expand Division : 00 SAFETY ‎(1)
expand Division : 01 GENERAL REQUIREMENTS ‎(7)
expand Division : 02 EARTHWORK ‎(15)
expand Division : 03 PIPE ‎(8)
expand Division : 04 MAJOR STRUCTURES  ‎(22)
expand Division : 05 SUBGRADES, BASES AND SHOULDERS ‎(12)
expand Division : 06 ASPHALT PAVEMENTS ‎(10)
expand Division : 07 CONCRETE PAVEMENTS ‎(4)
expand Division : 08 INCIDENTALS ‎(31)
expand Division : 09 SIGNING ‎(7)
expand Division : 10 MATERIALS ‎(37)
expand Division : 11 TRAFFIC CONTROL ‎(14)
expand Division : 12 PAVEMENT MARKINGS ‎(13)
expand Division : 14 LIGHTING ‎(9)
expand Division : 15 UTILITIES ‎(9)
expand Division : 16 EROSION CONTROL AND ROADSIDE DEVELOPMENT ‎(29)
expand Division : 17 SIGNALS AND INTELLIGENT TRANSPORTATION SYSTEMS ‎(31)
expand Division : ENGINEERING CONTROL ‎(1)
expand Division : SIGNIFICANT REVISIONS ‎(1)
  
expand R & R Section : RECORDS AND REPORTS ‎(48)
  • 04 MAJOR STRUCTURES

  • STRUCTURES FORMS

  • RECORDS AND REPORTS

  • FORMS AND EXAMPLES

  •         The following forms and examples have been provided to assist the Division and Resident Engineers and their staff in completing the various required documentation for contract construction projects.  It is the intent of this subsection of the Manual to have various forms available to the Resident Engineers, however, keep in mind that the majority of the forms are available electronically on the Department website. 


    DIVISIONS 00 THROUGH 17

    DIVISION 1 - GENERAL REQUIREMENTS

    Submittal Tracking Form

    Subcontract Approval Form

    FAP-1

    USDOL Form WH-347

    Form 1444

    FAP-2

    FAP-3

    Spot Interview Form – English

    Spot Interview Form - Spanish

    Form 108-10(B)4

    Example Certificate of Liability Insurance

    DIVISION 2 - EARTHWORK

    Reclamation Plan for Contracted Projects Borrow Pits

    Reclamation Plan for Contracted Project Waste Site

    Reclamation Plan Checklist for Contracted Projects

    NCDEQ Form GW-30

    NCDOT Form #CCP-2015-V1

    DIVISION 4 - MAJOR STRUCTURES

    Form HHCCU-3768

    Form HHCU-3768-R

    Materials & Tests Form 913

    Advance Notice of New Structure Completion

    Notice of Vertical Clearance Change

    Deck and Rail Acceptance

    Engineer Acceptance Report

    CC List for Acceptance and Structure Notification Forms

     

    DIVISION 7 - CONCRETE PAVEMENTS

    M&T Form 253P 

    M&T Form 253L

    M&T Form 253R

    DIVISION 8 - INCIDENTALS

    Reclamation Plan Checklist

    Reclamation Plan Narrative

    Reclamation Plan Maps

    DIVISION 10 - MATERIALS

    M&T Form 913

    M&T Form ER-02

     

    DIVISION 11 - TRAFFIC CONTROL

    NCDOT Worksite Audit Form R-1

    DIVISION 12 - PAVEMENT MARKINGS

    Initial Pavement Marking Inspection Report Form

    Initial Application for Pavement Marking Certification

    Renewal Application for Pavement Marking Technician Certification

     

    DIVISION 14 – LIGHTING

    Contractor Meg Circuit Data Form

    DIVISION 16 - EROSION CONTROL AND ROADSIDE DEVELOPMENT

    NPDES form SPPPForm30

    DIVISION 17 - SIGNALS AND INTELLIGENT TRANSPORTATION SYSTEMS

    Preemption Test Procedure Checklist

    Inductive Detection Loops & Grounding Test Results

     


    RECORDS AND REPORTS

     

    PROJECT SCHEDULE

    Progress Schedule Chart

    Sample Progress Schedule Chart

    Proof Rolling Daily Report

    Proof Rolling Daily Report Example

    ANNUAL EEO REPORT - FHWA FORM 1391

    FHWA Form 1391

    REQUESTS FOR SUBCONTRACT

    Subcontract Approval Form

    Subcontract Approval Form Instructions

    Additional Second Tier Subcontractor Form

    DISADVANTAGED BUSINESS ENTERPRISE/MINORITY BUSINESS ENTERPRISE/WOMEN BUSINESS ENTERPRISE

    Trucking Plan Example 

    Truck Report Example

    Truck Report Blank

    Joint Check Notification Form

    DBE/MBE/WBE Replacement Request Form

    DBE/MBE/WBE Subcontract commitment payment summary

    SUPPLEMENTAL AGREEMENTS

    Supplemental Agreement Pricing Form

    FORCE ACCOUNT WORK

    Force Account Summary Form 480

    Form 480A Materials

    Form 480B Labor

    Form 480B Labor Overtime

    Form 480B Labor Summary

    Form 480B Labor Additives

    Form 480B Travel Method A

    Form 480B Travel Method B

    Form 480B Travel Summary

    Form 480C Equipment

    Form 480C Owner/Operator Equipment

    Request to Perform Force Account Construction on Federal Aid Project

    PROJECT CLOSEOUT CONFERENCE

    Sample Affidavit

    Claims Resolution Form

     

    BILL OF SALE AND CONSENT OF SURETY

    Sample Consent of Surety

    PROJECT CLOSEOUT PROCESS FOR DIVISION LET CONTRACTS

    Division Closeout Conference Form

    DBE/MBE/WBE Subcontract Commitment Payment Summary form

    ​ 

    FINAL VOUCHER PROCESS FOR FEDERALLY FUNDED CONTRACTS

    Form 1446B

    1446B Checklist


  • ​       The Weekly Project Report is a summation of project progress for the week.  This should include completion of major sections of work, completion of milestones, notes of conflicts or potential conflicts to the contractor's operations, issue resolutions, etc.  The Engineer should also include observations and concerns regarding safety, environmental concerns and project progress. 

          The Lead Project Inspector should complete the Weekly Project Report each week.  The Resident Engineer and/or the Project Engineer should document his comments, observations and instructions on the weekly project report.  The report should include information from significant conversations and correspondence between the Lead Project Inspector, Resident Engineer, and/or Project Engineer and the Contractor, municipalities, utilities, environmental agencies, Department Design Units, property owners, etc. 

           A Weekly Project Report should be completed for each week beginning with the date work began and continued through the date the project is completed and accepted for maintenance.  Information to note is the date of the Preconstruction Conference, meetings with the permitting agencies and utility companies, utilities beginning work or any other dates deemed important by the Engineer should be included in the Weekly Project Report.

         The Weekly Project Report sheet should be approved by the Resident Engineer or the Project Engineer weekly.  Information required for the Weekly Project Report includes the following items, referenced by number on the example form.

    1. Add:  This is the location to add photographs, meeting minutes, correspondence, and/or other pertinent documents to the weekly project report.

    2. Contract Number:  This is the number assigned to the project for construction purposes.

    3. T.I.P. Number:  This is the number assigned to the project if it is a project included in the NCDOT Transportation Improvement Program. 

    4. Week Beginning:  This is the date of the Monday that begins the week of the report.

    5. Contractor's Controlling Operation(s):  The Engineer should list the Contractor's controlling operation(s) each week or when there is a change in the controlling operation(s).  If the controlling operation changes within the week, the new controlling operation should be noted and dated.  Article 101-28 of the Standard Specifications defines the current controlling operation(s) as “Any operation or operations, as determined by the Engineer, which if delayed would delay the completion of the project."

    6. Delays to Contractor's Operations:  This item should be checked Yes or No for each day.

    7. Reason for Delay:  If there are delays, a follow-up explanation is needed on the following line, such as heavy rains, too wet, no stakes, etc.


          Note any conditions tending to delay the work and the termination or correction of these conditions.  Also note any unforeseen difficulties encountered on the project, such as utilities not relocated or not shown on plans, right-of-way difficulties, insufficient or erroneous stakeout, insufficient personnel or equipment, interference by another Contractor or Subcontractor, incorrect or insufficient supply of materials, etc.  This is very critical information.

          Delays to the Contractor's operations that are caused by the Department should also be documented to provide an accurate and factual record of the delay.  Department personnel often hesitate to document their errors or Department-caused delays in the report because they feel this is a reflection upon them or it is helping the Contractor.  It is the Department's responsibility to document all facts so that the Contractor is properly compensated by additional compensation or additional contract time for all he is due under the terms of the contract.  It is also imperative that documentation be placed in the report as to the time and date that the delay to the Contractor's operations was resolved or removed and the Contractor was no longer prevented from performing the subject operation.  Even though the Contractor may choose not to commence this operation immediately after removal of the encumbrance, the time and date that the conflict was cleared to the point that he could resume operations should be documented in the report.

    8.     Any Work In Dispute?:  This entry should be checked either Yes or No

    9.     Reason for Dispute:  If there is disputed work being performed, a follow-up explanation is required.  Disputed work would be any work that has the potential for a claim.  This explanation should identify the work and nature or basis of the dispute, such as pipe installation - deeper than bid, fine grading - wasting surplus shoulder material, etc.

    10.  Inspector's Comments: This section allows the Lead Project Inspector to provide comments or further explanation of the week's activities, such as delays to the contractor's operation or work performed in dispute.  This section can also be used for summarizing what operations that were performed.

    11.  Assistant Resident Comments:  This section allows the Project Engineer to provide comments regarding the project such as the following:

    • General comments upon status and condition of work
    • Instructions given or received
    • Contact with property owners
    • Coordination of stakeout or inspection performed
    • Detailed explanation of any delays or conflicts to the Contractor's operations
    • Any coordination performed as to sampling or testing
    • Contact with utilities or city representatives
    • Any decisions rendered
    • Requests by the Contractor

    12.  Resident Engineer's Comments:  This section allows the Resident Engineer to provide comments regarding the project such as the following:

    • General comments upon status and condition of work
    • Instructions given or received
    • Contact with property owners
    • Coordination of stakeout or inspection performed
    • Detailed explanation of any delays or conflicts to the Contractor's operations
    • Any coordination performed as to sampling or testing
    • Contact with utilities or city representatives
    • Any decisions rendered
    • Requests by the Contractor

    13.  Title: This is the title given to this weekly project report.  The title usually contains the date of the week beginning the report.

     

        In summary, the Weekly Project report is one of the most critical and important project documents.  It is the Resident Engineer's responsibility to ensure that all pertinent data is placed in the report.  Any comments the Resident Engineer feels would clarify the status of the project to someone using the inspector's daily reports or the weekly project report, at a later date, should be made. 

         The General Statutes provide that project diaries are not public records until after the final estimate is paid.  Accordingly, the general public and Contractor should not be allowed access to the Inspector's Daily Reports or the Weekly Project Report.  An exception to this is when there are claims or legal actions not between the Department and the Contractor.  See Public Information in the Records and Reports section of the Construction Manual.


