90 days - 15 days), which is March 16, 2010. Therefore, 46 days (March 17, 2010 - May 1, 2010) of liquidated damages are assessable against the Contractor.
 
Example:
Contract Completion Date: December 30, 2009
Actual completion Date: March 1, 2010
Authorized time extensions: 30 calendar days
 
The authorized time extensions revise the completion date to January 29, 2010 (December 30, 2009 + 30 calendar days.) The contractor exceeded the revised contract completion date 31 calendar days (January 30, 2010 through March 1, 2010). The Contractor is not eligible for additional time extensions for the dates between December 15, 2009 and March 16, 2010 because the authorized time extensions did not extend the contract time beyond December 15, 2010 as required Subarticle 108-10B(5) of the Standard Specifications. Please note the key to applying the additional time extension, is authorized extensions that revised the completion date beyond December 15th after the original completion date. Therefore, 31 days of liquidated damages are assessable against the Contractor.
 
In addition, the Standard Specifications and Special Provisions establish seasonal limitations for performance of certain work, such as asphalt paving, landscape planting, chemical stabilization of soil, CTBC, and thermoplastic pavement markings. During these periods, Contractors are prohibited from performing the specified work. The seasonal limitations have been established based upon our experience that work performed during the seasonal limitation period will likely result in an inferior or unsatisfactory product. While seasonal limitations should normally be enforced, circumstances may justify that these requirements be modified or waived in their entirety. Changes in the seasonal limitations should be made when in the best interest of the Department and the public. This would include performance of work necessary to eliminate conditions that are a hazard to the public or impair the function of the facility, and work necessary to open a facility to public traffic.
 
When requested by the Contractor, changes in the seasonal limitations may be made to allow completion of the item of work. Normally, seasonal limitations should be waived when the work can be completed in one or two weeks, and when weather conditions will allow performance of the work for a major portion of the workday. Seasonal limitations should not be waived when weather conditions will allow performance of the work for only a few hours each workday. Authority to change seasonal limitations is delegated to the State Construction Engineer for TIP contract construction and to the Division Engineer for all other construction, including Division let contracts, resurfacing contracts, and purchase order contracts. Decisions regarding changes to seasonal limitations should be made consistently and fairly, as it may affect the cost of performing the work. When appropriate, these decisions should be made in consultation with representatives of the Pavement Construction Section, Materials and Tests Unit, Roadside Environmental Unit, and Geotechnical Engineering Unit.
 
When all other work on the project is complete, with the exception of an item or items on which work is precluded by seasonal limitations, this Article of the Specifications provide that the Engineer may waive the assessment of liquidated damages. The administration of this provision must be done consistently and fairly. Authority to waive the assessment of liquidated damages is delegated to the State Construction Engineer for all contract construction and to the Division Engineer for for Division let contracts, resurfacing contracts, and purchase order contracts.
 
Please note that liquidated damages should not be waived for the days on which the Contractor is allowed to pursue work during the period of seasonal limitations. Also note that when liquidated damages are waived for work precluded by seasonal limitations, this does not constitute a contract time extension.
 
Example:
Contract Completion Date: October 15, 2009
Actual Completion Date: April 1, 2010
Authorized Time Extensions: 35 calendar days
County: Craven
 
Applying the authorized time extensions, the revised completion date is November 19, 2009 and the apparent liquidated damages are 133 calendar days (November 20, 2009 through April 1, 2010.) The Contractor completed all work for the project except thermoplastic on December 20, 2009. The seasonal limitation for thermoplastic pavement markings is December 16 through March 15 for projects east of I-95. The Contractor performed work on the project December 16 - 20, 2009, therefore the liquidated damages are waived for the dates December 21, 2009 through March 15, 2010 (85 days). The assessable liquidated damages against the Contractor are 48 calendar days (133- 85.)
  
Example:
Contract Completion Date: October 1, 2009
Actual completion Date: May 1, 2010
Authorized time extensions: 75 calendar days
County: Transylvania
 
The Contractor completed all work except paving the final surface course and thermoplastic pavement markings on December 15, 2009. The Contractor began paving the final surface of asphalt on March 17, 2010 and began the thermoplastic markings April 17, 2010. Applying the authorized time extensions, October 1, 2009 + 75 calendar days, the revised contract completion date is December 15, 2009; therefore there are 137 calendar days (December 16, 2009 through May 1, 2010), of apparent liquidated damages. Article 610-4 of the Standard Specifications state there is a seasonal limitation for the final layer of pavement between December 16, and March 16 of the next year for a layer =1" thick. The contract time cannot be extended from December 16 through March 15 because the accumulated time extensions did not extend the contract beyond December 15, 2009. However, since there is a seasonal limitation for the final layer of pavement, the liquidated damages can be waived for the dates between December 16, 2009 and March 15, 2010. Subarticle 1205-4(B) has seasonal limitations for the thermoplastic pavement markings west of and including I-77, between November 16 and April 15 of the next year. To apply the seasonal limitations for the thermoplastic pavement markings all work except the pavement markings should be complete (making pavement markings the controlling operation) during the seasonal limitations. Since the asphalt paving was the controlling operation, liquidated damages would not be waived for thermoplastic pavement markings. Therefore the liquidated damages for 47 days {March 16, 2010 through May 1, 2010) are assessable against the Contractor.
 
See the Records and Reports Section of this manual for an example of how to calculate apparent liquidated damages for contracts when damages are waived for seasonal limitations. 

108-11 LIQUIDATED DAMAGES
 
The contractual agreement between the Department and the Contractor provides that accumulated liquidated damages will be deducted in an amount equal to the rate of liquidated damages times the number of calendar days beyond the completion date required to complete the project. These provisions also apply to intermediate contract times. The rate of liquidated damages is set forth in the Project Special Provisions for each contract.
 
For the Department’s policy relative to the withholding of anticipated liquidated damages from partial estimates, see Article 109-4 of this Manual.

108-12 EXTENSION OF CONTRACT TIME AND APPORTIONMENT OF LIQUIDATED DAMAGES
 
The Department has the contractual right to extend the completion date in accordance with Article 108-10 of the Standard Specifications, to remit to the Contractor the amount of liquidated damages involved in a completion date extension, and to assess liquidated damages for the balance of any overrun in contract time.

108-13 TERMINATION OF CONTRACT
 
In the event the implementation of this provision is required, appropriate instructions will be issued by the State Construction Engineer.

108-14 TERMINATION OF CONTRACTOR'S RESPONSIBILITY
 
The Contractor's responsibility for the maintenance of the work ceases as of the date of final acceptance by the Department (see Article 105-17 of the Standard Specifications); however, after final acceptance, the Department may still recover any overpayment to the Contractor by reason of error or failure of the Contractor to fulfill the terms of the contract. (See Article 107-20 of the Standard Specifications.) 

ADDITIONAL RESOURCES 
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 109 MEASUREMENT AND PAYMENTCM-01-109
 
 


109-1 MEASUREMENT OF QUANTITIES
 
For each contract bid item that is included in the contract the accompanying Specification, or Project Special Provision will include a description of "Measurement and Payment." All personnel involved in the measurement of quantities for pay purposes should be familiar with the contract relative to these descriptions.
 
These measurements are used in computation of quantities for the respective item, i.e., the measurement as it is to be recorded in the pay record book or any other applicable source document. Unless the Standard Specifications indicate a specific method of measurement, pay items should be measured to the nearest reasonable digit and entered in HiCAMS up to five places.
 
If the computed numbers must be rounded so that the number of digits does not exceed the five places allowed in HiCAMS, the following rules of rounding off should be used:
 
  1. When the digits to be rounded are 0, 1, 2, 3, or 4, the preceding digit should not be changed and the digit should be dropped (e.g. 24.3964 is rounded to 24.396).  
     
  2. When the digits to be rounded are 5, 6, 7, 8, or 9, the preceding digit should be increased by one (e.g. 24.3968 is rounded to 24.397).

109-2 SCOPE OF PAYMENT
 
Everyone should thoroughly familiarize themselves with the "Measurement and Payment" article for each contract item. This article describes the work that the Contractor has contracted to perform at the contract lump sum or unit price. Thorough understanding of the work to be paid for will ensure that the Contractor does complete the work, and will also provide a basis of determining whether or not extra work is required. This article states that the same work will not be paid under more than one line item.
 
Example: Clearing and grading required in fence construction is included in the basis of payment for the fence item; therefore, the work of clearing and grubbing would not be measured and paid for under any other contract item.
 
Example: When a pipe line is installed across an existing asphalt surface, removal of the existing asphalt is a part of the pipe installation and shall not be measured and paid under the pavement removal line item.

109-3 FORCE ACCOUNT WORK
 
When the Engineer directs the Contractor to perform work and the two parties cannot agree on the price for the work, the Engineer shall issue a Force Account Notice to the Contractor and the work will be paid for in accordance with the Force Account provisions in Article 109-3 of the Standard Specifications. When the above conditions have been met, the Engineer or his representative has the authority and responsibility to direct the Contractor's operations to the extent that only the equipment, material, labor, and hours worked as authorized by him will be allowed for payment. In no instance will force account records be assembled after the fact to form a basis for an agreed lump sum or unit price for work by supplemental agreement. However, it is permissible to perform and pay for the first portion of the work by force account in order to develop a price for payment of the remainder of the work by supplemental agreement.
 
When a Contractor is required to perform work that he considers to be extra work or to perform work which he feels justifies additional compensation and his request for additional compensation has been denied, it is the Contractor's responsibility to advise the Engineer in writing of his intention to file a request for additional compensation and to keep cost records in accordance with Article 109-3 of the Standard Specifications prior to beginning any of the affected work. In these instances the Engineer or his representative does not have the authority to direct the Contractor's operations but it is their responsibility to maintain independent cost records and continually compare them. The Resident Engineer’s staff must maintain exceedingly accurate and detailed diaries reflecting the performance of disputed work. Any differences between the records should be reconciled or, when they cannot be reconciled, the Engineer should objectively document the circumstances and the points of contention.
 
Authority to approve the performance of extra work on a force account basis is delegated to the Engineer when the estimated amount of the work does not exceed the respective amount for which they have authority to approve supplemental agreements for extra work. Approval to perform other work on a force account basis is secured from the State Construction Engineer or his delegated representative. To secure approval, the Engineer must extend the Contractor's proposed price for performing the work, and the Engineer's breakdown estimate of performing the work by force account. This may be a letter with attachments and not on a supplemental agreement form. In cases of emergency, this approval may be secured by telephone, Fax, or E-mail. Where applicable, the Engineer will secure the concurrence of the Federal Highway Administration. When approval is secured, the Engineer shall extend a Force Account Notice to the Contractor. The Contractor may proceed with the work after the Engineer has approved the base wage rates for labor to be utilized in the affected work. Payment for work performed on a force account basis must be documented in HiCAMS.
 
A pro-rata extension in the contract completion date in accordance with Subarticle 108-10(B)1 of the Standard Specifications will be allowed for performing the force account work. When justified by the Contractor, the completion date may be further extended as provided in Subarticle 108-10(B)4 of the Standard Specifications.
 
The Specifications contain specific guidelines for payment of work performed by force account.

109-4 PARTIAL PAYMENTS
 
(A) GENERAL
 
Partial payments will be made to the Contractor based upon progress estimates prepared by the Engineer.
 
The Specifications provide that partial payments may be made twice each month if, in the judgment of the Engineer, the amount of work performed is sufficient to warrant such payment. If the Contractor requests an additional estimate and the amount due exceeds $100,000.00 for a one-half month period, the Engineer can approve the request. A partial payment should be made in the middle of the normal estimate period and will include only those items of work with a significant current amount. Payment for other items of work would be made only at the end of the estimate period.
 
Partial payments shall be subject to correction in the final estimate; however, the Engineer should take whatever measures necessary to ensure the quantities on the monthly estimate are substantially correct and therefore compensate the Contractor for all of the work performed during the partial payment period. Under no circumstances shall the Engineer utilize the Contractor's measurements alone as the basis for partial or final payment. A good example of this is estimation of earthwork quantities. The use of Contractor’s load counts for payment of ‘Unclassified Excavation’ is not acceptable. Cross-reference verification by another acceptable method such as cross-sections, balance point computations, photogrammetry, or average end area should be employed by the Resident Engineer’s staff to ensure accurate pay quantities.
 
These quantities determine whether or not certain administrative procedures will be implemented that have serious ramifications. For example, partial payment quantities determine whether or not a Contractor is subject to removal from the list of prequalified bidders or the withholding of anticipated liquidated damages. Accordingly, the Engineer shall take appropriate care in the preparation of the estimate and shall submit it as expeditiously as possible. The preparation of partial pay estimates should be given a top priority by the Engineer.

(B) PROMPT PAYMENT
 
This subarticle provides that all levels of contractors - prime, subcontractor, or second tier subcontractor - must make payment to the obligee (subcontractor, second tier subcontractor or material supplier) within seven days of knowledgeable receipt of payment for work performed or services rendered during the time for which a partial payment was made by the Department. Failure of any level of contractor to make prompt payment as described in the provision can result in withholding future payments until the issue is resolved and removal of an approved contractor from the prequalified bidder’s list.
 
If a subcontractor, second tier subcontractor, or material supplier has a complaint regarding receiving payments in accordance with the prompt pay specification, he should write a letter to the Resident Engineer detailing the work performed or materials supplied and the date of services rendered. The Resident Engineer should investigate the issue to determine if the Department has made payment for work and, if so, the date payment was made. If the Department has made payment for the work and a reasonable amount of time has passed for the payment to be received, the Resident Engineer should send a certified letter to the contractor in question, requesting proof of payment or reason for nonpayment within seven calendar days of receipt of monies (See example letter). The Resident Engineer should notify the State Construction Engineer if the contractor fails to provide an acceptable response, within seven days.
 
The specifications allow the Department to withhold payment from contractors who are not in compliance with prompt payment specification. However, before withholding payments the Resident Engineer should consult with the State Construction Engineer. The State Construction Engineer should be copied on all correspondence relating to prompt payment.             

(C) UNBALANCED BIDS
 
When the Board awards a contract that contains unbalanced bid price(s), the State Construction Engineer will notify the Division Engineer and Engineer of the reasonable unit or lump sum price(s) for the item(s) of work. Partial payment for work performed on an unbalanced bid item will be made at the reasonable unit or lump sum price(s) until the last partial payment estimate at which time payment will be made at the bid price.

109-5 PAYMENT FOR MATERIAL TO BE USED IN THE WORK
 
Payment for materials delivered to or fabricated for a project may be up to 95% of the delivered cost of materials, if it is considered the remaining 5% is sufficient to compensate for the remainder of this work. The amount paid will be reduced by any potential savings or discounts regardless of whether the Contractor receives the benefit. If the Engineer is of the opinion that payment should be less than 95%, the State Construction Engineer should be consulted. See the Records and Reports Section of this Manual.
 
Prior to the Department making payment for materials, the Contractor shall request a materials payment in writing and shall furnish documentation as required by the Specifications as follows: 
 
  1. Consent of Surety - Shall be either on the surety's official stationery with the seal of the surety affixed, or on the local agency's stationery with the seal of the surety affixed and a Power of Attorney attached thereto. A blanket consent of surety is acceptable to encompass all materials payment requests.  
     
  2. Bill of Sale - Wording shall be such that the material is legally assigned to the Department of Transportation.  
     
  3. Invoice from Material Supplier - Any discount shown must be deducted. The invoice does not have to be marked "Paid." 
These documents will be retained in the Engineer's files as materials payment documentation. Materials payments shall be documented in HiCAMS and shall be associated with the appropriate line items.
 
The unit of measure shall be the same as the contract item, i.e. Structural Steel - Lump Sum, etc. To arrive at the lump sum price, the material supplier's invoices shall be totaled including tax and less discounts. This total shall be multiplied by the percentage to be paid with the result being the lump sum price shown on the estimate.
 
To arrive at the unit price, add the dollar value of the material supplier's invoices including tax and deducting any discounts. Total the quantity of material being paid for, which is represented by the invoices. Divide 95% of the dollar value of the invoice total by the total quantity of the material to determine the unit price.
 
As the material is incorporated into the project, it shall be paid for at the contract unit price and the quantity paid will be deducted from the materials item. The Engineer must verify that the materials payments are deducted as payment is made at the contract unit prices. Payment for materials shall be included on a regular monthly estimate unless the amount of material being paid for is $100,000 or more, and the Contractor requests that the estimate be prepared before the end of the partial payment period. In this case, the estimate shall be for just the materials.
 
