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 ApprovedRR-01
  
RECORDS AND REPORTS SECTION
 
 

INTRODUCTION
 
This section of the Manual contains the procedures for most of the records and reports maintained and utilized by the office of the Resident Engineer.
 
Any proposed major deviation from the policies and procedures outlined in this section of the Manual should be discussed with the Division Engineer, Area Construction Engineer, or State Construction Engineer before being implemented.

ELECTRONIC DOCUMENTATION
 
All documentation discussed in this section of the manual including source documentation used to support payments and materials certification can be captured and/or stored in an electronic format as a PDF or Share Point Document. Original hardcopy documents can be destroyed upon verification that a legible electronic version exists. The rules governing public records discussed in this manual apply to the electronic version of documents as well. In addition, electronic records follow the same retention and disposition schedule as the paper documents unless a retention and disposition schedule has been established specifically for the electronic version of a document.

PUBLIC RECORDS
 
All project records except the Project Diaries, which include the Inspec​tor’s Daily Reports and the Weekly Project Report, are public records. Project Diaries become public records once the final estimate has been paid, therefore, Project Diaries shall not be provided to the contractor or general public until the final estimate has been processed by the Construction Unit. Requests to review the Project Diaries shall be made in writing to the State Construction Engineer. As public records, the project records can be viewed by anyone during normal work hours. The Federal Highway Administration (FHWA) has the right to view any project records pertaining to a specific federally-funded project. Exceptions to the review policy for Project Diaries, including Inspector’s Daily Reports, can be made by the State Construction Engineer.
 
Anyone desiring to view public project records must make such request in writing and outline the specific records they wish to view. They should not be allowed access to the files. Records shall not be viewed except in the presence of a Department representative to ensure nothing is added to and/or removed from the records.
 
The Public Records Act further provides that the person having custody of public records shall furnish any person certified copies of public records upon payment of prescribed fees. If, in the discretion of the Department, the records requested are found to be a large amount, to the extent copying cannot be readily accomplished, the Department may release the documents to a bonded copying service for copying. Before release to any such service, permission should be obtained from the State Construction Engineer. The requestor is responsible for making arrangements with such a copying service, and payment for any copies.
 
As an exception to the Public Records Act, any confidential communications between legal counsel and the Department are not considered to be public records. The State Construction Engineer should be consulted if there is any question regarding making records available to the public.
 
Confidential Information
 
Normally, a document submitted by a contractor to the Department becomes a public record under North Carolina General Statutes (N.C.G.S.) 132. However, N.C.G.S. 132-1.2 excludes certain information that is considered to be confidential. N.C.G.S. 132-1.2 (1) lists the four conditions that must be satisfied for information to be deemed confidential, and therefore not subject to disclosure pursuant to a public records request.
 
The four conditions are as follows.
 
  1. Constitutes a "trade secret" as defined in G.S. 66 152(3).
     
  2. Is the property of a private "person" as defined in G.S. 66 152(2). 
     
  3. Is disclosed or furnished to the public agency in connection with the owner's performance of a public contract or in connection with a bid, application, proposal, industrial development project, or in compliance with laws, regulations, rules, or ordinances of the United States, the State, or political subdivisions of the State. 
     
  4. Is designated or indicated as "confidential" or as a "trade secret" at the time of its initial disclosure to the public agency.    
An example of documentation that could be considered confidential information is the contractor’s bid documents to support a claim for non-recovered fixed cost as provided in Standard Specification 104-5(C). If the four (4) conditions as set forth under N.C.G.S. 132-1.2(1) have been met, then the Department would not disclose this information pursuant to a public records request.

Error Occurred
 ApprovedRR-02
  
ELECTRONIC FILING SYSTEM
 
 

 
The Resident Engineer should use the project’s Construction Team Site to store project documents as detailed below:
​​
Electronic Filing Contract Folder System Chart.PNG


ESTIMATE DOCUMENTATION​

ELECTRONIC FILING SYSTEM - ESTIMATE DOCUMENTATION.png

Final Estimate – Final Estimate Assembly.  Any document that is required for inclusion in the final estimate.

Force Account Records – all records required for force account – This should include all spreadsheets, invoices, correspondence relative to force account.

Leftover Materials – any documentation that is relative to left over material payments.

Material Prepayments – any documentation relative to material prepayments.

Partial Estimate – partial estimates paid during the life of the project.

Pay Adjustments – any documentation relative to pay adjustments.  This may include letters, density information, correspondence from M&T, etc.

Pay Records – Any documentation relative to pay records. 

Photogrammetry – Any documentation relative to photogrammetry flight information.

Workbook Entries – Any documentation relative to workbooks.​​ 



MATERIALS

ELECTRONIC FILING SYSTEM - MATERIALS.png 

Asphalt Daily Reports – Electronic M&T 605 form that inspectors can complete

Asphalt Documents –Electronic M&T 515QA Test Section and Random Location Generator

Asphalt Gauge – Control Strip –Allows electronic entry of core samples and gauge measurements for setting up control strip

Asphalt Gauge – Test Section–Allows electronic entry of nuclear gauge records.

Asphalt QC/QA – QC/QA density documentation

Proof Rolling Daily Report – Electronic Proof Rolling Report inspector can complete

Concrete Mix Designs – concrete mix designs approved for the project

Investigations – documentation from investigations due to material acceptance

M&T Test Results – Test Results from samples taken not related to asphalt

Prestressed Concrete – Information relative to prestressed concrete materials.  Not associated with materials received

Structural Steel - Information relative to structural steel materials.  Not associated with materials received

 

Sample Book – Electronic Sample Book Entries.  Ability to record sample id number, date, sample type, used for, etc.

