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 ‎(38)
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)
  • RECORDS AND REPORTS

  • LOCALLY ADMINISTERED CONTRACTS

  •  
    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.  

  • RECORDS AND REPORTS

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