The following guidelines shall also be considered prior to making payments for materials items:
 
  1. The Engineer shall assure quantities paid for are on hand at all times. When material is being stored at a fabricator's facility or at a distance from the project, Materials and Tests personnel or another Engineer should be contacted for assistance. The Engineer should have the material periodically checked to determine the quantity paid is intact. Material should be stored in a responsible manner in order to assist the Engineer in periodically verifying the materials, to prevent damage, and to safeguard against theft and deterioration.  
     
  2. All materials must have been tested and determined to meet the requirements of the Standard Specifications.  
     
  3. The material, except for bulky materials requiring fabrication at an off-site location, must be stored on or in the general vicinity of the project.  
     
  4. The material must be stored in an acceptable manner. When material has deteriorated in storage such that it cannot be used, payment shall be deleted from the estimate.

109-6 PAYMENT FOR LEFTOVER MATERIALS
 
At the end of a contract, there are often leftover materials that will not be used on the contract. These are materials that were ordered for the contract by the Contractor, but were then not needed or used on the project. If the contract is a federally funded contract, the Resident Engineer’s office should ensure that FHWA will participate in the costs.  A leftover materials line item will be set up in HICAMS for the value of the materials only. The Department will often negotiate with the Contractor as to how to handle these items. Leftover materials are handled in one of three ways in SAP (R/3).
 
The process flow should be:
 
Construction Unit contacts the Division Engineer…
If DOT can use the item in inventory, follow instructions for #2 below.
If DOT cannot use the item in inventory, follow instructions for #1 below.
If DOT cannot use the item in inventory and the contract is closed, follow
instructions for #2, but charge the WBS and object (53290001NP).
 
  1. If the contract is still open, make sure it has a non-participating line if the costs are not to be included in FHWA reimbursable costs.  If it doesn’t, one will have to be added via a WBS Split.  HiCAMS will submit an estimate including the leftover materials charging the appropriate line for the cost.  Payment will be made as a regular estimate.  If it’s a State funded WBS, also make sure to make it non-participating.​ 
     
  2. If the contract is closed, the Contractor will prepare a memo stating that this is for leftover material for XX contract that has already been closed and the leftover materials have been delivered to the inventory plant at XX location. Construction will create an FB60 transaction charging the inventory account at that location for the material. Use the same cost distribution as was on the contract, but make sure the cost element is a non-participating general ledger account. Most often, use the old 423 which is now 53290001NP. Include the same WBS and use functional area 6080. 
At some point, the Contractor needs to talk to the inventory personnel at the location where the material will go so that a MIGO transaction can be prepared. The clerk should make sure the material number(s) have been extended to the inventory plant. After all numbers have been verified/extended the inventory plant clerk will enter the material using MIGO > Goods Receipt > Others > Movement type 961. The total value for each line is to be entered in the “Ext. amount LC” field on the “Where” tab (i.e. If 10 widgets are received at $2.00 each, the total value of $20.00 is to be entered in the Ext. amount LC field.)
 
There have been situations where the goods were charged to the contract at an amount that equals the material cost and the installation cost. If this is the case, do not use the contract to compute the cost unless a new line is added that charges only for the cost of the material.

109-8 FUEL PRICE ADJUSTMENT
 
Fuel price adjustments are calculated automatically in HiCAMS when line item indicators are accurately verified by the Engineer.
 
When executing Supplemental Agreements that add line items that typically receive fuel price adjustments, the agreement should specify if fuel price adjustments are applicable to that item. If so, the line item indicator should be checked on the Supplemental Agreement to ensure the fuel adjustment is applied. The agreed price should be based on the fuel base index price contained in the contract. For example, if a Supplemental Agreement is executed for ‘Borrow Excavation’ which includes utilization of the contract base index price, the negotiated price should reflect receiving adjustment based on the contract base index price.

109-9 FINAL PAYMENT
 
After the final estimate has been prepared and checked in accordance with the procedures outlined in the Records and Reports Section, the Division Engineer shall notify the Contractor, in writing, generally setting forth the following information.
 
  1. The final quantities (these should be transmitted to the Contractor as soon as they are verified). The final quantities should be generated from the Contract Final Quantities Report from the Review Estimates Window of HiCAMS.  
     
  2. The amount of apparent liquidated damages.  
     
  3. Documents as required by Article 109-10 of the Specifications which have not been received.  
     
  4. The date until which the final estimate will be held in the Division Office for the Contractor's review, normally a minimum of 10 days.  
     
  5. A request that the Contractor reply, in writing, as to whether or not he desires to review the estimate and, if affirmative, the date and time desired for such review. 
     
  6. Advise the Contractor that if he has any requests for extensions of the completion date and/or adjustments in compensation, these must be submitted in detail and in accordance with the applicable provisions of the Specifications and Article 109-9 of this Manual prior to the requested meeting date. 
When the Contractor requests a review meeting and has a request for either an extension of the completion date or adjustment in compensation, the Division Engineer or Division Construction Engineer and the Engineer should meet with representatives of the Contractor to review the final quantities. The Contractor should be given access in the Division Office to all documentation of pay quantities but not the Project Diaries. Diaries kept in connection with construction or repair contracts shall not be considered public records until the final estimate has been paid.
 
When the Contractor does present a written request for an extension of the completion date and/or adjustment in compensation, a closeout conference date should be established such that the Division Engineer or Division Construction Engineer, the Engineer, and the State Construction Engineer or the Area Construction Engineer will be in attendance. At the closeout conference the Contractor shall be given every reasonable opportunity to justify his contention within the terms of the contract. The Contractor should be notified in writing of the Department’s decision regarding extensions of the completion date and adjustments in compensation.
 
After receipt of the Contractor's final claim letter, if no review meeting is requested, the Division Engineer shall submit a written report to the State Construction Engineer setting forth his recommendations regarding the Contractor’s requests. This review of the Contractor's request must be fully documented by the project records and by specific reference to the Specifications. Valid requests for extensions of the completion date are limited to those as allowed under Article 108-10 of the Standard Specifications. Valid requests for adjustments in compensation are limited to the provisions of the Specifications.
 
"Final payment," as described in this article of the Specifications, should not be confused with any subsequent settlement that may be allowed under a verified claim. Final payment under the Specifications represents payment of the final estimate.

109-10 DOCUMENTS REQUIRED FOR THE PAYMENT OF THE FINAL ESTIMATE
 
This article provides for certain documents to be submitted to and accepted by the State Construction Engineer prior to processing the final estimate. Sample copies of acceptable documents that need to be submitted are the sample affidavit and sample consent of surety.
 
It is particularly important that when these documents are received by the Engineer, they be examined for acceptability and the Contractor promptly notified, in writing, of the date of their receipt. If the Contractor has written a request for an extension of the completion date and/or adjustment in compensation, it is necessary for this request to be in accordance with the applicable provisions of the Specifications before such documents may be considered acceptable. For instance, in requesting an extension of the completion date, the Contractor must specifically set forth the documented circumstances resulting in the alleged delay, the controlling operation delayed, the calendar dates on which he was delayed, and the number of calendar days by which he is requesting the completion date to be extended (reference Article 108-10 of the Specifications). When the Contractor fails to include this information, he should be advised, in writing, that the document is not acceptable. The Specifications provide that the burden of proof is on the Contractor. It is not the Department’s responsibility to accept a vague, non-descriptive contention as an acceptable document.
 
The importance of the acceptability of these documents lies in the fact that they impact the effective date of interest accrual on the final payment (See Article 109-11).
 
Article 102-15 of the Standard Specifications provides for disqualification of a Contractor from further bidding due to submission of false information or failure to submit the documents required by Article 109-10 within 60 days of the Engineer’s request.

109-11 INTEREST OF FINAL PAYMENT
 
The procedure for computing the date interest begins on the final payment is included in the final estimate portion of the Records and Reports Section of this Manual. There are four conditions that enter into the determination of the date interest begins.
 
  1. The date of acceptance of the project.  
     
  2. The date the Division Engineer notifies the Contractor the final estimate has been completed (Reference Article 109-9 of this Manual).  
     
  3. The date the Contractor submits the required documents per Article 109-10 of the Specifications.  
     
  4. The date the final estimate is paid. 
The Department has the responsibility to complete the checking of the final estimate, to notify the Contractor of same, and to make final payment as expeditiously as possible.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 150 MAINTENANCE OF TRAFFICCM-01-150
 
 


150-1 GENERAL
 
The Contractor is required to maintain the project in a condition suitable for the continuous, safe and convenient passage of traffic.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 200 CLEARING AND GRUBBINGCM-02-200
 
 


200-1 DESCRIPTION
 
Clearing and Grubbing is the cutting and disposal of all vegetation within limits established by the Engineer in accordance with the method required by the Special Provisions and ​​ Standard Drawings.
 ​
Material high in organic matter such as root mat and other vegetative matter shall be re​moved as a part of Clearing and Grubbing. This does not include grass and minor cover crops, which is part of unclassified excavation. Removing grass and annual growth in preparation for embankments which are less than 6' in height is not considered undercut, but is incidental to the work of embankment formation per Article 235-3.
 
The following items are considered part of clearing and grubbing operations:
 
  1. The removal of foundations, debris, etc. that are left as a result of the work required by Section 210 and 215 ​of the Standard Specifications.  
     
  2. Filling of depressions or removal of humps in the natural ground surface in areas where mowing will later be required or to eliminate water pockets.  
     
  3. Preserving and storing any stream restoration features (root wads). 
Compensation for the clearing and grubbing of borrow and material sources will only be made when these sources are furnished by the Department.
 
The control of soil erosion is an essential consideration in the performance of the work of clearing and grubbing. The Specifications require the contractor to “perform all work under this section in a manner that will cause a minimum of soil erosion and will meet the requirements of Article 107-13". Article 200-3 of the Specifications also provides a limitation of 17 acres of exposed erodible surface area. The Engineer is given the authority to modify this limitation based upon consideration of conditions existing on the project. The Engineer should consider the following:
 
  1. Has siltation been effectively controlled on previously grubbed areas?  
     
  2. Is the terrain, in the area under consideration, highly or moderately erodible?  
     
  3. Has the Contractor shown interest in the control of erosion and been cooperative in the installation of erosion control measures when instructed to do so?  
     
  4. Is the increase in area for the convenience of the Contractor or for the convenience of the Department? If for the Contractor’s convenience, the Contractor should be willing to perform temporary seeding and mulching, at his own expense. If for the convenience of the Department, is the availability of the area in question critical and is any increase in the cost of the required erosion control measures accordingly justifiable? An example of clearing and grubbing for the convenience of the Contractor would be to avoid move-ins of the clearing and grubbing personnel and equipment.  
     
  5. Does the area have high-quality water?  
     
  6. Can the Contractor meet the 21 day seeding requirement if additional area is grubbed?  
     
  7. Does the contract prohibit increasing the 17 acre limitation? 
The Engineer should consult with the Division Engineer, the Area Construction Engineer, and the Roadside Environmental Field Operations Engineer for opinions and advice prior to exceeding the 17-acre limitation given in the Specifications. All considerations in making the decision to exceed these limitations must be recorded in the project diary.
 
Personnel assigned to this work should be informed and instructed as to the seriousness of erosion and sediment control. It is also essential that inspection personnel anticipate conditions, during the clearing and grubbing phase, that will result in soil erosion.
 
Sanctions may be invoked should the Contractor fail to perform erosion control work as required. This is a very serious matter, and the Engineer shall always consult with his Division Engineer and Area Construction Engineer prior to invoking these sanctions.
 
When roads are constructed for the clearing operation, erosion control measures should be installed concurrently.
 
Consult the permits for artifacts of archeological or historical significance prior to commencing clearing operations.

200-4 CLEARING
 
Under the provisions of this section, it is necessary that the clearing limits are marked in accordance with the Manual for Construction Layout and the Standard Drawings​. In order to do this, both survey party personnel and inspection personnel must be familiar with both Specifications and plan requirements. Prior to staking clearing limits, the plans, including the utility construction, sign and signal plans and permit drawings should be compared to ensure that environmentally sensitive areas are delineated. The permit drawings should govern over the plans for staking purposes. Stakeout should, insofar as possible, include the full width that is to be cleared, including all utility, sign and signal construction in order to eliminate the necessity for recalling the Contractor to enlarge an area on which clearing has been completed and which will result in additional costs.
 
The Contractor should be advised at the preconstruction conference of the method that will be used to mark clearing limits and this should be documented in the minutes. This is necessary to avoid dispute over what constitutes “initially staked”, Supplemental Clearing and Grubbing, as outlined in the Specifications.
 
If not required for construction purposes or detailed otherwise in a special provision, clearing of quadrants is considered extra work even though the area may be initially staked. The unit price for “Supplemental Clearing” is usually not appropriate payment (too expensive) for clearing quadrants unless the clearing contractor has to remobilize in order to complete the work. In Divisions where quadrant clearing is routine, this work should be added to the plans and special provisions at the field plan inspections.
 
The vertical clearing limit is left to the discretion of the Engineer. Vertical shearing of overhanging trees should not be required unless necessary for construction or for the safety of the traveling public. Clearing vegetation in front of signs where necessary to achieve proper sight distance to the sign is considered Supplemental Clearing and Grubbing if such signs are beyond the original project limits. The Engineer should identify the need for these clearing limits.
 
The Engineer should discuss the preservation of select growth within normal clearing limits, such as shrubs and trees, with the Roadside Environmental Engineer ​prior to project stakeout.
 
It is the intent of this provision of the Specifications that if embankment height under the roadbed (subgrade) is less than 6 feet, then the area from toe of fill to toe of fill shall be grubbed. In any embankment areas that the Engineer deems it unwarranted to grub, in accordance with these guidelines, trees must be cut no higher than 6 inches from natural ground.
 
At bridge sites, clear the entire right of way for the length of the structure plus 3’ on each end. Ensure the permit allows this clearing.

200-5 GRUBBING
 
This article lists circumstances under which grubbing is not required, and it provides for the smoothing of irregular terrain between construction limits and the limits of clearing and grubbing.
 
Normally, it is best not to grub any portion of the project that the Contractor will not be actively grading upon (reference Article 200-1 ​of the Standard Specifications) since grubbing exposes an erodible surface that requires effective siltation control.
 
In Environmentally Sensitive Areas (ESA), grubbing should be performed no more than 7 days prior to grading operations or as dictated within the permit requirements. When positive drainage is required through an ESA prior to beginning roadway construction, the positive drainage should be established and the area stabilized immediately. When these environmentally sensitive areas are cleared, payment will be provided as Supplemental Clearing and Grubbing due to the increase in mobilizations.
 
For the purpose of obtaining cross sections with photogrammetry, refer to the Engineering Control section ​of this manual.

200-6 DISPOSITION OF TIMBER, STUMPS, AND DEBRIS
 
All timber removed from the project limits will become the property of the Contractor unless otherwise specified by the Project Special Provisions. In addition to verifying the intended disposition of timber in the provisions, the Engineer should also review the right of way agreements to determine if any special handling of timber has been made a part of any agreement. The Engineer should also review the permit conditions to determine if there are requirements to maintain specified trees or plantings. Occasionally, unauthorized removal of timber from the right of way between the date of advertisement and the date of availability has occurred. The Contractor may have based his bidding on selling the timber. Timber should not be removed from within the project limits unless the cutting has been authorized or provided for in the provisions.
 
Vegetative material including brush, roots, stumps, tree laps, and timber (where the property owner has not been given a right to the timber) shall be disposed of by the Contractor. The Contractor may have the option of either disposing of this material by burning or placing the material in an approved disposal area. Many projects and counties do not allow burning. The Engineer should be familiar with the relevant special provisions and county ordinances. If burning is allowed, the contractor shall be required to secure a permit from the town or local forest ranger. More information is available at https://deq.nc.gov/about/divisions/air-quality/air-quality-compliance/open-burning​.
 
The Contractor is required to develop and implement a waste area use and reclamation plan for projects involving the disposal of waste, timber, stumps, and debris. Refer to the earthwork section ​of this manual for details and procedures.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 205 SEALING ABANDONED WELLSCM-02-205
​ 
 


205-1 DESCRIPTION
 
This section covers the sealing of abandoned wells shown on the plans or any that are directed to be abandoned by the Engi​neer. This section requires that the work conform to the current requirements of the North Carolina Department of Environmental Quality ​(NCDEQ)​.

205-2 CONSTRUCTION METHODS
 
The abandonment shall be performed by a certified well contractor. The Contractor is required to seal abandoned wells prior to clearing and grubbing. Evidence of the existence of abandoned wells would normally be destroyed during clearing and grubbing. This could result in failure to perform this important item of work, leaving a physical hazard.