      

    ​​​

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  •  

    FINAL PROJECT INSPECTION

    PROCEDURES FOR SCHEDULING AND CONDUCTING   FINAL PROJECT INSPECTIONS
     
    • The Contractor and Resident Engineer should communicate and discuss punch list items throughout the life of the project. “Catch it as you go. Do a “final” everyday.”
    •  
    • The Contractor should make a request to the Resident Engineer for Final Inspection within 2 – 3 weeks of the project or portions, as provided in Article 105-17, being complete.
    •  
    • The Division (Resident Engineer) will schedule a Final Inspection Date with the Area Construction Engineer and the Division Construction Engineer.
    •  
    • Once the Final Inspection Date has been established, all stakeholders that the Division desires to participate in the Final Inspection should be notified to perform their evaluation of the project either on or prior to the Final Inspection Date. County Maintenance Engineers, Bridge Maintenance Engineers and Roadside Environmental Engineers may be requested to evaluate the project. Any recommendations should be provided to the Resident Engineer for inclusion in the Final Punch List.
    •  
    • Prior to the Final Inspection Date, the Contractor should, at minimum, thoroughly evaluate their project for the Common Final Punch List Items (attached) to ensure all work is satisfactorily completed.
    •  
    • On the Final Inspection Date, a Final Punch List will be generated by the Resident Engineer, Division Construction Engineer, and Area Construction Engineer from the evaluation of the project. Recommendations for other stakeholders will be added to the Final Punch List. The Resident Engineer should provide the Contractor with a completed list once all parties have reviewed the project.
    •  
    • Once the Contractor has satisfactorily completed all work detailed on the Final Punch List, the Resident Engineer will notify the Area Construction Engineer and the project will be accepted.
    •  
    • The Area Construction Engineer will complete the Engineer Acceptance Report detailing the final acceptance of the project and a letter will be provided from the Construction Unit to the Division and Contractor accepting the project. On Division Contracts, the Resident Engineer will fill out the Engineer Acceptance Report and the Division will generate the final acceptance letter. 

    FINAL INSPECTION COMMON PUNCH LIST ITEMS
    Asphalt Pavement
     
    • Good ride quality
    •  
    • Longitudinal joints in correct location (not under wheel path)
    •  
    • Transverse and longitudinal joint are smooth
    •  
    • No fuel spills on asphalt and shoulders
    •  
    • No segregation
    •  
    • Correct cross slope
    •  
    • No standing water or water stains
    •  
    • Valves and manholes adjusted to proper height
    •  
    • Driveways (tie-in, widths) 
    Concrete Pavement
     
    • All spalls/cracks repaired
    •  
    • Joint sealed
    •  
    • Joint in proper location
    •  
    • Ride quality acceptable
    • Tining performed to specifications requirements
    •  
    • Correct cross slope
    •  
    • Acceptable appearance
    •  
    • Drains adequately 
    Pavement Marking
     
    • Stop bars/cross walks/ arrows/ symbols per plan or specification
    •  
    • Thermoplastic/paint workmanship (straight, weeps in thermoplastic, right color, width, excess marking removed, not placed over mud or dirt, proper thickness)
    •  
    • Retroflectivity of thermoplastic/paint
    • Roadway delineators (flexible and roadway) 
    Signs
     
    • Installed per plan
    •  
    • Correct orientation
    •  
    • Cleaned
    •  
    • Metals Engineer list completed
    •  
    • Overhead lighting inspection by Division
    •  
    • Overhead sign anchor bolts/nuts secured 
    Grading
     
    • No standing water in ditches, yard, etc.
    •  
    • Slopes graded to correct cross slope ( to include median ditches)
    •  
    • Project properly vegetated or seeded (no weak or bare areas)
    •  
    • All washes repaired and seeded
    •  
    • No more than one inch drop-off at edge of pavement (EP)
    •  
    • Mowing and topdressing has been performed
    •  
    • Erosion control measures removed unless otherwise directed 
    Guardrail/Guiderail/Barrier
     
    • Proper installation per Standard Drawings and manufacture installation procedures
    •  
    • Cross slope per standard drawing
    •  
    • Clear roadside recovery zone
    •  
    • No tack on rail end units or barrier
    •  
    • Workmanship (correct height, bolts on correct side and tight, tension on wire, delineators, good finish on barrier, clean) 
    Drainage
     
    • Drainage structures cleaned out
    •  
    • Pipes are flush with inside wall of box/inverts poured
    •  
    • Pipes sealed properly
    •  
    • Frames and boxes grouted where weep was left during grading
    •  
    • Correct type of grate
    •  
    • Grate does not rock
    •  
    • Steps installed
    •  
    • Pipes clean
    •  
    • Not missing expansion joint material between box and apron, expansion joint sealed
    •  
    • Aprons are not damaged
    •  
    • Pipe near subgrade level inspected for crush or cracked sections 
    Miscellaneous Concrete
     
    • Sidewalk (good finish, joint spacing, no cracks, writing, or footprints)
    •  
    • Curb and gutter (good finish, joint spacing, no standing water, cracks replaced or sawed and sealed, joints sealed)
    •  
    • Handicap ramps in correct location , installed correctly 
    Fence
     
    • No damaged areas
    •  
    • Tree/ debris removed 
    Signals
     
    • Inspected by Division Traffic Services
    •  
    • No stone in bottom of pullboxes
    •  
    • Signal head clearance
    • Improper welding or grounding 
    Overhead Lighting
     
    • Inspected by Division Traffic Services
    •  
    • Burn period performed 
    Borrow/Waste
     
    • Pits reviewed with property owners
    •  
    • Plan matches actual final condition of pit
    •  
    • All erosion control measures removed unless otherwise directed
    •  
    • Pit has been seeded with stand of grass established
    •  
    • Graded to drain
    •  
    • All washes repaired and seeded 
    General
     
    • Rocks and asphalt/concrete chunks removed
    •  
    • All stockpile areas cleaned and seeded and mulched
    •  
    • Trash picked up
    •  
    • Mail boxes adjusted/relocated 
    Structures
     
    • Asphalt not placed in bridge wing walls
    •  
    • Evazote Joint Repairs – Inspect joints for spalling, excess glue on evazote seal, splitting of seal at splice, properly installed evazote that is firmly bonded to joint opening, damage to coating on armored angles, weep holes in angle should not have voids, sound the metal angles for voids
    •  
    • Water test expansion joint seals as required in the project special provisions
    •  
    • Sound 50% of stay in place metal decking – additional sound if problems are found
    •  
    • Clean concrete slurry from deck and barrier rail after grooving deck
    •  
    • Clean tack, oil, dirt, and debris from deck
    •  
    • Inspect Bearing position in relation to anchor bolts to ensure sufficient space for future movement. Make adjustments as needed.
    •  
    • Remove concrete slurry from girders
    • Repair damaged paint on girders and diaphragms with same paint used by the fabricator
    •  
    • Painting welds on sole plates
    •  
    • Painting ends of tie rods (concrete girders) with NCDOT approved bush on zinc rich paint
    •  
    • Recess and seal expansion joint material between slope protection / end bents / wings
    • Recess and properly patch exposed form ties
    •  
    • Clean aluminum handrail and tighten all bolted connections
    •  
    • Check bolted endblock connection on aluminum handrail to ensure a bolt that can be removed and reinstalled
    •  
    • Check guardrail anchor system – patch spalling from drilling operation, tighten nuts, make sure proper number of posts (even field drilling the rail to install end post near at backwall
    •  
    • Install barrier delineators
    •  
    • Clean tops of caps and epoxy caps as required by plans – check and repair damaged epoxy as needed
    •  
    • Properly install PVC pipe, nuts, washers, and burr threads on anchor bolts
    •  
    • Remove all forming materials from end bent joints
    •  
    • Remove from fins from bottom of interior bent caps, bottom of overhangs, and other chamfered edges
    •  
    • Patch overhang jack holes
    •  
    • Point and patch substructure as needed (deep air bubbles larger than a dime). Make sure final surface finish is uniform – avoid spotty looking patchwork
    •  
    • Review end bent caps and around perimeter of slope protection for scour holes – fill with flowable fill as needed
    • Trim top of permanent casing on drill shaft to elevation of concrete and remove column forming support aids
    • Paint deck drain pipes and /or extend them on steel girder bridges
    • Recess and seal expansion joint material between cored slabs and end blocks and interior bents
    • Install expansion joint material or backer rod in barrier at rail at interior bents and seal ​
    This list is not all inclusive of the items needed for final acceptance and should serve as a list of common items needing attention prior to the Department performing a final inspection.

    ADVANCE NOTICE OF NEW STRUCTURE COMPLETION​

    The Structures Management Unit (SMU) is responsible for the inspection, load capacity analysis, inventory, and administration of maintenance policies and procedures for structures on the State Highway System, which includes but is not limited to bridges, reinforced box culverts, and pipe groupings larger than 20' in width.  The Federal Highway Administration (FHWA) has established National Bridge Inspection Standards to help create uniformity nationwide and to ensure both older and new bridge types are properly monitored.  FHWA requires the inspection of new structures within 30 days of opening the structure to traffic.  The submittal of the Advance Notice of New Structure Completion form will notify SMU that a bridge is nearing completion and will need to be inspected.  SMU prefers that the inspection be performed prior to opening the structure to traffic. 

    The Advance Notice of New Structure Completion form can be found in the individual projects Construction Team Site within each Division.  The critical steps in the process are as follows:

     

    • The Resident Engineer will fill out and complete the online Advance Notice of New Structure Completion form
    • The Resident Engineer will submit an email with attached web link of the completed form to the Division Construction Engineer, Area Construction Engineer, SMU personnel listed on the form, and the State Signing and Delineation Engineer if overhead signs are included.
    • Complete the form approximately 4 weeks prior to completion of the structure and use an estimated completion date.
    • If the anticipated date of opening to traffic changes, a revised form can be sent.  ​​

    NOTICE OF VERTICAL CLEARANCE CHANGE

    The Structures Management Unit (SMU) is required to maintain a database of the vertical clearances on all roadways. The database is used to evaluate proposed routes for oversized loads. To assist in making sure SMU has the most current information; Resident Engineers should report any changes (increases and decreases) in overhead clearances. Reported changes include vertical clearances for new bridges and sign structures, new vertical clearances due to construction or resurfacing under structures and removal of existing structures.

    The Notice of Vertical Clearance Change form can be found in the individual projects Construction Team Site within each Division.  The critical steps in the process are as follows:

    • The Resident Engineer will fill out and complete the online Notice of Vertical Clearance Change form
    • The Resident Engineer will submit an email with attached web link of the completed form to the Division Construction Engineer, Area Construction Engineer, Oversize/Overweight Permits, and Structures Management.
    • The report should be completed and sent immediately upon changing of the vertical clearance.
    • For divided multilane facilities, provide minimum clearance values for each direction of travel; Also list collector/distributor lanes separately
    • Report values in English Units and round down to nearest inch.
    • Provide as much information as possible to identify the structure location.

    DECK AND RAIL ACCEPTANCE

    ​​
    Article 105-7 states that bridge decks and rails that have been constructed or rehabilitated and are opened to public traffic can be accepted prior to acceptance of the project. Prior to opening the bridge(s) to traffic, an inspection shall be performed by the Area Construction Engineer and all punchlist items completed.  The Area Construction Engineer shall be notified immediately when traffic is placed on the bridge.  The Engineer Acceptance Report​  will be filled out and sent to the appropriate personnel listed on the form documenting the acceptance of the deck and rail.  The Deck and Rail acceptance should be completed within 72 hours of opening the road to traffic.  The Deck and Rail Acceptance is required on all bridges, whether completed prior to final acceptance of the project, or in conjunction with the final acceptance.  On DivisionLet Contracts and Locally Administered Projects (LAP), the Resident Engineer shall fill out the Engineer Acceptance Report for Deck and Rail acceptance. 

     

    FHWA requires the NBIS inspection of new structures within 30 days of opening the structure to traffic.  The Resident Engineer should have already sent in the Advance Notice of New Structure Completion form to SMU around 4 weeks prior to completion of the bridge.  The Deck and Rail Acceptance is the Contractual Acceptance of the bridge, and is the date used by FHWA in establishing the 30 day inspection requirement.  Therefore, it is critical that this form be sent within the 72 hour time frame.

    Additionally, this contractual acceptance of the deck and rail triggers the beginning of the 12 Month Guarantee Provision for the bridge.  This is tracked in the Project Guarantee tab under Review Contract Details in HiCAMS. 


