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:
- 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.
- Minor contracts: all other contracts
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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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:
- The contractor advises he does not desire to review the final estimate
OR
- The date specified for the Contractor to review the final estimate has passed without reply from the Contractor
OR
- 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:
-
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.
-
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.
-
Typical Sections: All typical sections that were used in the construction of the project should be included.
-
General Note Sheet: If a revised standard is used in the construction of any item, this revision should be indicated on this sheet.
-
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.
-
Plan and Profile Sheets: The plan and profile sheet should show the following information:
- 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.
- 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.
- 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.
- 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.
- Any changes in the right-of-way limits.
- 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.
- The location of all fencing that has been placed.
- Where possible, show sketches of all borrow and waste pits.
- Where applicable, note those existing roads that are to be abandoned, obliterated, or left in place and retained on the State Roads System.
- All channel changes.
- 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.
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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:
- 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.
- 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.
- 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.
- Original and final cross-sections of fill areas are to be shown and computed only when there is waste to be deducted.
- All cross-sections should be plotted with the stations running up the sheet.
- Any material removed below subgrade should be clearly identified on the cross-sections in blue pencil or blue ink.
- 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.
-
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.
- 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.
- 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.
- Piles should be numbered and pay lengths shown for each component of the structure.
- Final TIP elevations
shall be labeled for each drilled pier.
- For bridge
preservation/rehab projects, show actual locations and types of repairs
performed with dimensions. This shall be shown for both substructure
repairs and superstructure repairs. Strike through any repairs shown on
the plans that were not performed.
- All corrections made on the As-Constructed Plans should be made with black ink.
- 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.
- Complete Biological Survey for Northern Long-Eared Bats. Follow guidance provided in the
NLEB section of the Construction Manual.
-
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:
- Sheets should be included in this portion of the assembly that contain the necessary sketches and computations.
- 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.
- 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.
- Contract (Project Special Provisions).
- DBE/ MB/WB Replacement documentation.
- NCDOT DBE Payment Tracking System located on NCDOT webpage.
- 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.