Previous editions of this manual have included instructions for the use of common household bleach for disinfecting wells.  This procedure is prohibited by NCDEQ Ground Water rules in Section 15A NCAC 02C .0113 ABANDONMENT OF WELLS,​ which states, "​​Do not use a common commercial household liquid bleach, as this is too weak a solution to ensure proper disinfection."  The abandonment should be performed in accordance with the following rules excerpted from ​the NCDEQ website.​
​​

North Carolina Administrative Code Title 15A Chapter 27 Sections .0100 - .0900 (Well Contractor Certification Rules) became effective in August 2000. All well construction, installation, repair, alteration or abandonment requires direct supervision by a Certified Well Contractor under these rules, in conjunction with the definitions of "Well Contractor" and "Well Contractor Activity" provided in NC General Statute 87-98.2.​
 
The Engineer should note that county health departments may have requirements beyond that of the Division of Environmental Quality. The County Health Departments should be consulted to assure compliance in the area in which the work is performed.
 
It is the Engineer’s responsibility to ensure a Certified Well Contractor properly abandons all wells. Failure to properly abandon wells with certified personnel may result in assessment of fines to the Department or to the Contractor. A completed Well Abandonment Record (NCDEQ Form GW-30) is to be submitted to the Division of Water Resources, Groundwater Section, with a copy to the Engineer within 30 days after abandonment upon abandonment of each well. NCDOT personnel should not sign well abandonment forms.
 
A list of Certified Well Contractors is maintained by NCDEQ and is available online at ​http://portal.ncdenr.org/web/eh/wcc.

15A NCAC 02C .0111 DISINFECTION OF WATER SUPPLY WELLS
 
All water supply wells shall be disinfected upon completion of construction, maintenance, repairs, pump installation and testing as follows:
 
Chlorination
 
  1. Chlorine shall be placed in the well in sufficient quantities to produce a chlorine residual of at least 100 parts per million (ppm) in the well. A chlorine solution may be prepared by dissolving high test calcium hypochlorite (trade names include HTH, Chlor-Tabs, etc.) in water. Do not use stabilized chlorine tablets or hypochlorite products containing fungicides, algaecides, or other disinfectants. Follow manufacturer’s directions with storing, transporting, and using calcium hypochlorite products. About three ounces of hypochlorite containing 65 percent to 75 percent available chlorine is needed per 100 gallons of water for at least a 100 ppm chlorine residual.  
     
    As an example, a well having a diameter of six inches, has a volume of about 1.5 gallons per foot. If the well has 200 feet of water, the minimum amount of hypochlorite required would be 9 ounces. (1.5 gallons/foot x 200 feet = 300 gallons at 3 ounces per 100 gallons; 3 ounces x 3 = 9 ounces.)   ​
     
  2. The chlorine shall be placed in the well by one of the following or equivalent methods:  
     
    • Chlorine tablets may be dropped in the top of the well and allowed to settle to the bottom.  
       
    • Chlorine solutions shall be placed in the bottom of the well by using a bailer or by pouring the solution through the drill rod, hose, or pipe placed in the bottom of the well. The solution shall be flushed out of the drill rod, hose, or pipe by using water or air. 
  3. Agitate the water in the well to ensure thorough dispersion of the chlorine.  
     
  4. The well casing, pump column and any other equipment above the water level in the well shall be thoroughly rinsed with the chlorine solution as a part of the disinfecting process.  
     
  5. The chlorine solution shall stand in the well for a period of at least 24 hours.
     
  6. The well shall be pumped until the system is clear of the chlorine before the system is placed in use.
Other materials and methods of disinfection, at least as effective as those in Item (1) of this Rule, may be used upon prior approval by the Director.​

ADDITIONAL RESOURCES 
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 210 DEMOLITION OF BUILDINGS AND APPURTENANCESCM-02-210
 
 


210-1 DESCRIPTION
 
When it has been determined during the purchasing of right of way for a project that specific buildings or appurtenances have no reuse value and are detrimental in appearance, the demolition and removal are placed in the contract as an item to be performed under this section of the Specifications.
 
The materials resulting from demolition become the property of the Contractor, but they shall not be permitted to remove the total structure or large sections or portions of structures for the purpose of reusing these in other locations.
 
This article is specific as to what portion of a​ structure is to be demolished under this item of work and what portion is to be a part of clearing and grubbing. Special attention should also be given to the Special Provisions for any other items that may be included as part of the work.

210-2 CONSTRUCTION METHODS
 
Notification of proper agencies is required prior to building demolition. In addition, inspection of the building to determine the presence of asbestos and the removal of all asbestos discovered is required prior to building demolition. Typically, building inspection and asbestos removal is administered by the Right of Way Branch and completed prior to contract letting.
 
When the removal, relocation, and/or demolition of buildings is included in a contract, the Engineer should contact the Division Right of Way Agent to ensure that all buildings have been inspected and are asbestos free. The Engineer should obtain copies of asbestos inspection reports and permits from the Division Right of Way Agent prior to or during the preconstruction conference. Copies of these reports should be provided to the contractor by the Engineer.
 
It is the Contractor’s responsibility to ensure that the inspection and all necessary asbestos removal have been completed prior to demolishing the building. The Contractor is also responsible for compliance with all safety codes, State and local laws, and ordinances and damages to adjacent property. The Resident Engineer should call this to the Contractor’s attention and assure himself, insofar as possible, that this requirement is not violated.
 
If an inspection has not been performed, it is the Contractor’s responsibility to have the building inspected to determine the presence of asbestos and to develop a disposal plan for the asbestos, if discovered during the inspection. This work will be considered extra work and paid for in accordance with Article 104-7 of the Standard Specifications.
 
Prior to demolition, removing, or relocating a building, the contractor must notify the Health Hazards Control Branch of DHHS. The contractor shall provide notification by submitting Form ​DHHS 3768 to the Health Hazards Control Branch ten working days prior to the date demolition, removal, or relocation work is to begin.
 
Forms are available from:
 
NC Department of Health and Human Services/Division of Public Health
Health Hazards Control Unit
1912 Mail Service Center
Raleigh, NC 27699-1912
919-707-5950
  
The Engineer should ensure that the contractor has submitted Form DHHS 3768 and that demolition, removal, or relocation does not occur prior to the date specified by the contractor on the notification form. Failure to provide notification or beginning work prior to specified date could result in a Notice of Violation (NOV) and fines issued by the Health Hazards Control Branch of DHHS.
 
When performing building demolition, removal, or relocation in Mecklenburg, Forsyth, and Buncombe Counties, the contractor should contact the local environmental agency prior to beginning work. Notification for building removal, relocation, and/or demolition will be handled through these local environmental agencies instead of DHHS.
  
The contact person for those counties is as follows: 
 
Buncombe County
WNC Regional Air Pollution Control Agency
(828) 250-6777​
 
Forsyth County 
Environmental Affairs Department
(336) 703-2440
 
Mecklenburg County
Mecklenburg Land Use & Environmental Services Agency
Mecklenburg Air Quality
(704) 336-5430

210-4 DISPOSAL
 
Disposal by burning is permitted subject to the provisions of Subarticle 107-12 (D), Article 200-5, and Section 802 ​of the Specifications and all state or local ordinances.

210-5 MEASUREMENT AND PAYMENT
 
Payment at the contract lump sum price will include all cleanup and disposal, including removal and disposal of asbestos where the presence of asbestos has been noted in the Project Special Provisions.
 
When the description of the item in the contract does not contain information noting the presence of asbestos and asbestos is discovered after the contract is let, the cost of removal of the asbestos will be paid for as extra work in accordance with Article 104-7 of the Standard Specifications.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 215 REMOVAL OF EXISTING BUILDINGSCM-02-215
 
 


215-1 DESCRIPTION
 
When it has been determined during the purchasing of Right of Way for a project that specific buildings have further value and are reusable, their removal is placed in the contract as an item to be performed under this section of the Specifications.
 
The Contractor may dispose of buildings removed under the provisions of this section in any manner he may desire.
 
This article is specific as to what portion of a structure is to be demolished under this item of work and what portion is to be a part of clearing and grubbing. Special attention should also be given to the Special Provisions for any other items that may be included as part of the work.

215-2 CONSTRUCTION METHODS
 
Refer to Section 210 ​of this manual for information regarding asbestos inspections, asbestos removal, and building removal notification requirements.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 220 BLASTINGCM-02-220
 
 


220-1 DESCRIPTION
 
GENERAL
 
This section applies to all types of blasting with the exception of blasting adjacent to highway structures. Refer to Article 410-9 when blasting next to highway structures. Submit blasting and post blasting plans.

220-3 CONSTRUCTION METHODS
 
Notify residents and business owners 48 hours in advance of a blast. The Contractor is responsible for damage and injuries as described in Article 107-11. If wells or springs are damaged, the Geotechnical Unit ​can assist in determining the Contractor level of liability. Keep a copy of all regulations pertaining to the storage, transportation and use of explosives on site at all times.
 
The Blaster-in-Charge must have at least 5 years of experience with blasting similar to what is required on the project. When blasting within 1,000ft of a utility or any other structure, supply a blasting and monitoring plan.
 
See the specifications for the specific requirements of the blasting plan. Two copies and a PDF are required. One copy is submitted to the Resident Engineer and the other copy and PDF to the appropriate Geotechnical Engineer.
 
A predrill meeting may be required prior to blasting. Within 3 days after blasting, submit two copies and a PDF of the post-blast report to the Engineer. The requirements for the report are listed in the specifications.

220-4 MEASUREMENT AND PAYMENT
 
Except for pre-splitting of rock, there is no direct payment for blasting or the associated work. This work is incidental to the work of Unclassified Excavation or Grading. When there is no direct payment for excavation, blasting is incidental to the work contained in the contract and there is no separate payment for blasting. Presplitting of rock will be measured and paid in square yards.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 225 ROADWAY EXCAVATIONCM-02-225
 
 


225-1 DESCRIPTION
 
GENERAL
 
It should be noted that this section generally provides for satisfactory disposal of all materials encountered within construction limits, which are not to be removed under another contract item. Drainage structures, traffic islands, walls, steps, old curb and gutter, sidewalks, driveways, sawdust piles, junk, trash, debris, private utility lines, underground tanks, etc., are to be removed and satisfactorily disposed of when no other specific item is included in the contract for their removal.
 
This Section gives the Engineer the right to limit the size of equipment the Contractor is allowed to use under certain circumstances or to require the Contractor to remove equipment from the work site which the Engineer determines is detrimental to the work because of size, weight, etc. This provision is especially important when attempting to construct a roadbed across low swampy areas without first undercutting the area.

225-2 EROSION CONTROL REQUIREMENTS
 
Article 107-12 of the Standard Specifications, “Control of Erosion, Siltation, and Pollution”, states, “the Contractor shall take whatever measures are necessary to minimize soil erosion and siltation, water pollution, and air pollution caused by his operations.” The most critical elements are the management of earthwork and grading operations. All Sections, within the Specifications, related to these elements reference the requirements for a contractor to conduct operations such that cut and fill slopes are completely graded to final slope in a continuous manner, specifically Articles 225-2, 226-2, 230-2, and 235-3. This requirement to finish slopes in a continuous manner facilitates the establishment of permanent vegetation and reduces the quantity and cost associated with maintenance of erosion control measures, including temporary seeding. The finishing of slopes also progresses the project in that areas are not regraded multiple times. With the above requirements in place, Article 107-12 states, “The Engineer will limit the area over which clearing and grubbing, excavation, borrow, and embankment operations are performed whenever the Contractor’s operations do not make effective use of construction practices and temporary measures which will minimize erosion, or whenever permanent erosion control features are not being completed as soon as permitted by construction operations.” Many ICAs and NOVs have been issued because the contractor had not used proper earthwork management practices and disturbed a substantial amount of the project without finishing areas in a continuous operation. This ineffective method of grading has cost the Department in additional silt excavation, temporary seeding and mulching and most importantly in the relationship established with the regulatory agencies. Therefore, as required in Article 107-12, the Engineer should take action to ensure the contractor is managing their grading operations to minimize soil erosion, and if not providing proper management, limit such grading activities to complete areas in a continuous manner.
 
It is the intent of this Article of the Specifications that permanent seeding and mulching and other erosion control features be incorporated into the project in a systematic, continuous manner. The Specifications require the Contractor to perform grading operations such that the excavation from any cut and the placement of embankment in any fill shall be a continuous operation to completion. The Specifications also give the Engineer authority to limit the area of exposed erodible slopes to 17 acres if the Contractor has not begun permanent seeding and mulching or other erosion control measures as might be directed by the Engineer. Even when erosion control devices are in place, care must be taken to limit the time bare slopes are exposed. The Specifications also give the Engineer authority to adjust the area limits based on specific circumstances as long as erodible materials are contained within the project limits. As an example: The area limitation can be applied separately to more than one “bona fide” grading crew within any one project as long as permanent erosion control measures are kept up with the grading operations.
 
The Engineer should closely observe soil and weather conditions, the Contractor’s overall operations, and any other factors that should be considered in ordering the performance of seeding and mulching or construction of other erosion control features. Technicians should be informed and alert for any condition which would result in siltation outside of the project limits and should be given authority to order protective measures as necessary to correct such conditions.
 
Any action taken by the Engineer under the provisions of this Article must be fully documented in the project diaries.
 
This Article provides that work may be suspended due to the failure of the Contractor to comply with erosion control requirements. This act is a serious matter and should not be undertaken by the Engineer without consultation with the Division Construction Engineer and Area Construction Engineer and written notification to the Contractor. The suspension may consist of grading operations only or, if more serious, the entire project.
 
Should the North Carolina Department of Environmental Quality (NCDEQ) issue a Notice of Violation (NOV), a suspension of the work is expected (after proper written notice to the Contractor). This should remain in effect until the Engineer, Roadside Environmental Field Operations Engineer, Division Construction Engineer, and the Area Construction Engineer are confident that erosion control will be satisfactorily completed by the required abatement date.
 
When it is possible and practicable, bring an area to final line, grade, and finish so that permanent seeding and mulching operations can be performed. If the contractor is not conducting operations in a continuous manner or vegetation is not established within the time frames of the Sedimentation and Pollution Control Act to where permanent seeding can be performed, temporary seeding shall be applied to exposed areas in accordance with Section 1620 of the Specifications and the Contract Special Provisions. The temporary seeding will be at the Contractor’s expense. Aside from temporary seeding during clearing operations and winterization of a project, the quantity of temporary seeding should be minor if earthwork is properly managed and permanent seeding performed.

225-3 UNCLASSIFIED EXCAVATION
 
This Article places the responsibility on the Engineer to see that all material excavated is used in project construction insofar as possible and necessary. The Engineer is also responsible for the decision as to the suitability of materials for use in roadway construction. High moisture content during excavation is not the sole basis for classifying the material as unsuitable. The contractor should mechanically manipulate the soils by discing or scarifying to facilitate the drying process.
 
Further, the Contractor is responsible for keeping the grade drained. If the grade becomes saturated due to lack of proper drainage, the material will not be classified as unsuitable and no compensation will be provided for the drying or removal. The Geotechnical Unit should be contacted when the suitability of soils is in question or when soils containing excessive moisture are difficult to compact. They may suggest underdrain, stabilization, undercut or another method to reduce the time and cost to the project.
 
This article allows the Contractor the option of wasting suitable unclassified excavation prior to completing all embankments and other work on the project requiring utilization of suitable unclassified excavation provided. However, the Contractor must first sign a supplemental agreement holding the Contractor liable for any additional costs as a result of this early wasting, including providing any replacement material necessary to complete the project. Upon receipt of the Contractor’s request, the Engineer should consult with the Division Construction Engineer or Area Construction Engineer before preparing the supplemental agreement. The Geotechnical Unit should be contacted to aid in classifying the soils prior to executing the supplemental agreement.
 
This Article also allows the Contractor the option, upon execution of a supplemental agreement, to waste suitable unclassified excavation and substitute approved borrow material. The Contractor is still held liable for all additional costs involved, including the Department’s additional engineering costs.
 
When the Contractor requests to utilize rock encountered on the project as rip rap, a like quantity must be replaced with suitable material unless it is a waste project. The quantity of rock, to be used and compensated as rip rap, should be measured in its original position if at all possible; however, if it cannot be, a swell factor of 25% should be used in a truck measurement.
 
When excess suitable material is encountered on a waste project and the Engineer desires to use that material to flatten embankment slopes, the Division Construction Engineer, the Area Construction Engineer, the Roadside Environmental Field Operations Engineer, and the Geotechnical Regional Operations Engineer should be consulted. Geotechnical and environmental permit issues need to be addressed before the contractor is allowed to flatten slopes.
 