    ENGINEER ACCEPTANCE REPORT

    When all or a portion of a project is complete and ready to be accepted in accordance with Article 105-17, the Engineer Acceptance Report form shall be completed.  This form can be used for bridge Deck & Rail Acceptance, Partial Acceptance (All work except vegetation or any other portion of the project), and Final Acceptance.  The Area Construction Engineer utilizes this form on Centrally Let projects and the Resident Engineer utilizes the form on Division Let projects.   This form should be completed within 72 hours of completion of the work being accepted. 

    The Engineer Acceptance Report form can be found in the individual projects Construction Team Site within each Division.  The critical steps in the process are as follows:

     

    For Centrally Let Projects

    • The Area Construction Engineer from the Construction Unit will fill out and complete the online Engineer Acceptance Report form
    • The Area Construction Engineer will submit an email with attached web link of the completed form to the Division Construction Engineer, Resident Engineer, and other personnel listed on the form
    • A letter will be generated by the Construction Unit notifying the Contractor of the Final or Partial Acceptance of the project
    • For Deck & Rail Acceptance, after receiving the form, the Resident Engineer will notify the Contractor in writing

     

    For Division Purchase Order Projects (DPOC)

    • The Resident Engineer will fill out and complete the online Engineer Acceptance Report form
    • The Resident Engineer will submit an email with attached web link of the completed form to the Division Construction Engineer and other personnel listed on the form
    • A letter will be generated by the Division notifying the Contractor of the Final or Partial Acceptance of the project
    • For Deck & Rail Acceptance, after completing the form, the Resident Engineer will notify the Contractor in writing

    The following responsibility chart should be followed:

     

    When a portion or all of the Contract has been accepted, including Deck & Rail acceptance, this begins the 12 Month Guarantee Provision detailed in the Project Special Provisions.  This is tracked in the Project Guarantee tab under Review Contract Details in HiCAMS.  This information should be entered in accordance with the responsibility chart listed above.  

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    CC LIST FOR ACCEPTANCE AND STRUCTURE NOTIFICATION FORMS​
    CENTRALLY LET CONTRACTS 

    Engineer Acceptance Report (Partial, Final, Deck & Rail Acceptance)

                -This is the old Construction Engineer Inspection Report and is renamed in SharePoint

     AREA CONSTRUCTION ENGINEER SUBMIT ENGINEER ACCEPTANCE REPORT TO: 

    - Construction Unit – (CCU@ncdot.gov)

    - Division Construction Engineer

    - Resident Engineer (RE to notify contractor if Deck & Rail only)

    IF INCLUDES STRUCTURES

    - Structures Management Unit - (SIA@ncdot.gov)

    - Structures Management Unit - (Gichuru Muchane)

    - Oversize/Overweight Permits - (Permit-structures@ncdot.gov)

    IF OVER FEMA REGULATED STREAM

         * For Division Let and LAP Contracts, the RE will submit this form and copy everyone above, including the Area Construction Engineer. 

    Advance Notice of New Structure Completion

    RESIDENT ENGINEER SUBMIT NOTICE OF NEW STRUCTURE COMPLETION FORM TO: 

    • Structures Management Unit (SIA@ncdot.gov)
    • Structures Management Unit - (Gichuru Muchane)
    • State Signing and Delineation Engineer (for Overhead Structures)
    • Division Construction Engineer
    • Area Construction Engineer

    Notice of Vertical Clearance Change

    RESIDENT ENGINEER SUBMIT NOTICE OF VERTICAL CLEARANCE CHANGE FORM TO: 


  • VEP ​EXAMPLES
     

    Examples have been included to assist the Resident Engineer's office in understanding a Value Engineering Proposal (VEP).

    The format of the examples provided closely simulates the submission of a VEP; documenting any appropriate information that should be included. These examples should be utilized as guides in understanding what the Contractor needs to submit for a VEP. The Resident Engineer and staff should use these examples and good judgment when discussing VEPs with the Contractor.

    The following are examples of typical VEP submissions:

    Value Engineering Proposal (VEP) using Submittal Form

    Value Engineering Proposal (VEP)

    Value Engineering Proposal (VEP) – Additional Samples of Sketches and Markups



  •  
     

    NORTHERN LONG-EARED BAT
      
    The US Fish and Wildlife Service (USFWS) formally listed the Northern Long-Eared Bat (NLEB) as a threatened species under the Endangered Species Act (ESA), and as a result, the rules of conservation of a threatened species became effective May 4, 2015.  The "threatened species" listing of the NLEB affects NCDOT projects statewide with a federal nexus.  The term "federal nexus" applies when a NCDOT project involves federal funding, federal permit or approval, use of federal lands or a federal program.
     
    NCDOT has entered into a programmatic agreement with the USFWS for Divisions 1 through 8 that involves a research and tracking program to establish conclusive information concerning the existence of the NLEB in the eastern part of North Carolina.  Project staff is required to report the number of acres cleared for all projects in these divisions with a federal nexus that were either let prior to May 4, 2015, but not yet accepted or for projects where clearing is completed after May 4, 2015.  Clearing quantities shall include an approximate area of tree canopy determined from project plans, aerial photos or surveying.  For this calculation, a tree is defined as having a trunk of at least a 3 inch diameter at chest height.  Report the estimated acres of clearing on the project after completion of clearing activities, (which is preferred) but no later than the project acceptance.
     
    A Biological Surveys project site has been developed in SharePoint under the Construction Projects team site for submission and reporting of the tree clearing for Divisions 1 through 8.  Complete the standard form for the NLEB to record the required information of contract number, TIP number(s), WBS number, county, project description, acreage of tree clearing, completion date of clearing, the acceptance date of project completion, and funding source.  The Biological Survey reporting form may be accessed using the following steps.
     
    1. Go to Your Team Sites on Connect and select “Construction Projects.”
       
    2. Select “Biological Surveys” Team Site.
       
    3. Under Northern Long-Eared Bat select “new item”.
       
    4. Complete the required reporting information and select “Save”. (Note: If the tree clearing is reported prior to the acceptance date, the “Accepted Project Completion Date” is not required.)


  • Effective January 1, 2021, all projects should utilize the electronic pay records system. An example can be found here:

    ​​https://connect.ncdot.gov/site/construction/Help/PayRecordsOverview.pdf

     

    ​​
  •  
    The Department allocates funding to Local Government Agencies (LGA) provided through the federal government (primarily the Federal Highway Administration (FHWA) and/or the state government, which is appropriated by the NC General Assembly. A LGA may be a municipality, county, state agency or a non-profit organization. The funds allocated to a LGA are used to construct a transportation project or deliver a transportation program. These projects are known as locally administered projects. NCDOT includes locally administered projects in the 5-Year Work Plan to receive federal or state funding based on recommendations of Municipal or Rural Planning Organizations, NCDOT staff and Board of Transportation Members. 
     
    The Department’s Transportation Program Management - Local Programs Management Office (LPM Office) is the contact for NCDOT with the LGA. The LPM Office establishes policy and procedures for the projects administered by a Local Government Agency and is responsible for the overall compliance of applicable state and federal regulations regarding these projects. The Local Programs Management Office works with the LGA from programming the project in the 5-Year Work Plan to the construction phase of the project, and is responsible for obtaining execution of the Project Agreement. The Project Agreement outlines the description and scope of the project, funding participation, the completion dates of the preconstruction and construction phases, provisions concerning the environmental document, design, right of way, construction administration, construction, maintenance, the terms of reimbursement and the reporting requirements. 
     
    The LGA is responsible for the design, construction and the contract administration of the project, and the Department is responsible for the project oversight to ensure that the project is constructed in accordance with the NCDOT Standard Specifications for Roads and Structures and the funds are expended appropriately and within the amounts established in the Project Agreement. The LGA will perform the daily contract administration duties such as project reviews, project documentation, materials sampling and testing, Disadvantaged Business Enterprise/Minority Business Enterprise/Women Business Enterprise compliance reporting and submission of project invoices. Supplemental agreements and claims granting additional compensation, which the LGA wants to consider for reimbursement through state or federal funding , must have prior concurrence from the Department. The LGA shall notify the Department of any claims, supplemental agreements or work beyond the scope of the original agreement and provide the required documentation for review and concurrence. The Department’s review and concurrence is to determine if the subject work is eligible for funding reimbursement. Approval authority remains with the LGA. 
     
    During the construction phase, the Department’s Division personnel will act as the primary contact with the LGA. Communication between the Division and the Local Programs Management Office should be maintained throughout the construction phase. The Local Programs Management Office should be notified of the following.
     
    • LGA begins construction
    • Any change order that requires the amendment of the Original Project Agreement
    • Changes to funding or milestone (completion) dates
    • Notice of project acceptance 
    Additionally, for projects with structures, the Structures Management Unit may not be aware of the Locally Administered Contract.  Therefore, the Division Engineer (or his delegate) is responsible for notifying SMU of contract award.  This will serve as a notice to the Structure Inventory and Analysis (SI&A) Officer that an inventory record will need to be updated and notice to the Working Drawing group for any upcoming contractor submittals. At the completion of the contract, SMU shall be notified of the structure completion and shall be sent a copy of the final as-built plans.

    The Department has developed an oversight plan for the construction phase of locally administered projects. The plan is attached and it outlines the duties of Division personnel, Construction Unit field engineers and the LGA.
     
    Locally Administered Construction Oversight Guidelines
     
    Division Construction Engineer (DCE) Duties
     
    • Prior to preconstruction conference, review any Professional and Engineering Service Agreements for conformance with Department procedures. Ensure that the Professional Management Services Unit of the Division of Technical Services reviews agreements with Private Engineering Firms (PEFs) to provide Construction Engineering and Inspections (CEI) services.
    • PEFs that perform design work for the project may not be utilized to perform CEI services. Local Agencies may request an exemption to this policy. Exemptions may be approved depending on the scope of work. Local Agencies should submit their request for an exemption to the Local Programs Management Office (LPMO) for review. LPMO will coordinate approval with the State Construction Engineer.
    • PEFs must be prequalified to perform CEI services.
    • NCDOT Certified Technicians must be provided to test and inspect items of work that require sampling, testing and inspecting by certified technicians (i.e. concrete, asphalt, densities). This applies to projects administered by PEF or Local Government Agency (LGA) staff.
    • Review reporting requirements at the preconstruction conference.
    • Prior to beginning work, review contract administration requirements and financial status (remaining balance of Agreement amount) with the LGA.
    • Assign a DOT representative to provide project oversight.
    • Monitor expenditures – Construction and CEI – and advise LGA in writing if the Agreement amount is exceeded or is anticipated to be exceeded.
    • Review for concurrence claims and Supplemental Agreements in accordance with the Department’s established thresholds. The Department’s review and concurrence is to determine if the subject work is eligible for funding reimbursement. Approval authority remains with the LGA.
    • Final inspection and written notice to LGA of required corrective work.
    • Final review of project records to determine conformance with required procedures prior to final reimbursement.
    • Ensure all commitments for the project have been removed in SAP after final payment or completion of the verified claim process. Check the status of commitments using the SAP function code ZPSR01.
    • Complete Form 1446B** (FHWA Final Acceptance Report) and the 1446B Checklist. Attach invoices for all charges, copy of final payment, a list of supplemental agreements and a list of time extensions, if applicable. Forward this package to the State Materials and Tests Engineer for material certification.
    • The Division Contract Administrator should check the status of payment of the Final Voucher** using SAP transaction code ZF22. The date of the payment of the final voucher will begin the period for retention of project records. See the Retention and Storage of Project Records and Documents in Records and Reports, for additional information about retention of records. 
    Resident Engineer (RE) or other DOT Representative Duties
      