The stockpiling of suitable material for shoulder construction, including the determination of amount required, is the responsibility of the Contractor. The Engineer has the authority to require these stockpiles be constructed in such a manner to cause minimum damage to previously completed seeding and mulching and to facilitate cross sectioning of the stockpile. Topsoil and subsoil materials should be placed in separate stockpiles to avoid mixing of the materials, which would, in effect, contaminate the topsoil. Any material stockpiled for shoulder construction and then used for other purposes shall not be paid as shoulder borrow or as any other contract item. No direct payment will be made for disposal of any excess material stockpiled.
 
Berm ditches and the vertical curve at the top of the cut slope shall be constructed during the first stages of excavation of the cut. The plans include a detail of this construction.
 
In roadway cuts, when so directed by the Engineer, the Contractor is required to perform rock undercut to a depth of 12 inches below subgrade in order to provide an earth cushion for the pavement structure. It is incumbent upon the technician to inspect the subgrade on grading projects and ensure that rock has been removed to a depth of 12 inches below subgrade or finished grade, whichever is lower.
 
This inspection may simply involve probing the area in question with a rod or it may be necessary to scarify the subgrade with a motorgrader. The Standard Specifications state that the Contractor may be required to investigate the top 12 inches of subgrade in cut sections to determine the necessity for rock undercut and the Contractor will be paid under Article 104-7. The Technician on the project is in the best position to form an opinion as to whether investigative work should be performed. It is not the intent of this Specification that all cuts on the project be scarified. It is the intent of this Specification that the Engineer and Technician, using their best judgment, require the Contractor to perform investigative work when there is a reasonable probability that rock may be found within 12 inches of subgrade. There may be only a portion of a cut or specific area where scarifying is deemed necessary. The Technician should keep this requirement in mind while observing the grading operation, and a decision should be made as early as possible as to whether or not scarifying will be needed so that the Resident Engineer can negotiate with the Contractor concerning proposed extra work and avoid delaying progress on the project.
 
On paving projects with previously graded roadbeds, the 12 inches will be measured from the theoretical subgrade shown on the typical section. Subgrade is generally left approximately 0.4 foot high to allow stripping of root mat and to provide cut material for the fine grading operation. Removal of this material up to 0.4 foot is included in the item of fine grading. Excess material removed above the 0.4 foot should be measured and paid as unclassified excavation. Any materials excavated below the fine grading limit would be paid for as undercut.
 
Careful attention should be given to the necessity for underdrains in rock cuts. Underdrains should be allowed to function for a period of time before earth backfill is begun. Structure sites should be checked carefully to assure that blasting is completed before structure work is begun. If blasting is necessary after structure work has begun, consult the Area Construction Engineer. Also see Article 410-9 of this Manual.
 
When slides or overbreaks occur and the Engineer is of the opinion that these are due to negligence, he should notify the Division Construction Engineer and Area Construction Engineer giving full particulars and requesting an evaluation of the conditions. Should it be determined that the slide or overbreak is due to carelessness or negligence on the part of the Contractor, he shall be notified in writing prior to corrective work beginning, and no payment shall be allowed for that excavation made beyond the typical section lines.
 
When the Department determines it is necessary to flatten or widen a previously completed cut slope, the Specifications recognize that the Contractor may have justification depending upon the stage of construction for requesting an increase in compensation under the provisions of Article 104-3 of the Specifications above the unclassified excavation unit price. Consideration should be given when widening or flattening a cut slope that has been previously graded to plan typical section.
 
When any private utility lines, such as (water, sewer, and power) existing shoulder drain or subsurface pipe, or underground tanks not included on the plans are in conflict with construction, the Engineer should make a determination as to ownership and responsibility for movement. The Contractor may be directed to remove these items under the provisions of this Article.
 
The Division Construction Engineer should be immediately notified when graves or artifacts are encountered. Cease all grading operations in the area until an investigation of the site has been completed. If unmarked human burials or human skeletal remains are involved, the medical examiner of the county shall be notified immediately. Construction activities in the vicinity of these remains shall not resume without authorization from either the County Medical Examiner or the Chief Archaeologist, Archaeology Branch, Archaeology and Historic Preservation Section, Division of Archives and History, and Department of Cultural Resources.
 
Rock blasting shall be performed in accordance with the Specifications and Project Special Provisions.
 
If the contractor elects to crush rock encountered within the project limits, the following provisions should be adhere to as a requirement of The Mining Act of 1971:
  
“The provisions of The Mining Act of 1971 shall not apply to those activities of the Department of Transportation, nor of any person, firm, or corporation acting under contract with said Department of Transportation, on highway rights of way or borrow pits maintained solely in connection with the construction, repair, and maintenance of the public road systems of North Carolina; provided, that this exemption shall not become effective until the Department of Transportation shall have adopted reclamation standards applying to such activities and such standards have been approved by the Mining Commission.”
 
The provisions of this Article shall not apply to mining on federal lands under a valid permit from the U.S. Forest Service or theU.S. Bureau of Land Management.
225-4 UNDERCUT EXCAVATION
 
The necessity for the work, the amount required, the disposition of the material removed, and the quality of backfill material used are the responsibility of the Resident Engineer. Consultation should be made as necessary with the Division Construction Engineer, the Geotechnical Regional Operations Engineer and Area Construction Engineer. If an overrun is anticipated, the Geotechnical Unit shall be requested to investigate and make recommendations for the most economical alternative. For example, engineering fabric may be utilized to reduce undercutting in many locations. Large overruns in undercut quantities have resulted in significant contract price increases and time extensions. Therefore, it is incumbent upon the Engineer to be aware of the quantity of undercut being performed and the impact it is having on project progress.
 
Shallow Undercut
 
An effective method to reduce undercut quantities is to utilize the following Shallow Undercuts Provision.
 
Description
 
Place and achieve density for Class IV subgrade stabilization material over soil stabilization fabric in areas shown on the plans or directed by the Engineer. Perform undercut excavation as directed.
 
Materials
 
Utilize soil stabilization fabric meeting the requirements of Article 270-2 and Class IV Select material meeting the requirements of Section 1016. If Class IV Subgrade Stabilization material does not meet the requirements of Subarticle 1010-1 (ABC) , the Engineer may consider the material 'reasonably close" material, and make acceptance in accordance with Article 105-3. Before accepting 'reasonably close' material, the Engineer should consider where and how the material will be used and how the 'reasonably close' portion of the test will affect the engineering quality of the material.
 
Construction Methods
 
When shallow undercut is required, undercut 6" to 24". Install fabric and backfill with Class IV Subgrade Stabilization by end dumping and surging the stone forward. Do not operate heavy equipment on the fabric or in the trench. Compact the backfill to 92% or the highest achievable density. The engineer should require the Contractor to make every attempt to achieve 92% density without damaging the underlying layers or utilities. Performing shallow undercut, placing fabric and dumping stone without compacting is not intended.
 
The trench and backfill should be kept drained until the pavement layers are placed.
 
Measurement and Payment
 
See Section 505 – Aggregate Subgrade for further discussion.
 
Undercut that is between 6" and 24" and is backfilled with fabric and Class IV Subgrade stabilization material is defined as Shallow Undercut and will be measured and paid for the by the cubic yard.
 
Class IV Subgrade Stabilization will be measured and paid for in tons.
 
Fabric for Soil Stabilization will be measured and paid for in square yards.
 
There are cases where the Contractor will elect to undercut a stable section during clearing and grubbing in order to generate slope and shoulder material. When undercut is performed for this purpose, and not required by the plans or necessary in order to ensure the integrity of the typical section, there will be no payment for the undercut excavation. As it is desirable to have this organic material in slopes, the Department has agreed to pay for the borrow necessary to replace the organic material that is stripped from fill sections.
 
In almost all instances, grade points should be undercut. Even though the existing material may appear satisfactory, experience has shown that problems can develop in the future when a grade point has not been undercut. Before a decision is made not to undercut a grade point, the Engineer should consult with the Division Construction Engineer or Area Construction Engineer for concurrence.
 
Other areas, which show instability due to quality of material, should be undercut and backfilled to provide a uniform and stable embankment foundation. High moisture does not automatically indicate a need to undercut.
 
Areas of unsuitable material may be shown on the plans. These areas have been determined by geological survey methods and may be above grade and removed as unclassified excavation or below grade and removed as undercut. The Engineer is responsible for the decision as to the size of the area and the quantity of material to be removed. If the area to be undercut is moderately stable and the embankment is not excessively high, it may be prudent to undercut only the roadbed portion of the embankment. Secure the Engineer’s approval prior to eliminating any undercut that is shown in the plans.
 
All material which is judged to be unsuitable for embankment construction, flattening of slopes, and landscaping use shall be disposed of in accordance with the provisions of Section 802 ​of the Specifications.

225-5 TOLERANCES
 
A tolerance of +/- 0.1 feet from the established grade applies only to those projects or portions of projects which do not include base and pavement. The completed grade shall be checked by the Technician and recorded in a grade book.

225-6 MAINTENANCE
 
This Article directs specific attention to the Contractor’s responsibility in maintaining the work. Articles 104-10 and 105-16​ of the Specifications cover requirements for maintenance and the performance of erosion control work including sanctions, which may be imposed if the Contractor fails to comply with these requirements.
 
Particular attention should be given to maintenance of the roadbed adjacent to structures to prevent erosion under end bents, wing wall, etc. In the event of erosion under any structure member, care should be exercised to ensure proper compaction of the backfill.
 
The Engineer should ensure that the project has sufficient preventive maintenance measures or is “winterized” in the event the Contractor elects to suspend operations for any extended period of time. It is the Contractor’s responsibility to keep the project properly shaped to drain. The Engineer continuously monitors a project to assure that it is shaped to drain and has appropriate erosion control measures. Any work such as shaping and temporary ditches that might be required to maintain the grade is considered maintenance and is not to be paid for directly.

225-7 MEASUREMENT AND PAYMENT
 
Special attention should be given to avoid inclusion of excavation quantities which are required to be performed as a part of another item in the contract. Where the contract includes the item of Pavement Removal in areas where excavation is to be performed, the area must be cross sectioned after the pavement has been removed or a deduction made from excavation quantities based upon the volume of pavement removed as determined from surface measurements and depth of pavement measurements. Where the contract includes the items of Pipe Removal and the pipe is located in an area within the finished graded roadway cross section, the volume of the pipe must be computed and deducted from the excavation quantities. It is not necessary to deduct the quantity of excavation required in removing the pipe. When the pipe is located below the finished graded roadway cross section, no deduction is necessary even if the Contractor elects to remove the pipe prior to grading this section.
 
The Engineer should make provisions to obtain initial and final cross-sections associated with temporary detours.
 
Documentation should be made of any unauthorized excavation performed by the Contractor either inadvertently or intentionally. Such work may not be used as a basis for a request for additional compensation upon completion of the project.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 226 COMPREHENSIVE GRADINGCM-02-226
 
 


226-1 DESCRIPTION
 

The specification for comprehensive grading is written to include the work, measurement, and payment for Section​s 200, 225, 230, 235​, 250, 500 and 560 of the Standard Specifications under the line item “Grading", which is lump sum. A project with lump sum grading will still include the estimated quantities in the plans for bidders to review and to aid project personnel during construction.

When it is anticipated that a contract will include a large quantity of one of those sections referenced in the specifications, a project special provision is often included which will identify which section is not included under the LS pay item. There will be separate line item in the contract for the sections not included in the grading line item.  ​


226-3 MEASUREMENT AND PAYMENT
 

Regardless of the type of pavement encountered, no additional compensation will be provided as all pavement removal is included in comprehensive grading. Note the listed exceptions to measurement of undercut excavation.

    On comprehensive grading projects, when local material is deemed unsuitable, material obtained from a borrow source to backfill the pipe from the springline to existing grade should be paid for in accordance with Article 104-7 if there is no borrow line item.  If there is a line item for borrow, and the borrow meets the requirements for select bedding and backfill, then no deductions should be made to the borrow quantity used for bedding & backfill.   

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ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 230 BORROW EXCAVATIONCM-02-230
 
 


230-1 DESCRIPTION
 
The Contractor is prohibited from using borrow excavation before all available suitable unclassified excavation has been exhausted except by execution of a supplemental agreement or where construction phasing requires utilization of borrow excavation prior to or in conjunction with utilization of suitable unclassified excavation. The removal of topsoil should be monitored to assure that the Contractor preserves all of it for future use. Careful selection of the stockpile area will help prevent loss of the material by excessive manipulation or erosion.

230-2 COORDINATION WITH SEEDING OPERATIONS
 
Article 107-12 of the Standard Specifications, “Control of Erosion, Siltation, and Pollution”, states, “the Contractor shall take whatever measures are necessary to minimize soil erosion and siltation, water pollution, and air pollution caused by his operations.” The most critical elements are the management of earthwork and grading operations. All Sections, within the Specifications, related to these elements reference the requirements for a contractor to conduct operations such that cut slopes are completely graded to final slope in a continuous manner, specifically Articles 225-2, 226-2, 230-2, and 235-1. This requirement to finish slopes in a continuous manner facilitates the establishment of permanent vegetation and reduces the quantity and cost associated with maintenance of erosion control measures, including temporary seeding. With the above requirements in place, Article 107-12 states, “The Engineer will limit the area over which clearing and grubbing, excavation, borrow, and embankment operations are performed whenever the Contractor’s operations do not make effective use of construction practices and temporary measures which will minimize erosion, or whenever permanent erosion control features are not being completed as soon as permitted by construction operations.” Therefore, as required in Article 107-12, the Engineer should take action to ensure the Contractor is managing their grading operations to minimize soil erosion, and if not providing proper management, limit such grading activities to complete areas in a continuous manner.
 
Erosion control measures directed by the Engineer to prevent erosion and siltation from borrow sources shall be included for payment. Erosion control measures required as a result of the Contractor’s negligence will not be included for payment.

230-3 MATERIALS
 
The criteria for borrow material can be found in Section 1018.

230-4 CONSTRUCTION METHODS
 
(A) GENERAL
 
The Contractor shall perform staged permanent seeding on all available areas to improve the long-term establishment of vegetation. Established vegetation within borrow pits should be topdressed when the project is topdressed.
 
The Engineer should ensure that only suitable material excavated from the borrow pit is utilized on the project. Even though a source may have been approved for use, it may contain pockets of unsuitable material. Frequent visual inspection on the roadway is necessary to prevent this unsuitable material from being incorporated into the project.
 
When trucks utilize roadways open to public traffic, the Engineer shall require compliance with the provisions of Article 105-15 of the Specifications. In addition, interference with traffic shall be minimized. If the hauling results in the spillage or tracking of material on the pavement, the Contractor should be warned that he is in violation of the Administrative Code pertaining to tracking material on pavement. The Administrative Code states: “No person operating a truck with ‘dual wheels’ shall track or cause mud to be deposited on the paved portion of any State Highway so as to create a hazard to the traveling public. Any person who causes or permits mud to be tracked or deposited by a truck with dual wheels shall immediately remove the same or cause it to be removed. Any person violating this shall be guilty of a misdemeanor.” The provisions of Article 108-7 should be invoked if the requirements of Article 105-15 are not met. It is necessary to construct stone pads at points of entry to travel ways. This should be a part of the Reclamation Plan for borrow pits.
 
The Engineer should consult with the Division Construction Engineer to determine the need for posting load limit restriction.

(B) CONTRACTOR FURNISHED SOURCES
 
The Contractor shall submit and obtain approval for a Borrow Pit Reclamation Plan. (See Borrow and Waste Site Reclamation Plan Procedures for Contracted Projects in this section of the manual. Ensure the most recent version of the Reclamation Plan​ is used.
 
The Contractor may request to use a “commercial source” as a borrow source. Commercial sources are approved by the Land Resources Section of the Department of Environmental Quality (NCDEQ). Approval as a commercial source is contingent upon submittal of a Reclamation Plan by the owner of the source and subsequent approval by NCDEQ. Approval of the source is documented by the assignment of a Mining Permit Number by NCDEQ. When the Contractor proposes to utilize a commercial source as a borrow source, the Engineer should request the Contractor to furnish the permit number. If the Contractor cannot furnish the number as requested, the Engineer should notify the Regional Office of DEQ. Representatives of NCDEQ will determine if the source is in violation. A commercial source shall not be utilized without a Mining Permit Number.
 
No additional payment will be made for erosion control devices or permanent seeding and mulching in any commercial borrow pit.
 
If the Contractor can furnish the permit number, the site may be approved for use as a borrow pit. Approval shall be given in writing. The Engineer should review the mining permit to ensure the borrow site is utilized in accordance with its intended use.
 
For non-commercial sites or sites developed exclusively for the use of the project, the Contractor and the property owner(s) jointly shall submit a Borrow Source Development, Use and Reclamation Plan for each borrow site proposed. This plan shall address in detail, with sketches, site maps, boring logs, etc., how the Contractor intends to develop, use, and reclaim the site. Refer to this article for specific instructions on the requirements for the reclamation plan. The environmental assessment is key in the approval process. Once the assessment, performed by a competent individual, is submitted, the Engineer should seek review of the plan from the Division Environmental Officer (DEO) and Roadside Field Operations Engineer (RFOE). A site review by the RE, DEO and RFOE is required prior to approval.
 
Upon approval of the narrative and the map, the Engineer should document his approval by signing and dating the “Reclamation Plan - Narrative” and the “Reclamation Plan - Maps” or similar forms as “Approved with the following exceptions:” Any exceptions should be listed in detail. Any necessary modifications should be made by the Contractor and the owner(s) such that approval can be granted without any exceptions. Approval should not be granted until all signatures have been completed.
 
Payment should be made for all erosion control measures specified in the Reclamation Plan unless otherwise noted in the letter of approval. If payment cannot be made under items included in the contract, a supplemental agreement should be executed. Payment shall not be made for erosion control measures required as a result of the Contractor’s negligence. There is no payment for removing turbidity from water in borrow pits. Once the water meets the contract permit requirement, then payment for velocity checks and channeling devices necessary to disperse the water into the environment will be made at contract unit prices.
 
The Engineer is the approving authority for the Reclamation Plan. Each plan should be signed by the Contractor, the property owner(s) and the Resident Engineer. Approval of the Reclamation Plan shall be made in writing. The approved plan shall be distributed as follows: Contractor - 2 copies; Roadway Construction Engineer - 1 copy; Regional Engineer, NCDEQ - 1 copy; and the Resident Engineer’s file - 2 copies. The project Technician should have copy of the plan on the project.
 
The Engineer must ensure that the provisions contained in the approved Reclamation Plan are carried out both in letter and spirit. The Engineer should continually monitor each borrow site to ensure that all requirements of the Reclamation Plan are carried out throughout the life of the project. Final acceptance of the project will be contingent upon meeting the requirements of the Reclamation Plan. A copy of each plan should be made available at the final inspection. Inasmuch as the property owner participated in the development and submission of the plan, it will not be necessary to obtain a release from the property owner for use of the borrow site at the conclusion of the project. However, the property owner is to be notified that work in the pit is complete and any erosion control necessary after final acceptance is his responsibility.
 
Should the final condition of the pit be acceptable from a Land Resources perspective, but not match the approved reclamation plan, the contractor must revise the plan, complete with owner’s signature, or regrade the pit to match the approved plan.
230-5 MEASUREMENT AND PAYMENT
 
The Contractor is responsible for balancing the material. If the Contractor hauls too much borrow material to the project and is then forced to waste or otherwise dispose of suitable material from the project, the quantity of surplus material disposed of will be deducted from the quantity of borrow excavation. This may require extensive cross sections or measurements to determine the quantity of surplus material that must be deducted.
 
Topsoil material will be removed and stockpiled prior to measurement. Measurement will be performed by cross sectioning and computations will be by the average end area method. Payment will be made after the stockpiled material has been placed back on the source as part of the reclamation effort.
 
Two methods of measurement may be used in determining the quantity of borrow material utilized. In-place at the source measurement will be used unless truck measurement is specified in the contract or becomes necessary due to unusual circumstances. When truck measurement is utilized, the volume of the bed hoist box must be deducted from the overall volume of the truck bed. The technicians should ensure the trucks are completely unloaded.
 
Payment for erosion control measures will not be made when they are required as a result of the Contractor’s negligence.

DEPARTMENT OWNED BORROW
 
The Contractor is allowed to use borrow material from Department right of way. Before the Contractor is allowed the use of the borrow material from the Department right of way the consideration of how excavating the material will effect adjacent properties and safety. If additional work items are included, such as guardrail or pipe, the expense of material and performance of the work will be the responsibility of the Contractor. In addition, the Contractor must submit a reclamation plan, which includes all the required components. Exceptions are that a SHPO certification will not be required if borrow is obtained from within the right of way and the environmental assessment may be waived if the site is within the project limits and the plans do not indicate the presence of jurisdictional features. The proposed borrow material must be sampled and tested as deemed appropriate by the Resident Engineer.
 
A supplemental agreement should be executed to document the description, location, terms of the work and establish a new borrow excavation price for the "Department Owned Borrow." The description of the supplemental agreement shall include the following language: "By execution of this supplemental agreement, the contractor shall waive his rights to an increase in the Borrow Excavation unit price for underruns in accordance with Article 104-5 of the Specifications if specifically created by the utilization of the material generated from the areas detailed herein. Further, the contractor shall have no claim against the Department related to the utilization of this borrow excavation or for the characteristics of the material. The contractor shall make his own determination of the presence of rock and/or other unsuitable material within the referenced areas." The supplemental agreement should include a line item that deducts the estimated quantity of borrow excavation material at the contract unit price and establish a new line item at the adjusted price for "Department Owned Borrow." If the contract line item for borrow excavation includes a fuel adjustment, the supplemental agreement borrow excavation line item should also include a fuel adjustment.
 
Establishing the new borrow excavation price is dependent upon the location of the borrow source and the method of excavation. If the borrow source is within the project limits or adjacent to the project and the contractor's planned method of excavation is the same as the method used for unclassified excavation, then the unit price for "Department Owned Borrow" material shall be the lesser of the contract unit price for unclassified excavation and the contract unit price for borrow excavation minus $0.75. If the borrow material originates from Department owned properties off the project, the new price shall be the contract unit price for borrow excavation minus $0.75.
 
Below is an example of establishing the new borrow excavation unit price for "Department Owned Borrow."
 
The Department has approved the Contractor to use borrow material from Quadrant D from Station 98+70 to Station 100+18 right of the L-line, within the project limits. The Contractor has advised the Resident Engineer that he plans to use the same method and equipment used for unclassified excavation. The estimated amount of "Department Owned Borrow" is 10,000 cubic yards.
 
Line Item Description.png
 
Since the "Department Owned Borrow" is within the project limits and the Contractor's method and equipment is the same as that used for unclassified excavation, the new established price for the "Department Owned Borrow” is the lesser of the unit price for unclassified excavation and the contract unit price for borrow excavation minus $0.75. Comparing the two amounts ($1.95 and $2.60-$0.75=$1.85), the lesser amount is the contract price for borrow minus $0.75; therefore the new established unit price for Department Owned Borrow is $1.85.
 
The supplemental agreement for the above example is below. 
Supplemental Agreement Documentation.png 

INTRODUCTION TO BORROW AND WASTE SITE RECLAMATION PROCEDURES
 
The information found on the following pages are procedures for Borrow and Waste Site Reclamation for Contracts. This information can be found on the Roadside Environmental Unit’s website.

Please refer to the Roadside Environmental website for the most current procedures and information regarding borrow and waste site reclamation​.

BORROW AND WASTESITE RECLAMATION PROCEDURES FOR CONTRACTED PROJECTS
 
HISTORY
 
The Department of Transportation (DOT) is proud of its long standing relationship with the Department of Environmental Quality (​DEQ). DOT is committed to provide the highest level of environmental stewardship in the protection of our state’s natural resources. DOT continues to strengthen and champion the delegated erosion and sedimentation control program from DEQs Sedimentation Control Commission.
 
DOT operates under its exemption from the Mining Act for borrow pits provided all materials are used “in connection with the construction, repair, and maintenance” of our road system. Therefore, all provisions for erosion and sedimentation control and stabilization with ground cover for waste/borrow sites fall under the conditions of the DOT’s delegated program under the Mining Act and the Sedimentation Pollution Control Act.
 
Currently, DOT requires reclamation plans for all waste/borrow sites. These plans address temporary erosion control, staged seeding and mulching, fertilizer topdressing, and permanent stabilization. Final inspections are conducted on all waste/borrow sites at project completion or prior to project completion if property owners elect to resume/commence agricultural land disturbing activities on the site(s).
 
In some cases, Land Quality has requested DOT to remobilize to sites years after project completion to address erosion or ground cover issues. This scenario has created liability issues for DOT associated with private property access and project funding availability issues. The reclamation plan is a contractual agreement between DOT, the contractor, and the property owner. In its current format, DOT has no legal authority to access private property once the conditions of the reclamation plan have been fulfilled. Also, funds for project work orders only remain open for one year following project completion.
 
In an attempt to resolve these issues and comply with the Sedimentation and Pollution Control Act, and the conditional exemption under the Mining Act, DOT and DEQ have agreed to the following procedures:
 
  • DOT will revise reclamation plan procedures to make access to waste/borrow sites on private property for up to one growing season after final permanent stabilization, a condition of approval.
  •  
  • DOT and DEQ will conduct a joint review near the completion of the growing season to ensure sufficient permanent stabilization. If remedial action is needed, DOT will be responsible for implementing corrective measures to obtain permanent stabilization.
  •  
  • DEQ’s inspection report will serve as documentation of the final release of liability for DOT. 

PLAN PROCEDURE
 
  • The Contractor will submit 10 copies of the pit reclamation plan to the Resident Engineer. During preliminary review, it is acceptable to submit electronic copies and/or a reduced number of hard copies if deemed acceptable by the Resident Engineer.
     
  • The Resident Engineer performs a cursory review to determine if the plan is complete and includes the property owner signatures and the environmental assessment.
  •  
  • The Resident Engineer must make a site visit. It is suggested that the Contractor and Property Owner be contacted and invited to attend this visit. Assure that the haul road is shown on map and note the site distance that will be provided for all vehicles at the proposed intersection.
  •  
  • The Resident Engineer should assure that an adequate number of devices are specified and sized to control erosion and address drainage. If the site is commercial, the mining permit cover page, location map and site plan shall be submitted by the Contractor. Devices should be sized to comply with Best Management Practices (BMP), including sediment storage volume, surface settling, and spillway capacity.
  •  
  • Assure that minimum undisturbed vegetated buffers and setbacks have been delineated on the map: eg. 50’ riparian buffer for regulated basins and jurisdictional streams, 50 buffer from wetlands (additional buffer areas may be required if it is determined that the regulated wetland and/or stream will be indirectly impacted by borrow pit operations), 50’ buffer from trout waters, 10’ setback from property lines (local ordinances may require additional setbacks). The environmental consultant should assure that any additional buffers, such as additional buffers around watersheds or live streams not in a currently protected basin, imposed by local or statewide governing bodies, are complied with. Remember that the haul road is a part of the plan and must comply with applicable setbacks.
  •  
  • If isolated wetlands are located within the site, the consultant must contact the Division of Water Quality for consultation.
  •  
  • If the site is for waste, the only waste allowed, without a permit from the Solid Waste Division, is for beneficial fill consisting of inert debris strictly limited to concrete (encapsulated rebar is OK), brick, concrete block, uncontaminated soil, rock and gravel. Asphalt, placed a minimum of 4 feet above the water table, is allowed but is not considered beneficial fill. If wood is present in the waste, then the rules for a Land Clearing and Inert Debris Landfill must be followed.
  •  
  • The Resident Engineer should advise the property owner that a 1 year, post-final compliance review will be held. At that time, any corrective action required will be performed by the Contractor, or by DOT forces or Contractors should the Contractor of record refuse to repair the area.
  •  
  • After review by the Roadside Environmental Field Operations Engineer, the Resident Engineer will submit approved copies of the map and plan as detailed on the Reclamation Plan Check Sheet. Any revisions must be initialed by the Contractor and Property Owner prior to final approval.
  •  
  • If the pit is expanded, the original environmental evaluation must have been performed over the area in which the expansion is planned and must account for the expansion and the expanded activity, or a new environmental evaluation must be submitted. It is suggested that the entire parcel be included during the initial environmental evaluation.
  •  
  • The boundaries of the pit and any environmentally sensitive areas within the pit or within the area of the environmental evaluation must be physically delineated and GPS coordinates must be provided. 

ENVIRONMENTAL EVALUATION FOR BORROW/WASTE SITE
 
The attached information is provided to assist you in the review of the necessary documentation to confirm that candidate borrow and/or waste sites do not impact wetlands, surface waters (streams, lakes or ponds), regulated riparian buffers or federally-protected species. The Resident Engineer and Division Environmental Officer will evaluate the environmental documentation that is required, along with the reclamation plan and associated checklist.
 
Approval of the use of the borrow or waste site for activities exclusively in support of a North Carolina Department of Transportation project will be, in part, dependent on the presence or absence of these sensitive environmental resources at the candidate sites.
 
In order to provide the necessary environmental documentation to the Resident Engineer and Environmental Officer, it will be necessary for the Contractor to engage the services of a qualified environmental consultant to perform appropriate site investigations that will confirm or refute the occurrence of wetlands, surface waters, regulated riparian buffers and federally protected species within the impact limits of the proposed waste and/or borrow sites and associated access or haul roads.

CONTRACTOR EMPLOYS ENVIRONMENTAL CONSULTANT
 
In order to ensure that the candidate borrow and/or waste sites have been properly evaluated, the contractor may employ the services of an experienced environmental consultant. The environmental consultant must be competent in the natural sciences, with proficiency in jurisdictional wetland and stream identification and delineation, protected riparian buffer identification, and experience in conducting site investigations for the presence of federally protected species.
 
Once the consultant has completed thorough field inventories of the candidate borrow and/or waste sites, a concise technical report should be submitted to the contractor, detailing any pertinent findings. The following information should be included in the report:
 
  • General description of candidate site location including a location map, USGS Topographic Map, and a Soil Survey Map.
  •  
  • General description of the vegetative communities at and adjacent to the candidate site.
  •  
  • Identification, delineation, and discussion of jurisdictional wetlands at the candidate site (including a discussion of soils, vegetation, and hydrology and completion of USACE wetland data sheets).
  •  
  • Identification, delineation and discussion of jurisdictional surface waters (streams, ponds or lakes) at the candidate site. If dewatering of the pit is proposed, define the point at which the discharge effluent enters into jurisdictional waters. Include GPS coordinates for upstream and downstream sampling locations.
  •  
  • Identification, delineation and discussion of regulated riparian buffers at candidate sites and within 50 feet of candidate sites located within river basins that are subject to buffer rules. If a stream, pond or lake is depicted on the most recent U.S. Geologic Service topographic map (1:24,000 scale) or soil survey prepared by the U.S. Department of Agriculture-Natural Resource Conservation Service, (formerly Soil Conservation Service), the system is subject to the riparian buffer rule. The contractor may contact the N.C. Division of Water Quality for an on-site determination to identify inaccurately depicted surface waters or waters that the consultant determines may be blue-lined but are not depicted.
  •  
  • Evaluation of potential habitat for federally protected species and surveys for federally protected species if habitat is identified at the candidate borrow and/or waste site. Biological conclusions shall be rendered for each species.
  •  
  • Identification of jurisdictional wetlands, surface waters, and protected riparian buffers at the site or within a 400’ perimeter of the site, on appropriate and relevant maps. These types of maps include U.S. Geologic Service topographic map (1:24,000 scale) and soil survey prepared by the U.S. Department of Agriculture-Natural Resource Conservation Service, (formerly Soil Conservation Service), and site map. All copies of the reclamation plan shall include color topographic maps. The maps should be clear enough to allow someone unfamiliar with the locale to travel to the site and identify all points of interest discussed in the report using GPS coordinates (i.e. wetlands, surface waters, regulated riparian buffers and federally protected species). Local roads should be labeled and each map must be prepared to scale. At least one figure should identify the boundaries of the candidate site, using GPS coordinates, within a larger landscape setting. Additionally, boundaries of the candidate site shall be flagged. The environmental consultant shall consider impacts to adjacent wetlands and surface waters within a 400’ perimeter of the proposed site. If jurisdictional areas are identified within the proposed pit or the 400’ perimeter and dewatering/wet mining/ excavating below seasonal water table or adjacent streambed elevation is planned, the Contractor shall maintain a 400’ buffer between the land disturbing activity or obtain concurrence for the proposed activity from the USACE. Any meeting with the USACE will include the Resident Engineer or a member of their staff.
  •  
  • If water is to be pumped from the site, and the site falls within one of these 15 counties; Beaufort, Carteret, Craven, Duplin, Edgecombe, Greene, Jones, Lenoir, Martin, Onslow, Pamlico, Pitt, Washington, Wayne, Wilson, the contractor’s plan to comply with the North Carolina Division of Water Resource’s Central Coastal Plain Capacity Use Area rules shall be discussed.
  •  
  • Qualifications and experience of the investigators and the methodologies employed in the investigation. 
The purpose of this report is to verify whether there are wetlands, surface waters, regulated riparian buffers, or federally protected species at the site prior to the initiation of construction activities. The contractor should attach the technical report to the draft reclamation plan at the time the report is submitted to the Resident Engineer. The Resident Engineer will forward a copy of the report to the Division Environmental Officer.