    • Attend Preconstruction Conference.
    • Attend Monthly Construction and other regularly scheduled construction meetings.
    • Ensure that the private engineering firm used to perform construction administration is prequalified to perform Construction Engineering and Inspection by NCDOT. Also, ensure technicians who perform sampling and testing for project acceptance possess the appropriate certifications.
    • Ensure that exemption has been approved if the proposed firm performing CEI Services also provided design services for the project.
    • Review project as needed but a minimum of monthly. A monthly report shall be prepared and sent to the responsible agency documenting the following contract elements.
    • Pay record documentation.
    • Weigh Tickets.
    • Daily inspection reports.
    • Disadvantaged Business Enterprise/Minority Business Enterprise/Women Business Enterprise participation and tracking.
    • Materials received documentation.
    • Minimum sampling and testing of materials.
    • Certified Payroll submittal. **
    • Contract change documentation – Supplemental Agreements and Claims - For Supplemental Agreements, the RE / DOT Representative shall review the Project Agreement to verify that the supplemental work is within the original scope of work and to ensure funding is available for the change order. The Local Programs Management Office shall be contacted if an amendment to the agreement or a change in funding is necessary.
    • Documentation of penalties / acceptance as reasonably close conformance.
    • Review for concurrence all claims and Supplemental Agreements in accordance with the Department’s established thresholds. Concurrence with Supplemental Agreements required prior to beginning the supplemental work. The Department’s review and concurrence is to determine if the subject work is eligible for funding reimbursement. Approval authority remains with the LGA.
    • Enter submitted DBE-IS forms into SAP.
    • Process invoices submitted by the LGA for reimbursement.
    • Final project review – schedule DCE for final inspection, when appropriate. 
    Area Construction Engineer Duties
     
    • Provide reporting and contract administration training upon request from DCE or RE.​​
    • Review Claims and Supplemental Agreements in accordance with the Department’s established thresholds.
    • Perform final inspection, when requested by the DCE. 
    Area Materials Engineer or other Materials and Tests Representative
     
    • Attend the Preconstruction Conference.
    • Perform random material audits including ensuring approved sources are used, proper certifications are received, received material quantities equal paid quantities of materials.
    • Perform random reviews for proper sampling and testing procedures.
    • Provide guidance for receipt, acceptance, payment of materials and compliance with all materials related specification and standards. 
    Local Government Agency Duties
     
    • Schedule Preconstruction Conference with the Contractor, DCE, RE, M&T Area Materials Specialist and other interested parties.
    • Provide daily contract administration.
    • Provide project documentation in accordance with the Department’s policy and procedures and in accordance with Federal regulations.*
    • Ensure that the private engineering firm utilized for construction administration is prequalified to perform Construction Engineering and Inspection by NCDOT. Also, ensure the technicians who perform the sampling testing for project acceptance possess the appropriate certifications.
    • Ensure Disadvantaged Business Enterprise/Minority Business Enterprise/Women Business Enterprise compliance. Submit DBE-IS forms with invoices to document Disadvantaged Business Enterprise/Minority Business Enterprise/Women Business Enterprise program compliance.
    • Contact RE or DOT Representative when Supplemental Agreements or Claims need review and approval.
    • Contact RE or DOT Representative prior to performing any work outside the original scope of the project or when there are questions regarding the Department’s policy and procedures.
    • Present project invoices to the RE or other assigned Division staff for reimbursement of costs as included in the Project Agreement. Invoices should include all appropriate documentation and project records to support the invoice payment request.
    • The Local Government Agency is required to submit a Letter of Certification to the NCDOT State Materials Engineer certifying that the materials incorporated in the construction work were in conformity with all applicable standards, specifications and plans. For more information regarding the Letter of Certification, see "Local Government Agency Administered Contracts – Letter of Certification by Licensed Professional Engineer" later in this section.  ​​
    • ​Review final estimate and complete project closeout steps within 6 months from project acceptance.
    • Examples of pay record documentation can be requested from the Construction Unit.  

    **Note: The FHWA 1446B process, Final Vouchers, and submittal of Certified Payrolls only apply to projects that receive federal funding.
     
    *Exceptions for Locally Administered Greenway and Multi-Use Path Projects
     
    Note: The following exceptions listed herein do not apply to portions of the greenway or multi-use path project that contain bridge or pedestrian culvert construction components or retaining walls greater than 10’.
     
    • ​Physical measurements must be recorded for any line item paid in units. Pay record documentation should be kept by Line Item and in a format that is easily reviewed.
    • Weigh tickets are required for materials paid by the ton. Weigh Tickets should be received and maintained by Line Item and kept in date order.
    • Measurements must also be recorded for lump sum contracts in order to document the quantity of work accomplished.
    • The Local Government Agency is required to submit a Letter of Certification to the NCDOT State Materials Engineer certifying that the materials incorporated in the construction work were in conformity with all applicable standards, specifications, and plans.
    • Refer to the Modified Minimum Sampling Guide (MSG) for Greenways and Multi-Use Paths on the following page for guidance regarding minimum sampling requirements. 
    Local Government Agency Administered Contracts - Letter of Certification by Licensed Professional Engineer
     
    The responsible licensed Professional Engineer, designated by the county or municipality administering the contract and agreed upon by the Department’s designee assigned to oversee the contract administration, shall submit a letter to the State Materials Engineer certifying that the materials incorporated in the construction work, and the construction operations controlled by sampling and testing were in conformity with all applicable standards, specifications and plans. This shall include but is not limited to NCDOT Standard Specifications for Roads and Structures, NCDOT Special Provisions, NCDOT Standard Drawings and the NCDOT Minimum Sampling Guide. The Engineer must also verify and certify that all sampling and testing was conducted by technicians who hold current appropriate NCDOT certifications for the applicable testing and inspections they performed on the project. Any exceptions or shortages in required number of tests shall be noted in a separate attachment to the letter and may be deemed as non-participatory by the State Materials Engineer.
     
    The State Materials Engineer or designee will complete the project certification process with the NCDOT Federal Funds Management Unit and the Federal Highway Administration. Random project record audits may be performed to ensure compliance with all applicable standards and may designate any irregularities, deficiencies, or non-compliances as non-participatory.  

  •  

    The Construction Quality Index (CQI) Evaluation is an evaluation of all centrally let contracts with the exception of resurfacing contracts.  This evaluation provides a mechanism to determine if there are specific construction elements that are causing maintenance related issues after the final acceptance of a project.  The evaluation also provides a method to identify potential needed changes to the standard design details or specifications. 

    The CQI evaluation review should be performed approximately 10 months after the acceptance of a project.  (This review should coincide with the 12 Month Project Guarantee review for those projects that require both reviews).  The CQI reviews are performed by the Division Construction Engineer (DCE), Division Maintenance Engineer (or assigned delegate), Resident Engineer and the Area Construction Engineers.  Each person reviewing the project should evaluate the project individually and record your ratings on the Construction Quality Index Evaluation Form in HiCAMS.  The DCE is responsible for changing the status of the CQI report to “Completed" in HiCAMS.  When the CQI report is set to “Completed", HiCAMS will average the individual evaluations into one composite evaluation for each contract to the Construction Unit. 

    The Construction Quality Evaluation Form and its guidelines can be found in HiCAMS, Click on Project Closeout under Functions.


  •  
    All centrally let contracts with the exception of resurfacing contracts contain a 12 Month Project Guarantee provision, following the project acceptance date. The Contractor is responsible for any defects in the materials or workmanship of the major components of the project for a 12 month period. Examples of the major components include pavement structures, bridge components and sign structures. Near the end of the 12 month period, the Department will review the project to determine if the project guarantee needs to be invoked. When a partial acceptance is made for completed items of work prior to the final project acceptance, the 12 month period begins on the date of partial acceptance for those items included in the partial acceptance. Below are the procedures for administering the 12 Month Project Guarantee provision.
     
    The Division Construction Engineer and the Resident Engineer will receive a HiCAMS notification both two months and one month prior to the expiration of the guarantee (if the Resident Engineer has set the guarantee indicator and appropriate guarantee time frame during the contract activation process and entered the acceptance date in HiCAMS in a timely manner.) The Division Construction Engineer and the Resident Engineer are responsible for performing review with the following personnel (as applicable), the Area Construction Engineer, a representative from the County Maintenance Engineer’s Office and a representative from Division Bridge Maintenance.
     
    Notifications shall be given to the Contractor whether or not corrective action is required (See Sample No Corrections Letter). When remedial work is necessary related to the guarantee, the Resident Engineer will notify the Contractor by Certified Mail prior to the expiration date of the guarantee, detailing the items to be corrected (See Sample Corrections Letter). If the Contractor disputes any of the items of the work requested, he is required to provide a written description of the disputed work with a detailed explanation to the Division Engineer. After the review of the Contractor’s submission of information, if the Division Engineer intends to pursue the repairs under the term of the guarantee, the Division Engineer shall forward the information to the State Construction Engineer. The State Construction Engineer will review the information and provide a written response, on behalf of the Chief Engineer, to the Division Engineer for further handling of the necessary repairs.
     
    Once all the repairs have been made, the Division Construction Engineer will make a final review of the repairs and send a letter to the Contractor, with a copy to the State Construction Engineer, indicating that all repairs have been made and the project guarantee has been satisfied.  

  •  
    These procedures establish a uniform system of handling project records after completion of a project. The Resident Engineer will maintain project files during the course of the project in accordance with procedures included in this subsection of the Manual. The Final Estimate Assembly will be prepared and submitted in accordance with the procedures in this section of the Manual.
     
    The following procedures for retention and storage of project records will be used on all projects:
     
    1. Resident Engineer's Files: After submission of the final estimate assembly, the Resident Engineer should hold the remaining portion of the project files until the State Construction Engineer notifies the Division Engineer to process all affected project records. At this time, the Resident Engineer will process records as follows:
       
      1. Non federally-funded projects:
         
        1. The project files will be submitted to the Division office to be screened and merged with the Division’s project files. 
           
        2. Project work books not included in transmission of the final estimate shall be retained in the Resident Engineer's office for one year after the notification from the State Construction Engineer and then destroyed. 
      2. Federally-funded projects: 
        1.  
        2. The project files will be submitted to the Division office to be screened and merged with the Division’s project files. 
           
        3. Project work books not included in transmission of the final estimate assembly will be bound together and submitted to the Division office for storage for a period of at least three years after payment of the final voucher by the Federal Highway Administration.
    2. Division Engineer's File: The State Construction Engineer will notify the Division Engineer when the project records are to be processed in accordance with the procedure for retention and storage of records. Upon receipt of records from the Resident Engineer, the following procedures should then be applied to all state and federally-funded projects: 
       
      1. The Division Engineer's file will be combined with the file received from the Resident Engineer and all duplications eliminated. 
         
      2. The composite file will then be sent to Highway Records Section in Raleigh for further handling.
    The Division Engineer may at his discretion maintain a skeleton reference file containing items, such as the contract, as-built plans, estimates, and correspondence documenting unusual circumstances or conditions. Any encroachment contracts should be removed from this file and placed in a separate file for reference and administrative purposes.

  •  
     

    GENERAL
     
    Federally funded contracts are required to be accepted by the Federal Highway Administration (FHWA) to enable the Department to be reimbursed for project expenditures. For most projects the FHWA has delegated the Department the authority to complete the FHWA Final Acceptance Report (Form 1446B) for submission. For projects designated as full oversight, (step by step) FHWA retains approval of this process. Therefore, upon final payment of a delegated federally funded contract, a completed Form 1446B and 1446B Checklist, which includes project description information and pertinent dates, should be submitted to the FHWA.
     
    Federally funded contracts are administered differently, and the final voucher process differs a little for each type of administration. The administration of each contracts are categorized by the type of letting which is listed below along with the final voucher process.