DURING CONSTRUCTION
 
  • Assure that if buffer zones are required, they have been physically delineated and the GPS coordinates compare correctly with the physical delineation.
  •  
  • Assure that approved sediment controls are adequately installed.
  •  
  • Require the stockpiling of topsoil for replacement on pit slopes.
  •  
  • Seed and mulch the stockpile and provide temporary sediment control if needed.
  •  
  • Inspect each pit at least weekly as a part of the routine weekly erosion control inspection.
  •  
  • If water is being pumped, ensure that BMP’s have been designed, installed, operated, and maintained to minimize turbidity to the extent to avoid habitat degradation or removal of a use designation.
  •  
  • Limit the erodible slope area to 1 acre prior to beginning seeding.
  •  
  • Excavate sites in a manner that allows for dressing and seeding of slopes in keeping with the 1 acre tolerance.
  •  
  • Assure that a minimum of 4 feet of water will remain in the pit if it is to serve as a pond.
  •  
  • Occasionally check the site for plan conformance and either revise the plan or correct the site.
  •  
  • Check slope rates during construction. Slopes should be built to plan rates during the initial disturbance to provide the best opportunity for permanent stability and limit the need for temporary seeding. 

FINAL INSPECTION
 
  • Compare the final condition of the pit to the plan and amend the plan or the pit if differences exist.
  •  
  • Assure that a permanent stand of vegetation is covering the pit. The type of vegetation should meet the reclamation plan seed mixture. If necessary, various types of seed should be incorporated into the seed mixture to assure a long lasting, survivable vegetative cover.
  •  
  • Assure that a minimum of 4 ft. of water is remaining in the pit if it is to serve as a pond.
  •  
  • Assure that a minimum of 6” of soil, capable of supporting vegetation, is covering waste.
  •  
  • Ensure that no standing pools of water remain.
  •  
  • Ensure that all temporary sediment controls have been removed.
  •  
  • Ensure that the final contours are compatible with the surrounding topography.
  •  
  • IN WRITING, notify the Property Owner that the project is complete and all work on the site is complete. This notification shall refer to the property owner’s signed statement allowing site inspections and any repair work during the coming year. 
Observation Period
  • Upon completion of the final inspection punch list and permanent seeding, the site will be monitored for up to 1 year following the final inspection date for any repairs, additional seeding or modifications that need to be made. If repairs or additional seeding are needed, the contractor will perform the work to provide a stable site with groundcover suitable to restrain erosion.​


BORROW / WASTE SITE RECLAMATION PLAN MAPS
 
  1. Submit ten (10) copies.  
     
  2. Include an inset showing a vicinity map. This vicinity map may be a copy of a county secondary road map.  
     
  3. The map will be an accurately scaled drawing, aerial photograph or enlarged topographic map showing the following: 
  1. Property lines, easements and rights of way of the tract(s) of land under consideration.  
     
  2. Wetlands & buffer zones.  
     
  3. Blue line streams & buffer zones shown either on topographic maps or soil conservation maps or as field determined by the Division of Water Resources.  
     
  4. Outline of the proposed pit or waste area.  
     
  5. Outline of stockpile areas.  
     
  6. Location of access roads, haul roads and ditches along with proposed sediment and turbidity (if de-watering) control measures.
     
  7. Show size and type of specific erosion control measures. Indicate drainage area and disturbed area flowing to each device.

    1. Erosion Control Devices that utilize a stone outlet can only be used at drainage areas with less than 1 acre. Include calculations for time of concentration, sediment storage volume (3600 ft3/disturbed acre), peak flow for design storm (Q10peak in ft3/s), surface area in ft2 (A = 435 * Q10peak), basin dimensions (limit depth to 3 ft. max), and stone spillway capacity (L=4 ft; limit H to 0.5 ft. max; use C = 2.5). Use 25-year design in High Quality Water zones and trout waters.
    2. For drainage areas of 1 acre or more, devices that drain from the surface such as skimmer outlets should be utilized. Sediment storage volume (1800 ft3/disturbed acre),peak flow for design storm (Q10peak in ft3/s), surface area in ft2 (A=325*Q10peak), basin dimensions (limit depth to 3 ft. max), and geotextile lined spillway capacity (L=Q/0.8,H=1 ft. min.; use C = 2.5 and L=4 ft. min).
    3. For drainage areas of greater than 10 acres, a Riser Basin (riser pipe with skimmer attached) should be used with a surface area in ft2 requirement of (A =435*Q10peak). Use 25-year design (Q25peak) in High Quality Water zones and trout waters.

  8. Show the cross section, eg. 3:1, degree of slope for all slopes, whether fill or cut slopes. Include the cross slope and longitudinal slope of any ditch employed in the plan.  
     
  9. Map Legend: 
  1. Name of Contractor
  2. Name of Property Owner(s)
  3. North Arrow
  4. County
  5. Project Number or WBS Element 
  6. Contract Number  
  7. TIP Number  
  8. Scale  
  9. Date Prepared 
Borrow_Waste Site Reclamation Maps.png  

BORROW PIT SAMPLING

         The methods for sampling and recording data from the Borrow Pit shall be in accordance with the most current version of the Borrow Pit Sampling Manual. All technicians shall be certified by M&T if taking the samples for project acceptance.

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COAL COMBUSTION PRODUCTS IN EMBANKMENTS
 
If the Contractor requests to use coal combustion products in embankments as a substitute for conventional borrow material, he must complete NCDOT Request to Utilize Coal Combustion Products (NCDOT Form #CCP-2015-V1),​ requesting written approval from the Resident Engineer at least ninety (90) days in advance of the intent to use coal combustion products. The completed form should be submitted to the Resident Engineer and the State Value Management Engineer for review. The State Value Management Engineer will consult with both the State Construction Engineer and the State Materials Engineer and provide comments to the Resident Engineer to assist with review. The Resident Engineer will notify the Contractor that all the necessary requirements have been met before the placement of structural fill using coal combustion products is allowed.
 
PLACEMENT
 
Coal combustion products shall be placed in accordance with the "Coal Combustion Products in Embankments" provision.

CERTIFICATON AND STATEMENT FOR USE OF COAL COMBUSTION PRODUCTS
 
If the Contractor has placed coal combustion products in the embankment of a project, the Resident Engineer is responsible for recording a "Statement of Use of Coal Combustion Products" (Statement of Use) ​with the Register of Deeds Office for the county in which the project is located and present the Register of Deeds a notarized statement of use document which includes the legal description of the property where the coal combustion product was placed.                                                  
 
After the "Statement of Use of Coal Combustion Products" is recorded, the Resident Engineer will submit a letter signed and sealed by a registered professional engineer to the North Carolina Department of Environmental Quality. (See Example Letter.)  The letter will serve as certification that the requirements of NCGS §130A-309.220 were followed in the placement of the coal combustion products.  The Resident Engineer will also provide the recorded Statement of Use to the North Carolina Department of Environmental Quality.  The letter and the Statement of Use shall be submitted within 30 days of the application of the final cover over the coal combustion product placement area.
 
The Attorney General's Office (Transportation), Contract Unit is available to assist the Resident Engineer with the "Statement of Use of Coal Combustion Products."  The Construction Unit should be contacted, if there are questions about this process.

ADDITIONAL RESOURCES
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 ApprovedCONSTRUCTION MANUAL
  
SECTION 235 EMBANKMENTSCM-02-235
 
 


COORDINATION WITH SEEDING OPERATIONS
 
Article 107-12 of the Standard Specifications, “Control of Erosion, Siltation, and Pollution”, states, “the Contractor shall take whatever measures are necessary to minimize soil erosion and siltation, water pollution, and air pollution caused by his operations.” The most critical elements are the management of earthwork and grading operations. All Sections, within the Specifications, related to these elements reference the requirements for a contractor to conduct operations such that cut and fill slopes are completely graded to final slope in a continuous manner, specifically Articles 225-2, 226-2, and 230-2. This requirement to finish slopes in a continuous manner facilitates the establishment of permanent vegetation and reduces the quantity and cost associated with maintenance of erosion control measures, including temporary seeding. The finishing of slopes also progresses the project in that areas are not regraded multiple times. With the above requirements in place, Article 107-12 states, “The Engineer will limit the area over which clearing and grubbing, excavation, borrow, and embankment operations are performed whenever the Contractor’s operations do not make effective use of construction practices and temporary measures which will minimize erosion, or whenever permanent erosion control features are not being completed as soon as permitted by construction operations.” Many ICAs and NOVs have been issued because the contractor had not used proper earthwork management practices and disturbed a substantial amount of the project without finishing areas in a continuous operation. This ineffective method of grading has cost the Department in additional silt excavation, temporary seeding and mulching and most importantly in the relationship established with the regulatory agencies. Therefore, as required in Article 107-12, the Engineer should take action to ensure the contractor is managing their grading operations to minimize soil erosion, and if not providing proper management, limit such grading activities to complete areas in a continuous manner.

235-2 MATERIALS
 
As outlined in Article 225-3 of this Manual, it is the responsibility of the Engineer to determine those materials developed from unclassified excavation that are suitable for use in embankment construction. Sod and organic material can be beneficial when used for a seedbed on slopes and shoulders however. If a material is questionable, an investigation by the Geotechnical Unit and/or sampling and testing of the material may be necessary. Frequent visual inspection during placement on the roadway is necessary to avoid inclusion of undesirable pockets of unsuitable material and debris. By observing the action of the material under the wheels of the loaded haul equipment, the Technician can determine the probable location of these undesirable materials. Any pumping, rutting, etc. action should be investigated.
 
The decision as to the suitability of material should be made as expeditiously as possible by project personnel. However, in the event assistance is necessary, it may be secured through the Division Construction Engineer or Area Construction Engineer.

235-3 CONSTRUCTION METHODS
 
(A) PREPARATION OF EMBANKMENT
 
Undercutting concurrently with embankment construction is permissible, but should be closely monitored to ensure unsuitable materials are removed and quantities measured. In preparation for embankment, construction of all areas where the depth of embankment is 6 feet or less, consideration should be given to undercutting to a depth which will remove organics and root mat. Grade points should be undercut as outlined in Section 225 ​of this Manual.
 
Decisions regarding the necessity for undercut should be made sufficiently in advance to prevent delays to the Contractor’s operations.

(B) EMBANKMENT FORMATION
 
The Engineer and/or Technician should work closely with the Contractor to ensure that the hauling is distributed over the full width of the embankment and that the fill is shaped to drain at all times. Each layer placed should be stable without “pumping” or rutting before a subsequent layer is placed.
 
When it is necessary to “floor in” an embankment area in order to be able to haul across an unstable foundation, the depth of the initial lift of material may be 2 to 3 feet. It should not exceed 3 feet without specific approval of the Division Construction Engineer and the Geotechnical Regional Operations Engineer.
 
When backfilling in a swamp area or in water, end dumping over the fill face should not be allowed. The material should be dumped on top of the previously constructed fill and pushed forward and somewhat downward in a manner that will keep the surge of liquid material in front of the fill material. If the liquid material builds up sufficiently, to keep it from moving in front of the embankment material, it shall be removed.
 
Do not place rock or broken pavement within 2 feet of finished grade or subgrade, whichever is lower​. Do not place rock or broken pavement in areas where piles, underground utilities,  or drilled shafts, including signal pole foundations, will be located. Fill all voids when placing rock or broken pavement lifts.

(C) EMBANKMENT COMPACTION
 
Embankment compaction is directly related to the type of soil, the proper control of moisture in the soil, the depth of soil layer being compacted, and the equipment and methods used in the work. The Specifications do not include equipment requirements or specific methods relative to the compaction of embankments but do include end result requirements which must be met in order to have an embankment which is considered acceptable. The requirements are:
 
  1. The embankment must be uniformly constructed with all layers uniformly bound to all preceding layers. In order to meet this requirement, placement and spreading of the embankment material must be carried out in uniform manner with compaction applied uniformly over the surface as the layers are placed. It is also important for the slopes to be compacted to prevent slides and erosion of material. Slopes constructed principally of soil should be walked with a dozer perpendicular to the alignment to facilitate vegetation.  
     
  2. The embankment material shall be compacted to a density equal to at least 95% of modified AASHTO T99. The amount of work required to meet this density requirement is directly related to the type of soil and the proper control of moisture in the soil during compaction. The Density Technician should work closely with the Contractor’s supervisory personnel in determining the moisture content of the soil at which density can be obtained. Optimum moisture as determined by moisture density curves is, of course, the ideal, but the range above or below optimum moisture in which the required density can be obtained with a reasonable effort is extremely variable. Failing density tests should immediately be called to the Contractor’s attention with notice that corrective action is required. The Technician is not to direct any action or methods, but when the failure to obtain density is obviously a result of the soil being either too wet or too dry, the Technician should call this to the Contractor’s attention. Placement of additional embankment material should be suspended unless action is taken to bring the soil within a reasonable range of moisture before compaction. Acceptable corrective action may consist of the addition of moisture when the soil is too dry, drying the soil by scarifying or plowing when the soil is too wet, or the utilization of soil from a different location which will assist in the correction of moisture content in the layers. The Density Technician should not feel compelled to run multiple tests when the Contractor’s efforts to achieve density are lacking. Consultation with the Engineer is required when the Contractor appears to be requesting retests at an abnormal level.  
     
  3. The embankment must be uniformly compacted and stable. In order for the embankment to be uniformly compacted, effort must be applied in an uniform manner over the entire surface of the embankment layers as they are placed. The most difficult time to meet this requirement is when both haul distance and embankment area are short. Under this condition, the Density Technician should make every reasonable effort to verify that compaction is reasonably uniform and each layer must obtain acceptable compaction before the next layer is placed and immediately require that corrective action be taken when density fails to meet requirements.
     
    Instability can occur in some soils even though density requirements are met. Stability of all embankment layers is essential prior to placement of the succeeding layer. Excessive rutting beneath hauling equipment is an indication of instability and should be called to the attention of the Contractor along with instruction that corrective action must be taken. Again, the Technician is not to direct or instruct the Contractor in the methods to be used in correcting this condition. 
     
  4. Certified personnel actively performing conventional density acceptance tests must be assessed once per year by a representative from Materials and Tests​.

(D) MAINTENANCE
 
This Article directs specific attention to the Contractor’s responsibility in maintaining the work. Articles 104-10 and 105-16 of the Specifications also cover requirements for maintenance and the performance of erosion control work including sanctions, which may be imposed if the Contractor fails to comply with these requirements.
 
Maintenance of embankments, both during the work and after completion, should include shaping, temporary ditches, constructing earth berms along the outer edges of the embankment, and other features which will minimize erosion by surface run-off. Such temporary features are required of the Contractor as a part of maintenance of the work and are not to be paid for separately.
 
It should also be noted that this article provides for payment for material required to repair embankments damaged by natural causes when such embankments have been properly constructed, drained, and maintained. Carelessness or neglect on the part of the Contractor may be grounds for directing the Contractor to furnish this material at no cost to the Department. Before this sanction can be imposed, the Engineer must notify the Contractor in writing that conditions exist which, if not given attention, will result in repairs by the Contractor at no cost to the Department.

235-4 TOLERANCE
 
A tolerance of +/- 0.1 feet from the established grade applies only to those projects or portions of projects which do not include base and pavement. The completed grade shall be checked by the Technician and recorded in a grade book.

235-5 MEASUREMENT AND PAYMENT

 
Payment will not be made for embankment construction/formation, as payment is covered under various other sections of the specifications. Embankment settlement gauges will be measured and paid as units of each.
ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 240 DITCH EXCAVATIONCM-02-240
 
 


240-1 DESCRIPTION
 
A thorough knowledge of all environmental permits is necessary prior to staking ditches and installing stone.
 
Unless otherwise classified on the plans, parallel or lateral ditches constructed as an integral part of the graded roadbed, having a continuous slope from the outer limit of the shoulder to the bottom of the ditch, will be considered to be within the roadway grading limits and will be part of the work covered by Section 225, “Unclassified Excavation”.