    CENTRALLY LET FEDERALLY FUNDED CONTRACTS
     
    After the final estimate has been paid and a verified claim is not anticipated or the verified claim process (including mediation and lawsuit) has been completed, the State Construction Engineer should ensure that all commitments for the project are removed in the NCDOT fiscal accounting system, SAP. Check the status of commitments using the SAP function ZPSR01.
     
    Once all commitments have been removed, the State Construction Engineer will complete Form 1446B and the 1446B Checklist in HiCAMS. The State Construction Engineer will forward the completed form and checklist (in HiCAMS) to the State Materials Engineer for the materials certification. The instructions for completing Form 1446B and the 1446B Checklist are in the HiCAMS User Guide - Manual Topic 13 “Project Closeout”.
     
    Once the materials certification is complete, the State Materials Engineer will complete the certification portions of Form 1446B and the 1446B Checklist and forward both to the North Carolina Department of Transportation – Federal Funds Management Unit (FFMU) to process for FHWA reimbursement (final voucher.) The Division Contract Administrator can check the status of payment of the final voucher using SAP transaction code ZF22. The date of the payment of the final voucher will begin the period for retention of project records. See the Retention and Storage of Project Records and Documents in this section for additional information about retention of records.

    DIVISION LET FEDERALLY FUNDED CONTRACTS
     
    After the final estimate has been paid and a verified claim is not anticipated or the verified claim process (including mediation and lawsuit) has been completed, the Division Engineer should ensure that all commitments for the contract are removed in the NCDOT fiscal accounting system, SAP. Check the status of commitments using the SAP function ZPSR01.
     
    Once all commitments have been removed, the Division Engineer (or delegate) will complete Form 1446B and the 1446B Checklist in HiCAMS. The Division Engineer will forward the completed form and checklist (in HiCAMS) to the State Materials Engineer for the materials certification. The instructions for completing Form 1446B and the 1446B Checklist are in the HiCAMS User Guide - Manual Topic 13 “Project Closeout”.
     
    Once the materials certification is complete, the State Materials Engineer will complete the certification portions of Form 1446B and the 1446B Checklist and forward both to the North Carolina Department of Transportation – Federal Funds Management Unit (FFMU) to process for FHWA reimbursement (final voucher.) The Division Contract Administrator can check the status of payment of the final voucher using SAP transaction code ZF22. The date of the payment of the final voucher will begin the period for retention of project records. See the Retention and Storage of Project Records and Documents in this section for additional information about retention of records.

    LOCALLY ADMINISTERED, FEDERALLY FUNDED CONTRACTS
     
    After the final estimate has been paid and a verified claim is not anticipated or the verified claim process (including mediation and lawsuit) has been completed, the Division Engineer should ensure that all commitments for the contract are removed in the NCDOT fiscal accounting system, SAP. Check the status of commitments using the SAP function ZPSR01.
     
    Once all commitments have been removed, the Division Engineer should complete and sign Form 1446B and attach the 1446B Checklist and a copy of the final estimate. (Please note that Form 1446B and the 1446B Checklist for Locally Administered, Federally Funded Contracts are to be completed outside of HiCAMS. These forms can be assessed on the Construction Unit web page under Construction Resources.) This package should be forwarded to the State Materials Engineer for the materials certification. Upon completion of the materials certification, the State Materials Engineer will sign the Form 1446B and send the completed package to the North Carolina Department of Transportation - Federal Funds Management Unit (FFMU) to process for FHWA reimbursement (final voucher.) The Division Contract Administrator can check the status of payment of the Final Voucher using SAP transaction code ZF22. The date of the payment of the final voucher will begin the period for retention of contract records. See the Retention and Storage of Project Records and Documents in this section, for additional information. The Division Engineer should notify the Local Government Agency of the voucher dated by certified letter.

  • Project Acceptance
      
    After completion of all items of work, a final inspection of the project is held. Division personnel are responsible for scheduling the final inspection and acceptance of the project. The Construction Unit Area Construction Engineer may also attend, upon request. Once the final inspection is held and all recommendations are complete, the Resident Engineer should complete the Engineer Acceptance Report and the Division should notify the Contractor of final acceptance of the project. The Structures Management Unit should be copied on the final acceptance letter and should be sent a set of as-built plans when completed.  
     
    Active and Final Claims:
     
    The Division Engineer has the final approval authority for both "active" and "final" claims. Upon request, the Construction Unit will review and respond to final claims for Division let projects. The Construction Unit should be consulted for review of all claims and supplemental agreements that exceed $100,000. The Resident Engineer or other project administrator should provide a written response for all active claims. The Division Engineer should provide a written response to the Contractor indicating the claim decisions for final claims. More detail regarding this letter is provided below.
     
    Processing the Final Estimate:
     
    The Resident Engineer or other project administrator will prepare the final estimate assembly and send it to the Division for final review prior to processing the final estimate.
     
    (Note that final estimate assemblies or other documents normally sent to the Construction Unit for centrally let projects should not be sent to the Construction Unit for Division Let Contracts or if the final estimate documents are stored on SharePoint in the Final Estimate Folder.  This holds true for Division Let projects handled as a Purchase Order Contract or set up in HiCAMS as "D" projects.)
     
    Once the Division reviews the final estimate, the Division should send the Contractor a Notification of Final Quantities letter by certified mail. The Notification of Final Quantities letter notifies the Contractor of the final quantities, the assessment of any liquidated damages, if any are assessed, and requests the final project documents in accordance with Article 109-10; Consent of Surety, if required, Affidavit and Final Claim letter or letter of no final claim. The Consent of Surety is not required if a bond was not required for a contract. If the project is a low risk project, such as a sidewalk extension, you do not need to get the final documents. Examples of the Consent of Surety and Affidavit should be attached to the Notification of Final Quantities letter and may be found on the Construction Unit's web page under Project Closeout.
     
    The final documents should be sent to the Division and not the Construction Unit and retained with the project files at the Division. The Division should allow time for the Contractor to review the quantities and resolve any disputed items.
     
    A Closeout Conference may be held with the Contractor to resolve outstanding project issues. If all of the outstanding project issues are resolved at a Closeout Conference, the Division Engineer (or his designee) should complete the Division Closeout Conference Form.
     
    The Construction Unit should be consulted for review of all claims that exceed $100,000. Both the Contractor and the Division Engineer should sign and date the Division Closeout Conference Form. Note that this form will then serve as the final claim letter. In addition, the Contractor waives his rights to file a verified claim if a Division Closeout Conference Form was signed stating his agreement that all issues were resolved. If ALL of the outstanding project issues are not resolved, then the Contractor should not sign the Division Closeout Conference Form and should proceed with filing a final claim. If ALL issues are not resolved, but some were resolved the Division should complete a Claim Resolution Form (Form CFR-D) and enter the resolved issues in HiCAMS as an active claim(s) and the Contractor may proceed with filling a final claim. 
     
    The Division's written review of the final claim is a Payment of Final Estimate letter that should include justification of the Division's decisions for all final claim issues, and a copy of the statement of final estimate, and a copy of General Statute 136-29 (Verified Claim information), which can be found on the Construction Unit’s web page under Project Closeout.
     
    This letter should be sent to the Contractor after the Final Estimate has been processed in HiCAMS. 
     
    Prior to processing the final estimate, verify payments have been made to the committed Disadvantaged Business Enterprise firms in accordance with the contract commitments. Use the DBE/MBE/WBE Subcontract Commitment Payment Summary form to document if the Contractor satisfactorily fulfilled his commitments. This form shall be provided the Construction Unit prior to processing the final estimate for documentation of final DBE utilization.    ​
     
    Once the Division Engineer is satisfied that all issues have been resolved, the final estimate checked, DBE payments have been verified and the final documents have been received, the final estimate should be processed. Documentation of all final claims or Closeout Conferences shall be entered in HiCAMS as a "Final Claim," with the Division's decision (Recommendation in HiCAMS).
     
    After processing the final estimate, the Division Engineer should send the Contractor by certified mail the Payment of Final Estimate letter with a copy of the final estimate statement and the procedures for filing a verified claim. Example letters can be seen in the project Closeout Process for Division and Locally Administered Federal Funded Projects Webinar (March 24, 2011) located on the Construction Unit’s web page (web address is provided below.) If the Contractor files a verified claim on the project, he must do so within 60 days following receipt of the final statement. The certified mail receipt date documents the beginning of the 60-day time frame for filing a verified claim.
     
    List of Letters
     
    The following letters were discussed in the project closeout process and examples of each can be found in the Project Closeout Process for Division and Locally Administered Federal Funded Projects Webinar (March 24, 2011) located on the Construction Unit’s web page under Project Closeout.
     
    • Final Acceptance of Project
    • Notification of Final Quantities
    • Final Claim Review
    • Positive Estimate with no final claim
    • Zero Estimate with no final claim
    • Overpayment Letter 

  •  
    Although design build (DB) projects are bid differently than bid build projects, the required documentation and project certification remains much the same. In addition to the progress schedule, narrative, etc. that are required for all projects, DB projects require a Schedule of Values, a Table of Quantities, and an Estimated Payout Submittal. These documents provide additional information for use in establishing funding levels, preparation of monthly estimates, materials tracking and project certification. These required documents are outlined below.
     
    Contract administration of DB projects through HiCAMS is unique in that partial payments are made to generally one line item set up for the contract. Additional line items may be established throughout the life of the contract for Supplemental Agreements, AC and Fuel Adjustments, Penalties, etc. The current HiCAMS User Guide for Design Build Contracts should be reviewed for additional assistance. Materials tracking in HiCAMS for a DB contract is administered through work items. Work items are established from the Table of Quantities supplied by the contractor and are entered as such in HiCAMS. From the work items, queries can be generated to monitor and track materials used and work accomplished for monthly pay estimates and project certification. Although the project is paid as a lump sum for the work bid, it is still imperative that materials be tracked and that proper sampling be performed as required in the Minimum Sampling Guide. Having a lump sum bid amount does not relieve the Department from making monthly payments based on work accomplished to date or from project certification requirements.
     
    A project set up meeting should be scheduled for DB projects to ensure the contractor has supplied the required documents outlined below and to ensure that the project is set up properly in HiCAMS. The meeting should include the Resident Engineer (RE) and staff, Materials and Tests representatives, Area Construction Engineer and any others that may be needed.

    The Resident Engineer is responsible for making sure all the requirements of the Request for Proposals (RFP) and the team's Technical Proposal (TP) are met during the administration of the contract.  The Resident Engineer should work closely with the Design Build Unit and the Construction Unit on any proposed scope changes and/or interpretations of the scope.  In some cases, the RFP may contain additional Project Guarantee or Warranty provisions above and beyond those found in the Standard Specifications that need to be formalized via Supplemental Agreement prior to the start of construction.  The RE should thoroughly review the RFP for contract nuances that they may not be familiar with on a typical bid build project.

    Design reviews are to be coordinated and tracked by the Design Build Project Engineer.  The Resident Engineer should be copied on all of these submittals and will provide comments as necessary during the development of the Release for Construction (RFC) plans. This plan development process is normally performed in phases, to match the contractor's pursuit of work (i.e., Erosion Control Plans, Traffic Management plans, Roadway, and Structure Plans). This process is typically documented/tracked via the DB SharePoint Team Site. As these plans are developed and approved; the Resident Engineer should upload the appropriate files on the Construction Team Site for inspection staff to be able to view from the field. Keeping files up to date for the construction field staff is imperative for proper inspection of the work being performed.  The Resident Engineer should specify to the DBT the number of plan sets will be needed for the project for distribution as they become available.

    As with other traditionally let projects, the Resident Engineer's role is critical in relocation of utilities and coordination of Right of Way (ROW) acquisition.  Special consideration should be made for any advanced acquisition parcels and specific utility relocation requirements that may be outlined in the RFP and/or TP.