240-2 GENERAL
 
Ditches should be excavated early during construction operations so that proper drainage is provided at all times during the construction of the project. When the plans require positive drainage prior to undercut and/or subdrains, and the ditch is located in an ESA, it is acceptable to construct the ditch and establish ground cover without pursuing additional continuous grading in that ESA.
 
The Contractor should understand the information of the survey stakes prior to construction.

240-3 DISPOSAL OF MATERIALS
 
Materials which are not used in roadway construction should be disposed of in accordance with Section 802.

240-4 MEASUREMENT AND PAYMENT
 
Excavation beyond the staked limits shall be excluded from these measurements in accordance with Article 105-12 ​of the Specifications.
 
When placing rip rap in ditches, the top of the stone should be keyed into the ditch such that it is flush with the side slopes. 
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ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 250 REMOVAL OF EXISTING PAVEMENTCM-02-250
 
 


250-1 DESCRIPTION
 
This section of the Specifications provides for the removal and disposal of all pavement, both existing and temporary, within limits as shown on the plans, or as may be directed by the Engineer. Any pavement removed within the project limits will be compensated under this Section, excluding driveways and pavement removed for the purpose of excavation for a pipe line.

250-2 PAVEMENT REMOVAL AND DISPOSAL
 
Pavements removed under this section will normally be disposed of either in embankments or in waste areas provided by the Contractor. When concrete pavements are to be removed, the Engineer should check with the County Maintenance Engineer to see if it is desirable to stockpile any of the material for maintenance purposes. If broken pavement is to be salvaged for this reason, the Contractor may be required to stockpile the material in adjacent areas on the right of way but may not be required to load and haul the material for State maintenance use.
 
Where there is more than one foot of fill between the existing pavement elevation and the low side of the proposed subgrade elevation, the pavement should be broken up and left in place. If the Contractor elects to salvage the pavement in lieu of breaking and including such pavement in the embankment, the Contractor must replace this material with an equal volume of earth material. The replacement of this material is not to be paid for.
 
The provisions of Section 802 ​of the Specifications shall be strictly adhered to when broken pavement is disposed of in waste areas furnished by the Contractor.

250-3 MEASUREMENT AND PAYMENT
 
Measurement in square yards for pavement removed will be made of the actual surface prior to removal. The depth of pavement should also be noted in the remarks column of the pay record book. Measurement in square yards of pavement broken and left in place will be made of the actual surface area prior to breaking.
 
The volume of pavement removed must be deducted from quantities of excavation for which the Contractor is to be paid when it was included in the original earthwork cross sections. Pavement depth must be noted at the time of removal such that sufficient information is available to make the calculation. Payment will be made by area for the work measured in accordance with Article 250-3. Attention is directed to this Subarticle of the Specifications for payment when a combination of layers exists.
 
Pavement removed for the purpose of pipe installation is a part of the work of pipe installation and payment is to be made in accordance with Article 300-9.
 
Pavement removed from driveways, parking lots, etc. is considered part of unclassified excavation and payment is provided under Section 225.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 260 PROOF ROLLINGCM-02-260
 
 


260-1 DESCRIPTION
 
The Contractor may operate the proof roller at times other than when directed by the Technician. Such use is at the Contractor’s election and is not to be considered as work performed under this section.
 
The requirement for proof rolling, when required by the contract, may not be eliminated or modified without written approval.

260-2 EQUIPMENT
 
The Engineer and Technician shall check to see that the equipment conforms to the requirements of this article, observe ballast loading, and check tire pressure each time the equipment is used. In order not to trap water, thereby increasing the weight, the roller should be covered with suitable material to prevent intrusion of water.
 
Weight tickets signed by a licensed public weighmaster may be used to determine the empty weight of the roller and the weight of bulk ballast to be used.
 
Requests by the Contractor to substitute other types of equipment shall be forwarded to the State Construction Engineer through the Division Engineer for approval or disapproval.
 
The Contractor shall not be permitted to tow the loaded proof roller over existing structures or pavement. Refer to Article 105-15 of the Specifications and this Manual.

260-3 CONSTRUCTION METHODS
 
Proof rolling is to be done when the roadbed is within plus or minus 6 inches of finished grade and the roadbed shall be rolled for a width located between points 2 feet outside the proposed edges of pavement including shoulder pavement. Care should be taken when operating over drainage that is within 6 feet of subgrade. The Contractor should construct ramps to prevent crushing top drainage pipes. If damage is suspected, the Materials and Tests Unit ​can perform a camera investigation.
 
A coverage is considered to be that stage in the rolling procedure when the entire area to be proof rolled has been covered by the body of the proof roller. Complete coverage will not include the area between the pneumatic tires. Each additional pass should overlap the previous pass by a minimum of 1 tire width.
 
Areas which have failed and been repaired shall be proof rolled again to confirm stability.
 
The Technician shall follow the proof roller observing the action of the roadbed produced immediately behind the tires of the roller. When the roadbed material compresses and remains compressed, the roadbed is satisfactory. When the roadbed material compresses and then rebounds to any appreciable extent, further testing and investigation and consultation with the Engineer and/or the Geotechnical Unit ​shall be made. Horizontal slippage or crust breakage is not considered as failure.
 
The Engineer and Technician shall take immediate steps to determine the cause of any failures observed. Failures are typically caused by unsuitable materials or excessively wet materials. These conditions may be found to be as much as 6 feet below the roadbed surface. Assistance in determining corrective action required may be obtained from the Geotechnical Unit.
 
Should it be determined that the failure is due to negligence or is not compensable under the Specifications, the Engineer shall so inform the Contractor in writing.

260-4 MEASUREMENT AND PAYMENT
 
No measurement of rolling time is to be made when:
 
  1. The roller is being used for the Contractor’s convenience.  
     
  2. The Technician is not present.  
     
  3. Rolling is necessary due to corrective action made necessary by the negligence of the Contractor or damage from weather.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 265 SELECT GRANULAR MATERIALCM-02-265
 
 


265-1 DESCRIPTION
 
Furnish and place select granular material as detailed in the plans or as directed.

265-2 MATERIALS
 
See Section 1016 for material information. Some borrow pits will provide material meeting select granular material requirements. The Contractor may use the same material for embankment formation that is used for Select Granular (when meeting the requirements of 1016-3 for Class II and Class III).
 
When overruns are anticipated for this item, consult the Geotechnical Unit for guidance on possible alternatives.

265-3 CONSTRUCTION METHODS
 
Care should be taken placing the material when fabric is used. Place select material over fabric or in water by dumping and surging forward with a dozer or other suitable equipment. Do not dump over the edge of the previously constructed embankment. Use only Class III Select Granular Material in water. This article DOES NOT require the use of Select Granular Material every time geotextile for soil stabilization is utilized.

265-4 MEASUREMENT AND PAYMENT
 
Select Granular Material is paid for as Select Granular Material, or Select Granular Material, Class III unless the contract includes the item of Borrow Excavation and the Select Granular Material is being obtained from the same pit. When this occurs, Select Granular Material is paid for at the lower price for either Select Granular Material, Select Granular Material, Class III or Borrow Material.
 
When Select Granular Material is required to backfill undercut performed as a part of Comprehensive Grading, payment for the material utilized to backfill the undercut will be made as described in this article.
 
The preferred method of measurement for Select Granular Material is the in place volume or weight. When weighed in trucks, a unit weight of 135 pcf will be used to convert the weight to cubic yards. Truck measurement is allowed at the Engineer’s discretion.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 270 GEOTEXTILE FOR SOIL STABILIZATIONCM-02-270
 
 


270-1 DESCRIPTION
 
Furnish and install geotextile in accordance with the plans or as directed. Work includes furnishing, hauling, placing, sewing and stapling geotextile.

270-2 MATERIALS
 
Refer to Section 1056. Do not use geotextile that has been exposed to sunlight for more than 7 days.

270-3 CONSTRUCTION METHODS
 
Place geotextile, overlap, and backfill where directed and as outlined in the specification.

270-4 MEASUREMENT AND PAYMENT
 
Measure the square yards along the surface of the ground. No measurement is made of overlaps.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 275 ROCK PLATINGCM-02-275
 
 


275-1 DESCRIPTION
 
Furnish and place rock plating as detailed in the plans or as directed.

275-2 MATERIALS
 
Provide Type 2 geotextiles and utilize the type of rip rap shown in the plan details.

275-3 CONSTRUCTION METHODS
 
Construct embankments and compact fill slopes. Undercut where necessary to rock plate cut slopes or to embed rock plating below the ground line. Unroll geotextile fabric down the slope, perpendicular to the roadway centerline. If a roll of geotextile does not reach the bottom the area, lap the subsequent roll 5 ft. with upper roll lapped over the lower roll. Adjacent rolls should be lapped 18”.
 
Install subsurface drainage when shown on the plans.
 
The rip rap should be uniformly graded, even if hand distribution is required to achieve uniformity.

275-4 MEASUREMENT AND PAYMENT
 
Measurement for Rock Plating is made along the slope face and paid for by the square yard. No measurement is made for rock plating embedded below the ground line.
 
Payment for Rock Plating includes the geotextile and any undercut necessary to properly install the Rock Plating. If subsurface drainage is required, payment is made in accordance with Section 815.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 300 PIPE INSTALLATIONCM-03-300
 
 


300-1 GENERAL
 
This section of the Standard Specifications, along with the standard drawings and the project plans, contains the requirements for the installation of various types of pipe. Additional requirements for the installation of structural plate pipe, pipe arch, and welded steel pipe are included at the end of Section 300 in this manual. Particular attention should be given to Standard Drawing Number 300 sheets 1 through 3. Sheet 1 provides details for the installation of flexible pipe. Flexible pipe includes HDPE, PVC and Corrugated Aluminum and Corrugated Steel pipe. Sheet 2 provides details for the installation of rigid pipe. Rigid pipe includes concrete and steel pipe. If a structural plate pipe or pipe arch is a part of the plans or is added by supplemental agreement, special details for their installation is required. Click this link for NCDOT training on Pipe Installation.
 
The location and size of pipe culverts is a design function of the Hydraulics Unit. The Engineer may make minor adjustments in the designed drainage system; however, if major changes are required, he should contact the State Hydraulics Engineer.
 
Examples of major changes are as follows:
 
  1. The elimination of any cross drain  
     
  2. The addition of any cross drain  
     
  3. Any change in the size and gauge of pipe  
     
  4. Change in the inlet or outlet location if it is outside a natural course  
     
  5. Any change which would create a diversion of water  
     
  6. Extensive additions to outfall drainage ditches  
     
  7. Modifications to Type A basins  
     
  8. Any changes affecting permitted areas 
Materials excavated for the installation of pipe, which are deemed suitable, shall be utilized in the construction of the project. While this material may not be suitable for pipe backfill above the required depth of select material, it may be useable as embankment if spread over a large shoulder or embankment area. Therefore, good engineering judgment must be exercised and all options explored before the Contractor is allowed to waste pipe excavation materials. Wasting of any unsuitable material is considered to be incidental to the pipe installation. Additional material, beyond that excavated during pipe installation, required for backfill up to the depth shown in the standard drawings, is incidental to price for pipe installation. When foundation conditioning material is required, payment will be made at the unit price for “foundation conditioning material, minor structures”.

300-2 MATERIALS
 
The type of pipe material received should be checked against the class or gauge pipe required by the plans. All select material used for foundation conditioning material must meet the requirements of Class V or VI. All select material used for bedding and backfill must meet the requirements of Class II or III depending on the type of pipe. The installation details for flexible and rigid pipe are unique and should be consulted to ensure the proper type and amount of select material is used for each pipe system. Test and approve the select backfill material prior to use.
 
Corrugated Metal Culvert Pipe, Structural Plate Pipe and Arched Pipe
 
Corrugated metal culvert pipe is on the North Carolina Brand Registration Program. Only producers and suppliers who submit a yearly Brand Certification and Guarantee, and adhere to the requirements of the program as specified by the Materials & Tests Unit, can sell corrugated metal pipe to the Department. As part of the producers’ final quality control check, they attach a sticker to 25% of the bundled pipe and to each large-diameter pipe shipped to a NCDOT project or Maintenance facility. The sticker will bear the name of the producer and the location of the plant where it was produced and will serve to notify the Technician that the pipe is from an approved source. However, it does not mean that it is NCDOT approved. A Materials Technician from the Materials & Tests Unit should give final approval of the pipe before it is installed.
 
Upon delivery of the pipe to the project, the Engineer must notify the Materials & Tests Unit to request an inspection. The project personnel will record the name of the Producer and the plant location on the Materials Received Report, along with the pipe dimensions and description. A copy of the Materials Received Report will be sent to the Records Section of the Materials & Tests Unit.
 
The Materials Technician will inspect the pipe and inform the Engineer of the results of the inspection. A test report will then be issued to the Engineer. A copy of this report will be submitted to the Records Section of the Materials & Tests Unit by the Materials Technician and one copy shall be maintained for the Technician’s files.
 
Concrete Culvert Pipe
  
The Materials & Tests Unit performs all inspection and testing of concrete culvert pipe at the producer’s site. Once the pipe has been tested and accepted, each piece will be stamped “NCDOT APPROVED”, in addition to the plant name and location, the day the pipe was cast and the pipe ID number. Along with the stamp, an RFID tag will be scanned and FIR created.  A test report will be generated by the Technician and filed in the Records Section of the Materials & Tests Unit. Test reports will be kept on file for each producer. The “NCDOT APPROVED” stamp will ensure that the pipe has met the minimum strength and workmanship requirements for any particular lot of pipe. Final acceptance of the pipe is the responsibility of project personnel.
 
When concrete pipe is delivered to a project, the project personnel will verify that it is approved for use by ensuring that it is stamped “NCDOT APPROVED.” A Materials Received Report will be completed. All information such as sizes, piece numbers, and name of manufacturer should be listed on the Materials Received Report. The project personnel will inspect the pipe for any damage which may have occurred during shipment such as cracks, breaks, etc., and reject any pipe they find unacceptable in accordance with AASHTO R73Guidance for scanning and entering precast products into Material Received Report using RFID can be found HEREA test report for the pipe will be sent to the Records Section of the Materials & Tests Unit, but will not be sent to the Engineer. If a need should ever arise, a copy of the report can be obtained from the Technician, who inspects the pipe at the plant before shipment, or from the Records Section.

300-3 UNLOADING AND HANDLING
 
This article of the Specifications requires that the Contractor exercise reasonable care in the handling of pipe and places the responsibility for the decision of rejection or repair of damaged sections on the Engineer. Repair may be permitted when damage will not impair the function or life expectancy of the pipe. If a question arises regarding repair or rejection of damaged pipe, the Section Materials Specialist may be consulted. The Contractor may elect to use undamaged rejected portions of pipe for partial sections.
 
When the pipe is being handled in the field it is imperative that approved lifting techniques be used. As stated in this section of the specifications only a lifting device which uniformly distributes the weight of the pipe along its axis or circumference will be allowed. The only alternative to these methods will be where the contractor is utilizing a supplier-approved device.
 
Concrete pipe delivered for use shall be stamped NCDOT approved. All pipes should also be field inspected by project personnel to ensure that there has been no delivery or job site damage. The final approval/rejection of pipe material should be made at the project level with assistance from the Materials & Tests Unit.

300-4 PREPARATION OF PIPE FOUNDATION
 
All pipe foundations are to be constructed in accordance with Roadway Standard Drawing Number 300, Sheet 1 or Sheet 2. All pipes require pipe bedding to distribute loads around the circumference of the pipe and to reduce point loading. The bedding should not be compacted prior to pipe installation. The line and grade of the bed should be checked from an offset string line, batter boards, or laser. When lasers are used to establish line and grade, the Technician should verify that the instrument is properly set up and functioning by checking the laser established line and grade against an independent line and grade stake set by the survey party.
 
A properly constructed foundation is a necessity inasmuch as a pipe culvert performs both a hydraulic and structural function. Distortion of the foundation under load may result in pipe failure and ultimately embankment failure. Appropriate care should be taken in the inspection of foundation construction. The Technician should carefully observe the foundation as it is being uncovered such that the Contractor may be advised as to any undercutting that may be required while the excavation is being made. On shallow trenches, an inspection of the proposed line should be made before the Contractor begins excavation and a decision made at that time as to any undercutting required, grade revisions, or revised location of the line. The decision to undercut, revise grade, or relocate the alignment should be made by the Engineer.
 
No pipe culvert shall rest on rock foundations and undercut will be performed. The depth of undercut may be varied along the length of the line as the embankment height varies along the line.
 