     
    Required Documents:
     
    Progress Schedule – The progress schedule shall be submitted by the Design Build Team (DBT) within 30 calendar days of receiving the Notice of Award. The Department will review the progress schedule within 21 calendar days or receipt. The DBT shall make any necessary corrections and adjustments to the progress schedule as required by the Department’s review within 7 calendar days and the Department will review the revised progress schedule within 7 calendar days of receipt. The progress schedule shall also include a written narrative in accordance with the specifications.
     
    Schedule of Values – A Schedule of Values is a schedule of work items necessary to complete the work, along with the progress of each work item, primarily for the purpose of partial payments. The Schedule of Values shall be submitted within 30 days of the date of award. Each item shall be assigned a cost and a quantity. The Schedule of Values shall be revised with each update to the progress schedule as described in Article 108-2 of the Specifications, as revised by the contract Standard Special Provisions.
     
    Table of Quantities – A Table of Quantities is a listing of work items (corresponding to the items in the Trns*port pay item list) that contributes to a project completion. The table shall include estimated quantities for each work item. The Table of Quantities shall be submitted within 30 days of the date of award. A Certified Table of Quantities shall be submitted with each pay request and shall indicate that the information accurately represents the materials used for the work performed for which payment is requested. The Table of Quantities shall be updated and resubmitted within 14 days of when a set of plans is sealed as RFC Plans and whenever there are substantial changes to the quantities on previously incorporated RFC plans.
     
    Estimated Payout Submittal - The Estimated Payout Submittal is used to establish monthly funding levels and is to be submitted by the 6th day after opening of the Price Proposal. This is to be updated on the 15th of March, June, September and December of each year. This is not to be used for monthly payment purposes.
     
    Materials and Monthly Estimates:
     
    Receiving Materials – Materials incorporated into the project must be received for DB projects just as they are for other projects including tickets, bills of lading, alternate ID lists, invoices, certifications, etc. Tickets entered for work items are automatically checked “Do Not Pay – Other Payment Method” and this eliminates the possibility of double paying the contractor. Since ticket books are entered as “Do Not Pay”, queries will be utilized to obtain quantities used to calculate AC and Fuel Adjustments.
     
    Processing of Monthly Estimates – The processing of monthly estimates for DB projects differs from other projects, in that payments are entered as a percentage of the line item established for the lump sum bid amount, based on quantities of work items that have been accomplished for the month, as submitted by the contractor and verified by the Department.  The Resident Engineer's staff should utilize the electronic Pay Record (Work Accomplished) feature on the Construction Team Site.  After work items have been created in HiCAMS the appropriate work item code and description will be populated on the Pay Records tab of the Construction Team site.  This same process should be followed for Supplemental Agreements and other line items that may be added.  Ticket books for direct payment work items should be separated from incidental ticket books for the lump sum item and submitted with final documentation.  The quantities and locations of materials used should be recorded for each work item on the Construction Team Site. More information regarding the electronic Pay Record entry (Work Accomplished) can be found HERE.  The Technicians and Contractor's personnel should compare and agree to the quantities of work performed prior to the Contractor submitting a Pay Request based on the Schedule of Values.  The amount paid on a Monthly Estimate will be derived from the verified Pay Request submitted by the Contractor based on the work accomplished as detailed in the certified Table of Quantities.  The dollar amount of work submitted is divided by the Lump sum amount per line item, and rounded to three places for HiCAMS pay record entry.  The payment amount calculated by multiplying the pay record quantity times the Lump Sum amount generally does not exactly match the requested payment amount.  These discrepancies resolve when the payment amounts total 1.000 Lump Sum.  
     
    AC/Fuel Adjustment & Pay Adjustments – AC and Fuel adjustments must be calculated manually outside of HiCAMS.  The calculated dollar amount paid or deducted is entered as a pay record against line items added using the “Review Other Line Items" function in HiCAMS.  Penalty line items, except for Asphalt Density failures, are added by the Construction Unit.  Please consult the Area Construction Engineer directly when needing to enter pay adjustments for other penalties (i.e. Mix deficiencies, Workmanship, etc) on DB Contracts.  In many cases, Other Line Items will need to be created to provide a means of deduction when processing the monthly estimates.​
     
    Materials Certification – Upon completion of the project, the contractor shall submit a certified final Table of Quantities along with the final As Constructed Plans for the project. These certified final quantities will be used as a basis for ensuring that the minimum sampling has been performed for project certification.
     
    Miscellaneous Items:
     
    Subcontract Agreement Forms (SAF) – The contractor is required to submit the SAFs for DB projects as for any other project. Even though there is only one line item for the contract and the SAF is entered in HiCAMS as a partial items of work; the SAF should include a breakdown of the work items and values for each item of work to be performed by the subcontractor. This information can be used for DBE tracking purposes, negotiations during supplemental agreements, etc. When the SAF is entered in HiCAMS, generally only one item will be entered as a percentage of the lump sum bid amount for Design and Construction. The work items for which the subcontractor is performing should be noted in the Comments section of the HiCAMS entry. This will identify the work being performed especially for committed items for DBE/MB/WB firms.
     
    DBE/MB/WB Tracking – The same tracking and monitoring of DBE/MB/WB participation is required for DB projects as for other projects. Typically at the time of bid, only a dollar value may be shown for each committed subcontractor. As noted previously, the contractor should submit on the SAF the individual work items from the Table of Quantities that the firm is committed to perform. The quantities shown on the SAF should be used to ensure compliance of the DBE/MB/WB Special Provisions. Since the item is entered as a percentage of the lump sum item, the Standard Report entitled DBE Payment Report in HiCAMS will not give an accurate value of the work performed by the DBE for comparison to the payments reported in the Payment Tracking database. Therefore, tracking will have to be performed manually by comparing the latest pay request from the contractor to what has been entered in the database.
     
    As-Constructed Plans:
     
    From the Released for Construction Plans or Revised Released for Construction Plans, the Design-Build Team must prepare and submit As-Constructed Plans for the project. The plans must be submitted to the Resident Engineer as an electronic file in the Portable Document Format (PDF).
     
    The following are requirements for various sheets of the As-Constructed Plans. The sheets are listed in the order they should appear in the As-Constructed Plans:
     
    1. Cover Sheet: This should be Sheet Number 1 of this portion of the assembly. Page numbers should be shown in the upper right hand corner. Page numbers should be numbered consecutively for all sheets thereafter. The number of total sheets should be shown on each page. See example cover sheet.
    2.  
    3. Original Plan Title Sheet: This is the original plan title sheet that was included as part of the project plans. Any changes in the original equalities or project lengths should be shown in their appropriate locations.
    4.  
    5. Typical Sections: All typical sections that were used in the construction of the project should be included.
    6.  
    7. Summary Sheets: The List of Pipe, Endwalls, Etc. summary sheet should be included in the As-Constructed Plans, but the quantities should not be revised and it is not necessary to line through the quantities. However, a note should be prominently placed stating “For as-constructed lengths, see plan sheets”.
    8.  
    9. Plan and Profile Sheets: The plan and profile sheet should show the following information:
    10.  
      1. Location of all right-of-way markers.
      2.  
      3. The final location of all control of access lines, if applicable, should be shown. These may or may not coincide with the right-of-way lines.
      4.  
      5. The location of all pipe lines and drainage structures with pipe lengths and types identified.
      6.  
      7. The location of all subdrain and shoulder drain lines and associated outlet pads.
      8.  
      9. Any changes in the right of way limits.
      10.  
      11. If a revised standard is used for any item during construction, this revised standard should be indicated on the plan sheet in the As-Constructed Plans.
      12.  
      13. The location of all fencing that has been placed.
      14.  
      15. All channel changes. 
    11. As-Constructed Plan Sheets for Structures: These plans should be revised in so far as dimensions and elevations are concerned. Where corrections are made, strike through - but leave legible - the original elevations and dimensions, and insert the corrected information over or beside the original information.
    12.  
      1. Piles should be numbered and lengths shown for each component of the structure. 
    13. Signing plans should be included in the As-Constructed plans. 
    The following certification shall appear on the cover sheet and shall be signed by the Design-Build Quality Manager: “I HEREBY CERTIFY THAT THIS PROJECT WAS CONSTRUCTED ACCORDING TO THE PLANS EXCEPT NOTED HEREIN.” Likewise, the following certification shall appear on the cover sheet and shall be signed by the Design-Build Quality Manager: “FINAL RIGHT-OF-WAY HAS BEEN CHECKED.” Signature lines shall be provided for the Resident Engineer and Division Right-of-Way Agent for the construction certification and Right-of-Way certification respectively.

  •     
    Materials Certification is the process by which the NCDOT certifies that all materials and workmanship on all projects are in compliance with the specifications. The Quality Systems Section within the Materials and Tests Unit (M & T) is responsible for conducting the Material Certification Review to ensure that accurate and sufficient documentation is available to verify the acceptable testing and inspection of critical materials and products used to build the project. The Materials Certification Review will begin within ten days after the “Acceptance Date Approval Alert” has been received by M & T, through the HiCAMS. The following is a limited list of items that will be reviewed:
     
    • Sampling and Testing in accordance with the Minimum Sampling Guide (MSG).
    • Independent Assurance.
    • QC/QA Programs.
    • Certified Laboratories and Sampling and Testing Technicians.
    • Pay Reductions.
    • Conversion Factors.
    • Alternate ID’s.
    • Material Receipts.
    • “Buy America” Letter.
    • Contract Bill of Materials (CBOM.)
    • Inspection Reports. 
    If the evaluation determines that there are shortages of acceptable test reports or unresolved discrepancies, the Resident Engineer will be asked to address these issues. See Project Certification Process Flow chart.
     
    The Materials Certification Review may be performed after acceptance of the project, but the process begins the first day of the project. The people who are vital in the project certification process are the project personnel (Resident Engineer, project inspectors) and M & T personnel. The responsibilities of each are listed below.
     
    • Project Personnel
    • Inspectors 
    • Sampling and inspection of project produced material in accordance with the MSG.
    • Verifying that pre-certified/ pretested material have the proper documentation and approval (stamp or Alternate ID.)
    • Material Receipts entered in HiCAMS in a timely manner.
    • Obtaining the correct certifications for materials.
    • Resident Engineers
    • Ensuring test results are entered in HiCAMS.
    • Addressing test shortages and discrepancies.
    • Materials and Tests Unit
    • Pretested material (precast and pre-stress.)
    • Independent Assurance.
    • Area Materials personnel (Section Materials Specialist and Area Materials Engineers) auditing/reviewing project specific materials to insure compliance with MSG and Specifications. 
    The Quality Systems Section will complete the Materials Certification Review and prepare a Non-Participation Letter for the State Materials Engineer. If all discrepancies were not resolved the letter will be sent to the Division Engineer. If the Division Engineer receives a Non-Participation letter then one or more of the following discrepancies have occurred.
     
    • The required number of samples was not obtained for a specific material.
    • The required documentation (certification type) was not obtained for a specific material.
    • The material was not approved or supplied from an “Approved Source.”
    • No Material Received Report (MRR).
    • No/incorrect alternate ID.
    • Materials were not removed from the CBOM.
    • Temporary Items.
    • M & T did not receive the Asphalt Roadway Inspection Reports (Form 605).
    • No/insufficient embankment and/or subgrade density tests.
    • ABC issues.
    • Conversion factors. 
    If the Division Engineer receives a Non-Participation Letter, the Resident Engineer should check HiCAMS for notes and emails in the “Materials Pre-Certification” module, review the discrepancies, and collect the needed documentation. The Resident Engineer may contact the following M & T personnel, should there be any questions regarding the Non-Participation letter.
     