No pipe culvert shall rest on foundations that cannot be reasonably expected to support the anticipated dead and live loads. In areas of unsuitable material, undercut and provide geotextile and foundation conditioning material in accordance with Standard Number 300. Sheet 1 or 2. Ideally, undercut should be performed to a depth which is capable of supporting the load or capable of bridging over the unsuitable material. Foundation conditioning material will consist of Select Material Cl. V or Cl. VI fully encapsulated in engineering fabric.
 
The pipe foundation should be maintained in a dry condition. Water standing or flowing in the foundation should be ditched to a sump or pumped out. If seepage is a major problem, it may be necessary to construct subsurface drainage adjacent to the foundation as seepage after construction may undermine the foundation. It is the responsibility of the Contractor to divert existing drainage necessary to install the required pipelines. The Engineer should insure that any temporary diversion is adequate and will not cause siltation or property damage, especially in the case of heavy rainfall. No direct payment is made for diverting and/or dewatering the site as this is considered incidental to the cost of placing pipe. Earth material is not acceptable for damming a stream during pipe installation.
 
Where pipes are founded on compressible material, camber should be placed in the grade of the pipe to compensate for the settlement. The amount of camber to be used depends on the load imposed on the foundation material and the compressibility of the material. Since these factors vary, judgment is required in selecting the amount of camber to be used. In an effort to provide some guidance in the selection of values for camber, a chart of these values is included at the end of this section with the Technician’s Check List. Unless more precise information is available through consultation with the Geotechnical Unit, the values taken from the chart may be used. Typical situations that would require geotechnical consultation include high fill over weak, compressible soils. The Technician should thoroughly familiarize himself with the stakes and marks in laying off the pipeline.

300-5 INVERT ELEVATIONS
 
The proposed pipe invert elevations shown on the drainage summary sheets are for bidding purposes only and may not be appropriate for construction layout. It is the responsibility of the surveyor (DOT or Contractor) to stake out drainage system inverts according to actual field conditions. When Contractor surveying is utilized, it is the Contractor’s responsibility to submit the drainage layout, based on actual field surveys, to the Resident Engineer for approval prior to beginning work. Prior to beginning work on any pipe installation, the Engineer should have already reviewed the planned installation layout, provided by the surveyor, for invert elevations and pipe length. If the Engineer observes that pipe work has begun and no drainage layout has been submitted, the Engineer should request and review the layout.
 
The pay adjustment formula for changes in pipe invert elevations should be uniformly applied to all drainage systems where inverts are contained in the plans. A new line item should be created in HiCAMS to provide compensation.

300-6 LAYING PIPE
 
When laying pipe in areas covered by environmental permits, the pipe will be installed to allow the passage of low stream flows. This should allow the continued movement of fish and other aquatic life as well as to prevent head-cutting (upstream erosion) of the streambed. Consult the permit for details. Generally, for all pipes greater than 48 inches in diameter, the bottom of the pipe will be buried at least one foot below the bed of the stream unless such burial would be impractical and the Corps of Engineers has waived this requirement. For pipe 48 inches in diameter or smaller, the bottom of the pipe must be buried below the bed of the stream to a depth equal to or greater than 20 percent of the diameter of the pipe. For example, a 36 inch pipe should be buried a minimum of: 36 inches x 20% = 7.2 inches. Placement of the pipe and temporary erosion control measures shall not be conducted in a manner that may result in the disequilibrium of wetlands, streambeds, or stream banks adjacent to, upstream, or downstream of the pipe. To allow the continued movement of bed load and aquatic organisms, existing stream channel widths and depths will be maintained at the inlets and outlets of the pipe. Riprap armoring of streams at inlets and outlets shall be minimized above ordinary high water elevation in favor of bioengineering techniques such as bank sloping, erosion control matting and revegetation with deep rooted woody plants.

(A) RIGID PIPE (RCP, Welded Steel)
 
Where possible, lay pipe beginning at the downstream end of the line. On skewed lines, which are to be field cut to fit headwalls or drainage structures, care must be taken to ensure that the first joint of pipe is placed so that a cut across the full diameter of the pipe may be made. The bell or groove end shall point upstream. When a bell and spigot type of pipe is used, the bedding must be excavated to a sufficient depth and width to accommodate the bell such that the entire length of joint is resting snugly in the bedding.
 
Before the joining of pipe sections is begun, the Technician should assure himself that the Contractor has the specified jointing agent. The Specifications require the use of flexible plastic joint material for concrete culvert pipe. For pipe 42” in diameter and greater, the joint shall be wrapped in geotextile that will extend at least 12” on each side of the joint prior to backfill. The requirement for the use of any other joint material will be given in the Project Special Provisions. The Technician should determine that the joint material is on the approved products list at the M & T website. The joint material should be placed midway on the tongue of the pipe and homed using techniques that do not damage either pipe. Too much force in homing can damage the tongue or bell and too little force can fail to properly seal the pipe.
 
The Technician shall assure himself that the pipe has been laid to proper line and grade and the lift hole filled with grout or other approved method, prior to giving his permission to backfill the pipe.
 
A pipe density should be run at the springline of each cross line pipe and again at the top of the backfill. Pay particular attention to compaction efforts where pipelines enter drainage structures to ensure density is obtained under the last joint of pipe.

(B) FLEXIBLE PIPE (HDPE, PVC, Corrugated Metal, Corrugated Aluminum)
 
Prior to laying metal pipe, the Technician shall assure himself that the Materials & Tests Unit has approved the pipe and bands. The Materials Specialist performs this inspection on the site after the pipe has been delivered to the project.
 
The procedure for laying flexible pipe is virtually the same as for rigid pipe although the backfill requirements are different (See Std. Drawing 300 Sht. 1 of 3). When HDPE is used, install it starting on the downstream end with the circumferential laps pointing downstream and with the longitudinal laps at the side or quarter points. Flexible pipe joints should be cleaned prior to joining. When corrugated bands are used to connect pipe, the band is first slipped into position over the end of the pipe section in place with the band left open to receive the next section. The adjoining section is brought to within about 1 inch of the first section with the corrugations of the band matching the corrugations of the pipe. The corrugations must be kept free of dirt and gravel so that the corrugations fit snugly and are properly sealed. As the bolts are tightening the band, it should be tapped with a hammer or mallet to take up the slack. Torqueing of the bolts alone will not produce a tight joint on large diameter pipe. All pipe 60” or larger shall be match marked at the plant for proper installation on the project. Check the plans to determine if gaskets or rod and lug coupling bands are required.
 
Special attention should be given in placement so that the proper ends and matches are made to ensure best fit.

300-7 BEDDING and BACKFILLING
 
Determine which type, flexible or rigid, of pipe system that is in use. Consult the appropriate standard drawing, Roadway Standard Drawing 300 Sheet 1 or Sheet 2 for the depths and types of backfill material required. All pipe systems require the use of Select Granular Material Cl. III or Cl. II Type 1 for bedding material. The bedding thickness is the inside diameter divided by 6 but never less than 6”. The bedding should be loosely placed so that the pipe will self-bed within the material. Once the pipe is laid, the bedding material that is not under the pipe can be compacted. Pipe backfill should continue with select material up to the springline (middle) of the pipe. The type of select material varies depending on the type of pipe. Take care to fully compact the backfill in the haunch zone so that the full circumference of the pipe is supported. The type of backfill required above the springline varies based on the type of pipe utilized. When local material is permitted by the standard drawing, the Engineer must still ensure the local material is suitable for backfill.
On comprehensive grading projects, when local material is deemed unsuitable, material obtained from a borrow source to backfill the pipe from the springline to existing grade should be paid for in accordance with 104-7 if there is no borrow line item.  If there is a line item for borrow, and the borrow meets the requirements for select bedding and backfill, then no deductions should be made to the borrow quantity used for bedding & backfill. 
Samples of the material proposed for use as select backfill shall be submitted to the Materials & Tests Unit for approval prior to use on the project. Special care should be taken to ensure that the samples submitted are representative of the material proposed for use. Reference should be made to Section 1016 for the material requirements for the various classifications of select backfill material.
 
Regardless of the type of backfill, the backfill material will be spread uniformly on each side of the pipe and compacted. No subsequent layers shall be placed until the preceding layer has been satisfactorily compacted. The lifts of backfill shall be kept approximately equal in height on each side of the pipe to prevent distortion of alignment and pipe cross section by the compactive effort.
 
Periodic density tests shall be made on pipe backfill to verify the Contractor's method of compaction is giving satisfactory results. It is recommended that a density be obtained at the springline and the top of backfill for each crossline pipe. A subsequent embankment or subgrade density should also be run in this area but recorded as an embankment or subgrade density.
 
The Specifications do not place any restrictions on the equipment that may be used for compacting backfill. The Contractor should use equipment appropriate to obtain adequate density results.
 
If the Technician has reasonable grounds to believe that the pipe backfill has been improperly placed or compacted, he has the authority to direct the Contractor to remove the backfill, replace, and recompact it. “Reasonable Grounds” may be the result of probing with a sounding rod or density test. If this action is taken, the guidelines set forth in Article 105-11 of this Manual shall apply. As the backfill material is being removed, if there is any dispute with the Contractor as to whether or not the backfill is satisfactory, density tests shall be run to either verify or refute the contention.
 
No heavy equipment shall be allowed to operate over any pipe culvert until the backfill is completed to at least 3 feet above the top of the pipe. When 3-feet of cover is ramped up over a pipe line, box, or arch culvert in order to allow hauling with heavy equipment, the ramp approach should be of sufficient length to avoid impact loads on the pipe or culvert. This depth may be increased if, in the opinion of the Engineer, the Contractor's equipment would cause damage to the completed pipe culvert. In any event, however, it is the Contractor's responsibility to conduct his operations in such a manner as not to cause damage to any completed structure. Where possible, project personnel shall periodically inspect completed pipe culverts for possible damage caused by live loads developed from the Contractor's operations. If there is suspicion that damage has occurred to a pipe, the Materials and Tests Unit can provide a camera for viewing the inside walls.
 
Ensure that pipe is installed in accordance with permit conditions, erosion control plans and roadway plans. Where required by the plans, installation of Rip Rap at pipe inlets and/or outlets should be installed in conjunction with the pipe installation.

300-8 INSPECTION AND MAINTENANCE
 
The Engineer should perform random video and mandrel inspection of completed pipelines prior to final acceptance. A percentage of crosslines should be included in the inspection. This testing should occur after the completion of embankments but prior to base and paving when possible. Guidelines for repair/replacement of pipe include:
 
- For cracks < 0.01” – if a single crack or sporadic cracks of this nature, no repair or remediation is required. If there are multiple cracks of this size in a small area, repair may be necessary.
 
- For cracks > 0.01” but < 0.10” – for cracks of this size, check the vertical offset of the crack. For vertical offsets < 0.2”, provide a site specific repair for the crack. For vertical offsets > 0.2”, replace the pipe.
 
- For cracks > 0.2” – replace the pipe.
 
* For the following counties, site specific repairs may be necessary that fall outside the provided ranges to prevent corrosion in the pipe’s reinforcement: Beaufort, Bertie, Bladen Brunswick, Camden, Carteret, Chowan, Columbus, Craven, Currituck, Dare, Gates, Hertford, Hyde, Jones, Martin, New Hanover, Onslow, Pamlico, Pasquotank, Pender, Perquimans, Tyrrell, and Washington. Other areas throughout the state may require repairs if the pipe is determined to be installed in a corrosive environment (hot rock, very high soil ph levels, very low soil ph levels, etc)
 
Joints
 
- For joints that are Soil Tight – If the joint gap is greater than the manufacturer’s requirements, repair per manufacturer’s
recommendations. If not able to repair, replace as needed. If the joint gap is greater than manufacturer’s recommendations, replace as needed.
 
Slabbing or Spalling
 
- For pipe with slabbing that does not have exposed reinforcement, repair the pipe.
 
- For pipe with slabbing that has exposed reinforcement, replace the pipe.
 
- For pipe with spalling that does not have exposed reinforcement, evaluate if a repair is necessary.
 
- For pipe with spalling that has exposed reinforcement, evaluate if repair will be appropriate. If not, replace the pipe.
 
Maintenance
 
The maintenance portion of this provision of the Specifications requires constant monitoring by project personnel. All of the inlet and outlet channels of the pipe culverts should be periodically inspected to determine that they are properly functioning. Channels and pipe culverts that become clogged with debris and silt must be promptly cleaned out. This is necessary in order to prevent water from being impounded on private property and to properly drain the roadway. All inspections and subsequent instructions given to the Contractor shall be documented in the project diary.
 
Erosion control plans should be coordinated with the pipe installation to provide effective control of erosion and sediment loss.

300-9 MEASUREMENT AND PAYMENT
 
Foundation Conditioning
 
Using Local Material
 
Undercut Excavation will be measured in its original position by the average end method and paid for at double the contract unit price for Unclassified Excavation as provided in Article 225-7 or 104-7​ if there is not a contract price for Unclassified Excavation. If local material is used for foundation conditioning (ie. there was Cl. V or Cl. VI material excavated on the project or from a project borrow pit), then payment for the foundation conditioning material will be made in accordance with Section 225-7 or ​​230-5.
 
Using other than Local Material
 
When Class V or VI material is hauled to the project for foundation conditioning, no payment will be provided for Undercut Excavation for it is incidental to Foundation Conditioning Material. Care should be taken to avoid over-excavating the width of the trench and increasing the amount of Foundation Conditioning material needed.
 
Foundation Conditioning Geotextile
 
Measure and pay for foundation conditioning geotextile by the square yard. The measurement is based on the length of the pipe installed times twice the theoretical width. There is no measurement for any fabric overlap nor the vertical dimension of the fabric.
 
Bedding and Backfilling – Select Material
 
There is no measurement for select material for bedding and backfilling. This is considered incidental to the pipe. If unclassified excavation or borrow excavation meets the requirements for the required type of select material, no deduction from unclassified or borrow excavation to account for this use, will be made.

CAMBER FOR PIPE AND BOX CULVERTS
 
Where pipes or box culverts are founded on compressible material, camber should be placed in the grade to compensate for the settlement. The amount of camber to be used depends on the load imposed on the foundation material and the compressibility of the material. Since these factors vary, judgment is required in selecting the amount of camber to be used. In an effort to provide some guidance in the selection of values for camber, the chart below has been prepared. Unless more precise information is available, the values taken from the chart may be used.
 
Do not exceed maximum camber, 1/2 the available fall, or L/200 x % grade, for any box or pipe culvert.
 
CAMBER CHART (English Units) 
Camber Chart Div 300.png
      
  
Sample Use of Chart (English Units):
 
  1. Example : Assume 250' culvert on 1.55 grade under 25' fill with soft material Max. Camber = 250/200 x 1.5 = 1.875' = 22 ½''. By Chart Camber - 7 ½". Use 8".  
     
  2. Example: Assume 250’ culvert on 0.4% grade under 25’ fill with soft material Max. Camber = 250/200 x 0.4 = 0.500’ = 6”. By Chart Camber = 7 ½”. Use 6”. 
  • Note - Metal pipe culverts, fittings, and other accessories covered by this section shall be furnished by a supplier who has met the requirements of the Department’s Brand Certification Program ​for metal culvert pipes and is listed on the Department's preapproved list for suppliers of metal culvert pipe. The preapproved list can be found on HiCAMS Vendor. The pipe must be accompanied by the Manufacturer’s Bill of Lading. Quality Control Stickers should identify 25% of each shipment. Material meeting the above requirements may be used upon receipt. Testing will be performed by the Materials & Tests Unit.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 305 DRAINAGE PIPECM-03-305
 
 


305-1 DESCRIPTION
 
Unless otherwise shown in the plans, flexible or rigid pipe may be used.

305-2 MATERIALS
 
The types of acceptable materials are listed here and referenced to Section 1032. Note that Corrugated Steel is not permitted in the listed counties. Only pipes with a smooth interior may be used in storm drain systems.

305-4 CONSTRUCTION METHODS
 
Only one type of pipe may be used between drainage structures.

305-5 MEASUREMENT AND PAYMENT
 
Measure pipe by counting the number of joints and multiplying by the length of the joint. Measure partial joints along the longest length to the nearest 0.1ft. Pay for pipe by the linear foot.
 
Measure and pay for pipe end sections, tees, elbows and eccentric reducers per each as the actual number that have been included in the work.
 
Select bedding and backfill is incidental to the installation.

ADDITIONAL RESOURCES
Completed
 ApprovedCONSTRUCTION MANUAL
  
SECTION 310 PIPE CULVERTSCM-03-310
 
 


310-1 DESCRIPTION
 
This section describes the method of measurement and payment for pipe and pipe products. Where the pay item is Pipe Culverts, the drainage summary will list the various types of pipe materials s that may be used.