    • Materials Operations Engineer

    Materials & Tests Unit Phone Directory

    • Quality Systems Engineer

    Materials & Tests Unit Phone Directory





  •  
     

    GENERAL
     
    Documentation for the preparation of the final estimate assembly should begin when the construction of a project begins. A set of plans should be designated for recording construction changes and completion of items of work. Plan changes should be kept up to date so the information can be quickly transferred to the prints included in the final estimate assembly. Ticket and pay record quantities should be computed and recorded in HiCAMS when partial payments are made. As soon as practical, the ticket and pay records should be checked and verified in HiCAMS. No further action is required for such records prior to submission of the final estimate unless changes are made in the records. The final estimate should be prepared in accordance with the “Preparation and Checking” procedure below.
     
    The Division Engineer should perform a quality assurance check of the pay quantities and As-constructed Plans. After the quality assurance check by the Division Engineer, he shall notify the Contractor in writing of the final quantities and apparent liquidated damages. The quality assurance check should be performed as specified in “Preparation and Checking by the Division Engineer” procedure below.
     
    For the purpose of establishing the schedule for preparation and submission of the final estimate assembly, contracts are be broken into two classes as follows:
     
    1. Major contracts: major grading; grading and structure; paving, widening, and rehabilitation; and turnkey projects. These contracts typically have a total cost of more than $10 million.
       
    2. Minor contracts: all other contracts
    SCHEDULE FOR FINAL ESTIMATES.png 





    PREPARATION AND CHECKING
     
    BY THE RESIDENT ENGINEER
     
    The Resident Engineer should prioritize preparation of the various portions of the final estimate, beginning with those portions that will require the most time to complete. For example, preparation of As-Constructed Plans and calculation of excavation quantities (including submission of data to the Photogrammetry Unit) frequently require considerable time to complete. These items should be a high priority and performed as soon as practical. The Resident Engineer should record and compute pay quantities in accordance with the procedures contained in the “Records and Reports” section of the Construction Manual. The Resident Engineer should also make a 100% check of every calculation of quantities for which payment is included on the final estimate. Each calculation check should be made as soon as practical and by someone other than the person making the original calculation. After the calculations have been checked, the quantity should be verified in HiCAMS. Detailed instructions on checking individual Line Items are included in the “Final Estimate Checking Procedures”.
     
    After the final inspection has been made and the project accepted, the Acceptance Date should be entered on the Completion Tab of the Review Contract Details window of HiCAMS. This action is the trigger which causes the project to be removed from the online “Construction Progress Report”. Then, the Resident Engineer should prepare the final estimate assembly.
     
    After the Final Quantities have been updated in HiCAMS, the following areas should be reviewed and completed.
     
    1. Verify the Final Quantities: This can be done throughout the life of the project after the source document has been checked, but must be complete before submission of the Final Estimate.
       
    2. Material Prepayment Balances: All Material Prepayment balances on the Prepayments Tab of Review Estimates should be zero. If balances remain, enter the Previous Quantity amount in the Actual Reduction field. You do not need to generate the estimate for these reductions to take effect.
       
    3. Price Adjustment Recommendations: All PARs must be closed prior to forwarding the estimate. Go to the Review Pay Adjustment Recommendations window and check the Status column. Any PAR whose Status is not Closed, needs to be closed now. If a QA-2B Density PAR is not closed, contact the Construction Unit for assistance.
       
    4. Failing Samples: Review the View Pending Contract Samples listing for any Project Acceptance Samples which have a Sample Status of Does Not Meet Specs. These samples require a disposition quantity and a Sample Disposition Comment. Penalties can also be applied by clicking the PAR button on the Sample.
       
    5. Field Inspection Reports: Field Inspection reports for Concrete Pavement, Corrugated Metal Pipe, and Guardrail which have failing Materials and no Disposition Comment must have a comment entered.
       
    6. Failing Densities: All Failing Asphalt Densities should have a Pay Adjustment Recommendation and Pay Factor associated with them. Failing Densities are identified on the Standard Report called Density Asphalt QC Lots.
    When the calculation of all quantities has been checked and verified in HiCAMS, the estimate should be reviewed to determine the current amount of the estimate. A special estimate should be processed when there is a significant current amount, whether an increase or a decrease. The Resident Engineer should use his judgment in determining when another partial estimate should be processed. A partial estimate should normally be processed when the current amount of the final estimate is more than $5,000, a change is warranted in the amount of liquidated damages withheld, or processing of the final estimate may be delayed. To process another partial estimate, change the estimate type in HiCAMS to partial and generate the estimate. When another partial estimate is processed, the Resident Engineer must generate the final estimate after the partial estimate is paid. The Final Estimate Assembly should be prepared according to the procedure below. The final estimate in HiCAMS and the Final Estimate Assembly should be forwarded to the Division Engineer.
     
    The Resident Engineer is also responsible for completing the DBE/MB/WB Subcontract Commitment Payment Summary for each contract that has DBE/MB/WB goals. This is used to summarize the actual use of DBE/MB/WB participation as compared to the commitments stated in the contract by the prime contractor. The form is accessible on the Construction Unit website under Construction Resources, Construction Forms. Additional information regarding the DBE/MB/WB Subcontract Summary is included in this manual later in the Final Estimate section.

    BY THE DIVISION ENGINEER
     
    The Division Engineer should review the final estimate assembly for completeness and procedural compliance. He should also perform a quality assurance check of the pay quantities and As-constructed Plans. This check may be made by another Resident Engineer or at the Division office and should have all check marks identified by blue pencil or blue ink. The initials of the individual making the check marks should be placed on the title sheet and on the personnel page of Pay Record Book Number 1. The quality assurance check should consist of not less than 25% of the entire estimate. When the quality assurance check demonstrates that the final estimate assembly is incomplete, was not prepared in accordance with procedures, or the frequency of errors is unacceptable; the estimate should be returned to the Resident Engineer for correction or a 100% check made of the final estimate assembly.
     
    After the quality assurance check by the Division Engineer, he shall send the Contractor the Notification of Final Quantities letter; which includes the final quantities and apparent liquidated damages as specified in Article 109-9 of the Specifications. The letter shall also request that the Contractor submit the documents required by Article 109-10 for payment of the final estimate to the State Construction Engineer. Note: Form FHWA-47 is no longer required on any project. The Contractor should be informed that the final estimate would be held in the Division office for review until a specified date. The period allowed for review should be approximately two weeks for minor contracts and three weeks for major contracts after the date of the letter.
     
    The Contractor should be requested to advise in writing as to whether or not he desires to review the estimate. The final estimate assembly should be submitted to the Construction Unit immediately after the Contractor advises he does not desire to review the final estimate or immediately after the specified date unless the Contractor requests in writing that the final estimate be held beyond the specified date for his review. The Division Engineer should limit the time the final estimate is retained for the Contractor’s review to no more than 30 days unless a meeting has been scheduled with the Contractor to review the final quantities. The final estimate assembly shall be uploaded in SharePoint when applicable.  The Construction Unit should be notified once all documentation has been uploaded or physically sent to the Construction Unit.  ​
     
    A Project Closeout Conference may be held in accordance with the procedures below after the quality assurance check is complete and the Contractor has had sufficient time to review the final quantities and identify the claim issues.
     
    Following the closeout conference or review of the final quantities by the Contractor, necessary corrections should be made to the final estimate assembly and updated in HiCAMS. The Division Engineer should sign the necessary documents, and the final estimate assembly should be transmitted to the office of the State Construction Engineer immediately after the QA check is complete and after:
     
    1. The contractor advises he does not desire to review the final estimate
       
      OR 
       
    2. The date specified for the Contractor to review the final estimate has passed without reply from the Contractor
       
      OR 
       
    3. The Contractor reviews the final estimate or a closeout conference is held.
    The estimate should be forwarded to the Construction Unit in HiCAMS.

    BY THE CONSTRUCTION UNIT
     
    The Construction Unit will perform a procedural audit of the final estimate submitted by the Division Engineer. The Final Estimate quantities will not change if errors are found during the audit, but the Division Engineer will be notified in writing of the errors. The Construction Unit will also review the As-Constructed Plans and perform an audit of DBE/MB/WB payment reporting and utilization.

    THE FINAL ESTIMATE ASSEMBLY
     
    The Final Estimate Assembly consists of the following items:
     
    Transmittal Letter
    Contract Time Extension Report
    Liquidated Damages Report
    Contractual Overrun Calculations Sheets
    As Constructed Plans and Cross-Sections (if applicable)
    Supporting Documents
    DBE/MB/WB Subcontract Commitment Summary

    TRANSMITTAL LETTER
     
    A Transmittal Letter should be submitted for all final estimate assemblies and should be distributed as follows:
     
    Original - State Construction Engineer
    File Copy - Retained by Division Engineer
    Copy - Resident Engineer
     
    The completion date shown in the letter must agree with the completion date shown on all correspondence and that shown in the Project Diary.
     
    The portion of the letter that pertains to an overrun in the contract time must be in detail including intermediate completion dates. If the project was not completed on or before the original or revised completion date, the percent of contractual overrun/underrun must be calculated. The percent overrun/underrun is computed in accordance with Subarticle 108-10(B)1 of the Specifications, excluding Supplemental Agreements that extend the contract time and other items listed therein. (See details of calculating the contractual overrun below.)
     
    For Ticket Books, abbreviation of names is acceptable and contract line item numbers should be used rather that line item descriptions.

    CONTRACT TIME EXTENSION REPORT
     
    The Contract Time Extension Report is printed from Standard Reports in HiCAMS.

    LIQUIDATED DAMAGES REPORT
     
    The Liquidated Damages report is printed from the HiCAMS Review Estimates window. Change the Estimate Report Type to “Estimate Report for Contractors” and print the page entitled “Assessment of Liquidated Damages”.

    CONTRACTUAL OVERRUN CALCULATION SHEETS
     
    Copies of any correspondence or other documentation granting time are to be attached to the Final Estimate Transmittal Letter, and the time extensions entered in HiCAMS. Although not an extension of contract time, also attach copies of the documentation for any waiver of liquidated damages due to seasonal limitations.
     
    If the project was not completed on or before the original or revised completion date, the percent of contractual overrun/underrun and any pro-rata time extension must be calculated. The percent overrun/underrun is calculated in accordance with Subarticle 108-10(B)1 of the Specifications, excluding Supplemental Agreements that extend the contract time and other items listed therein. Calculations for the percent contractual overrun/underrun and pro-rata time should be attached to the Final Estimate Transmittal Letter. The Contractual Overrun figure calculated should be entered in HiCAMS on the Review Estimates Window Completion Tab in the field labeled Adjusted Overrun/Underrun Amount. It may or may not agree with the HiCAMS Contractual Overrun/Underrun Amount. If a pro-rata time extension is allowed, it should be entered in HiCAMS on the Review Estimates Window Damages Tab for the appropriate Contract Time.
     
    If a Supplemental Agreement that extends the contract time overruns in time, it is treated as a separate contract. The dollar amount of overrun applicable to the Supplemental Agreement is applied to the original estimated amount of the Supplemental Agreement and additional time is allowed in accordance with Article 108-10(B)2 of the Specifications. A breakdown of the original and final quantities involved in the work should be prepared for each Supplemental Agreement that grants time. It must show the monetary value for the affected pay items. These breakdowns and the calculations for the percent contractual overrun/underrun and any pro-rata time should be attached to the Final Estimate Transmittal Letter. The pro rata time extensions for the Supplemental Agreements should be aggregated with any other pro rata for that Contract Time and entered in the pro rata field on the Damages Tab in the Review Estimates window. In the event that the Supplemental Agreement was intended to grant time to more than one Contract Time and that time extension was omitted, a Department Initiated Claim should be entered extending the remaining Contract Time(s).
     
    Should a project have one or more intermediate contract times, each is to be treated on the same basis as contract time when calculating pro rata time extensions, as indicated in Article 108-10(A) of the Specifications. All intermediate contract times should be reviewed and the Work Completion Dates or times entered in HiCAMS on the Dates and Damages tab of the Contract Times window. If the intermediate contract time overruns in time, the percent of contractual overrun/underrun and any pro-rata time extension must be calculated. A breakdown of the original and final quantities involved in the work should be prepared for each intermediate contract time that overruns in time. It must show the monetary value for the affected pay items. These breakdowns and the calculations for the percent contractual overrun/underrun and any pro-rata time should be attached to the Final Estimate Transmittal Letter. Any time extension should be entered in HiCAMS on the Damages Tab of the Review Estimates window.
     
    After all authorized time extensions have been entered in HiCAMS, a copy of the Contract Time Extension Report should be printed out and attached to the Final Estimate Transmittal Form.

    AS-CONSTRUCTED PLANS AND CROSS-SECTIONS
     
    As construction of the project nears completion, the Resident Engineer should request full size plans for the production of the As-Constructed Plans. The request (email is acceptable) should be to the Contract Standards and Development Unit, Records and Documentation Management Officer, and should specify which print sets are needed, such as roadway, structure, utilities, etc. The As-Constructed Plans will be scanned and stored electronically so it is essential that all entries are neat and legible.
     
    NOTE: As-Constructed Plans are not required for projects such as resurfacing and demolition.
     
    On the right side of the cover sheet, the Division Right-of-Way Agent should sign the following certification: “Final right-of-way has been checked.”
     
    The following are requirements for various sheets of the As-Constructed Plans. The sheets are listed in the order they should appear in the As-Constructed Plans:
     
    1. Cover Sheet: This should be Sheet Number 1 of this portion of the assembly. Page numbers should be shown in the upper right hand corner. Page numbers should be numbered consecutively for all sheets thereafter. The number of total sheets should be shown on each page.
    2.  
    3. Original Plan Title Sheet: This is the original plan title sheet that was included as part of the project plans. Any changes in the original equalities or project lengths should be shown in their appropriate locations.
    4.  
    5. Typical Sections: All typical sections that were used in the construction of the project should be included.
    6.  
    7. General Note Sheet: If a revised standard is used in the construction of any item, this revision should be indicated on this sheet.
    8.  
    9. Summary Sheets: The List of Pipe, Endwalls, Etc. summary sheet should be included in the As-Constructed Plans, but the quantities should not be revised and it is not necessary to line through the quantities. However, a note should be prominently placed stating “For as-constructed lengths, see plan sheets”. Other summary sheets, such as guardrail, earthwork, etc., should not be included in the As-Constructed Plans.
    10.  
    11. Plan and Profile Sheets: The plan and profile sheet should show the following information:
       
      1. Location of all right-of-way markers. These markers should be consecutively numbered starting at the beginning of the project. These same numbers should be recorded in the pay record book. 
         
      2. The final location of all control of access lines, if applicable, should be shown. These may or may not coincide with the right-of-way lines.
         
      3. The location of all pipe lines. The length laid for all pipe lines except subdrain and shoulder drain should be shown on the plan sheets.
         
      4. The location of all subdrain and shoulder drain lines should be shown. Information should include station, line, and left, or right. This information can be drawn on each roadway plan sheet, drawn on a supplemental plan sheet and placed immediately after the roadway plan sheet, or summarized in a tabular format on each roadway plan sheet. 
         
      5. Any changes in the right-of-way limits. 
         
      6. If a revised standard is used for any item during construction, this revised standard should be indicated on the plan sheet in the As-Constructed Plans. This should be accomplished by neatly lining through with one inked line the standard indicated on the original plans and placing the corrected information above or beside the original information.  
         
      7. The location of all fencing that has been placed. 
         
      8. Where possible, show sketches of all borrow and waste pits. 
         
      9. Where applicable, note those existing roads that are to be abandoned, obliterated, or left in place and retained on the State Roads System. 
         
      10. All channel changes.
         
      11. All changes in the horizontal or vertical alignment. These changes should be shown in black ink. If the revision is such that it cannot be shown on the existing plan sheet, then a new plan sheet should be drawn. This sheet should show all appropriate topography, such as driveways, sidewalks, etc., right-of-way and property lines, curve data, and bearings. 
    12. Cross-Section Sheets: Original roadway plan cross-sections should not be included in the As-Constructed Plans. Cross-sections utilized for computation of quantities should be prepared as follows:
       
      1. A black pencil should be used to denote the original ground and a red pencil to denote final subgrade and side slopes on all cross-sections.
      2.  
      3. The names of the individuals who computed and checked the cross-sections should be shown in the lower right hand corner of the last sheet of cross-sections. If several different people did this work, each should identify his own work.
      4.  
      5. Cross-sections should normally be plotted to a minimum scale of one-inch equals five feet horizontal and vertical. However, if necessary, the scale may be adjusted.
      6.  
      7. Original and final cross-sections of fill areas are to be shown and computed only when there is waste to be deducted.
      8.  
      9. All cross-sections should be plotted with the stations running up the sheet.
      10.  
      11. Any material removed below subgrade should be clearly identified on the cross-sections in blue pencil or blue ink.
      12.  
      13. The pay record book(s) in which the cross-sections were recorded along with the page numbers where the information can be found should be shown on the first cross-section sheet. 
    13.  

    14. As-Constructed Plan Sheets for Structures: These plans should be revised in so far as dimensions and elevations are concerned. Where corrections are made, strike through - but leave legible - the original elevations and dimensions, and insert the corrected information over or beside the original information.
       
      1. All necessary sketches and computations to document the final quantities should be shown in the pay record book except the actual plotting of rod readings and the area computations of the cross-sections. If used, this information is to be shown on supplementary sheets in the As-Constructed Plans. The initials of the individuals plotting and checking the cross-sections and computing the areas as well as the date that the work was done should be shown.
      2.  
      3. Where extra depth concrete is involved with excavation cross-sections, they should be handled in the same manner. See Specific Instructions Pertaining to All Entries Made in Pay Record Books and Estimate Work Books - Structure Items: Excavation and Class A Concrete in this section of the Manual.
      4.  
      5. Piles should be numbered and pay lengths shown for each component of the structure.
      6.  
      7. All corrections made on the As-Constructed Plans should be made with black ink.
      8.  
      9. If the structure is located at a FEMA regulated crossing (Green Sheet Project Commitment and Title Block for As-Built Plans Certification), follow the guidance provided in the FEMA CERTIFICATION section of the Construction Manual.
      10.  
      11. Complete Biological Survey for Northern Long-Eared Bats. Follow guidance provided in the NLEB section of the Construction Manual.  
    15. Computation Sheets for Items not Computed in Pay Record Books: It is the intent of the procedures established by this section of the Manual that all computations concerning pay items should be made in the pay record book in which the measurements were recorded. It is recognized that there will be instances where this is not possible. In these instances the following procedures should be used:
       
      1. Sheets should be included in this portion of the assembly that contain the necessary sketches and computations.
      2.  
      3. The computations should be clearly labeled and the pay record book number(s) and page number(s) where the original measurements were recorded should be shown. The initials of the individual who made the computations and the individual who checked them should be shown on the computation sheets. 
    16. Signing plans should be included in the As-Constructed plans.
    Electronic As-Constructed plans may be kept in lieu of the full size plans.  These should be uploaded into SharePoint. The Construction Unit should be notified that the plans have been uploaded into the As-Builts folder on the project team site. ​


    SUPPORTING DOCUMENTS
     
    PAY RECORD BOOKS
     
    All pay record books should be submitted as part of the final estimate assembly. The contract number should be shown on the cover of each book. The total number of pay record books should be shown on the cover of each book, such as Number 1 of 12 , Number 2 of 12, etc. There should be only one series of book numbers for a given contract. Do not create a separate series for structures. Do not summarize pay record books, but do total each page. Electronic pay records should be reviewed to ensure proper payment was made throughout the life of the project. 

    TICKET BOOKS
     
    Tickets issued for payment by weight in accordance with the Construction Manual should be securely bound prior to transmission of the assembly. There should be one numerical sequence of ticket book numbers for each line item.

    COMPUTER EARTHWORK COMPUTATION SHEETS
     
    When the quantity of an item is determined by the use of the Photogrammetry Unit, the original printed sheets that are transmitted to the Resident Engineer should be checked by the Resident Engineer and included as a part of the assembly.
     
    The visual display of earthwork computations furnished from the Photogrammetry Unit can be discarded at the discretion of the Resident Engineer.

    EARTHWORK COMPUTATION SHEETS
     
    If any quantities are manually calculated, Earthwork Computation Sheets (Form 220) should be used for the computation of unclassified excavation. Earthwork Computation Sheets (Form 230) should be used for the computation of borrow excavation. The first sheet of the computation sheets should be a summary of sources of borrow or unclassified excavation and their individual totals as well as the grand total for the item for individual lines, such as L, L-1, Y-1, etc. The sheets in which the computations for the individual line or source totals should be shown.

    COMPUTING IRREGULAR SURFACES
     
    The Roadway Design Manual prepared by the Roadway Design Unit contains tables that can be used for computing the area of irregular surfaces.

    SUPPLEMENTAL AGREEMENTS, COMPLETION DATE EXTENSIONS, AND RELEASE OF CLAIM
     
    A copy of correspondence authorizing an extension of the completion date(s), executed Releases of Claim, all active claim resolutions, and all signed, original Supplemental Agreements not previously submitted to the Central Construction Unit should be uploaded in Sharepoint at the time of execution.  Any Supplemental Agreements not previously uploaded must be done prior to submittal of the final estimate assembly. Supplemental Agreements which grant time require special treatment. This topic is addressed further in the section “Contractual Overrun Calculation Sheets”.

    PROJECT DIARIES
     
    Any important dates or entries should be shown in an index on the inside cover of the project diary. These dates and notes would refer to entries in the project diary that would aid in the review of the project concerning liquidated damages, adjustments in compensation, or aid in the checking of the final estimate. All project diary books should be numbered consecutively in chronological order. The total number of project diary books should be shown on the cover of each book, such as Number 1 of 7 , Number 2 of 7 , etc. Electronic project diaries shall be used on all new projects effective January 1, 2021. These diaries shall be reviewed and approved in SharePoint with notes, critical dates, and any other information necessary for review of liquidated damages, adjustments in compensation, or aid in the checking of the final estimate. ​

    DBE/MB/WB SUBCONTRACT COMMITMENT SUMMARY
     
    The information pertinent for this summary is subcontractor payments, and replacements of any committed DBE/MB/WB subcontractor. The DBE/MB/WB Subcontract Commitment Summary form should only be completed for subcontractors who were submitted as committed DBE/MB/WB subcontractors to fulfill the goals in the contract. When completing this form, it is suggested that the Resident Engineer use the following items as deemed appropriate.
     
    1. Contract (Project Special Provisions).
       
    2. DBE/ MB/WB Replacement documentation.
       
    3. NCDOT DBE Payment Tracking System located on NCDOT webpage.
       
    4. DBE Payment Report in HiCAMS under Standard Reports.
    The form is accessible on the Construction Unit website under Construction Resources, Construction Forms.

    This form should be uploaded in SharePoint with the final estimate.  ​

    STATUS OF FINAL ESTIMATE
     
    The Status of Final Estimate Report is a quarterly report compiled by the Construction Unit and distributed to the Division Engineers, with copies to the Chief Engineer-Operations, Director of Field Support, Division Construction Engineers and the Roadway/Bridge Construction Engineers. This report lists all the contracts whose final estimate submission to the Construction Unit is overdue in accordance with the schedule for final estimates located in the Final Estimates Assembly Preparation Procedures section above. The report also denotes contracts that have appeared on the list more than one time, with an asterisk (*). If a contract appears on the Status of Final Estimates report more than once, the Division Engineer is required to submit a letter to the Chief Engineer detailing his plan to complete the final estimate.
  • RECORDS AND REPORTS

 Materials

 Measurement and Payment

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