 

Soils Documents - 

ABC – ABC density documentation

Embankments – Density documentation for embankments.  Also blasting reports and borrow pit information.

Subgrade - Density documentation for subgrade



OTHER
 
ELECTRONIC FILING SYSTEM - OTHER.png

Correspondence -

Contractor – Correspondence to and from contractor

DBE – Correspondence related to DBEs

Div – Raleigh – Internal correspondence

Media – Public – correspondence related to press releases or public information/correspondence

Other – correspondence that doesn't fall into any of the other categories

Prompt Payment – correspondence related to prompt payment issues

Railroad – correspondence related to RR construction or work within RR right of way

ROW – correspondence related to ROW issues, right of way agreements

Utility Owners – correspondence related to utility work, 3rd party and municipal work

 

Photos and Videos -

Erosion and Permit – pictures and videos from the project relative to erosion control and environmental compliance

Roadway – pictures and videos from the project relative to roadway construction

Structures - pictures and videos from the project relative to structure construction

 

Project Meeting Minutes – minutes from all project meetings​




PLANS/CONTRACTS
ELECTRONIC FILING SYSTEM - PLANS OR CONTRACTS.png
 

Claims – all correspondence and documentation related to claims

 

Contract Documents -

Contract – copy of contract, award letter, progress schedule, final inspection, acceptance letter, technical proposals (Design-Build Projects)

General – general information relative to contract admin.  Final field inspection reports, estimate of quantities, insurance, liability, etc.

Subcontracts – SAFs, revisions, correspondence relative to subcontractor work on the project

Supplemental Agreements – executed SAs, documentation relative to agreement of prices, backup documentation

 

Plans -

FEMA Certifications – FEMA certifications for bridge projects

Individual Sheets – Individual Plan Sheets based on the plan set (Roadway, TMP, Pavement, EC, signing, etc.)

Revisions – Plan revisions

Roadway – plan sets for the various plans included on the project (Roadway, TMP, Pavement, EC, Signing, etc.), Permit documentation

Structures – plans sets for structures, include construction elevations and other critical design information for structures

Voided Sheets – sheets voided by revision

 

Plans As-Builts - 

As Builts Final – Final As Builts for the project

As Builts Working-

Erosion Control – As Builts for erosion control

Roadway Redlines – As Builts for Roadway Construction

Structures Redlines – As Builts for Structure Construction

Utility Redlines – As Builts for Utility Construction 




REPORTS
 
ELECTRONIC FILING SYSTEM - REPORTS.jpg

Asphalt Daily Reports – Electronic M&T 605 form that technician can enter asphalt daily reports.  Same folder as shown in Materials

DBE CUF Assessment – Commercially useful function assessment completed by the RE office

Proof Rolling Daily Report – Electronic Proof Rolling Report inspector can complete.  Same folder as shown in Materials

 

Reports -

Audits – audits performed on the project.  Annual audits, internal audits, M&T, etc.

Erosion Control – Monthly erosion control reviews performed by EC field staff

Materials and Test – M&T reports provided during the life of the project.  Not related to materials received.

Permit Audit – Reviews performed by NCDOT permit compliance staff, outside agencies (DENR, DWQ)

Scales Checks – scale checks performed on the project

 

Truck Report – Truck Reports for documentation of trucking

​Worksite Audits – Safety worksite audits performed on the project 




STRUCTURES
 
ELECTRONIC FILING SYSTEM - STRUCTURES.jpg
​​

Advance Notice of New Structure Completion – complete form once you know estimated completion date of structure. (Approximately 30 days prior to opening to traffic) 

Engineer Acceptance Form – Acceptance form for partial or final acceptance of the project.  This form is also used to accept the Bridge Deck & Rail per Article 105-17

Notice of Vertical Clearance Change - form to complete anytime a change in the vertical clearance occurs – new bridges, signs, resurfacing under existing structures

Project Structures – List of all structures on a project.  If this list is not pre-populated, each structure should be entered, and appropriate details filled in.

​​Structure Inspection Forms – Location for uploading the following structure forms (Drilled Shafts, Pile Driving Log, and High Strength Bolts).  The forms can be found in Construction Resources and once completed, can be uploaded here.  (Structure Inspection Forms Help Video)  By entering the appropriate structure details (i.e. Structure #, Bent #, Pile #, etc.) for each form, reports will be able to be linked to the structures listed in the Project Structures list for better tracking and future reference.  




CONTRACT
ELECTRONIC FILING SYSTEM - CONTRACT.jpg
 
Submittals Response - Documentation relative to submittal receipt response to contractors

Submittals Review - Internal correspondence relative to the review of submittals. 

Utilities – documentation relative to utility relocation.  Includes utility agreements, reviews by municipalities, reimbursable expenses, etc.


​ ​

In addition to the project site folders, there is the Contract Administration Dashboard. All documents associated with federal requirements should be stored in the dashboard.

​FAP-1 Reports—certified payrolls from prime and subs.  Correspondence regarding payrolls to and from contractors (i.e. FAP-2's and FAP-3's). 

FHWA 1391

OJT – Documentation related to OJT program. 

Wage Rate Interviews Tracker– wage rate interviews 


Error Occurred
 ApprovedRR-03
  
CORRESPONDENCE
 
 

GENERAL
 
Correspondence concerning any phase of construction must be made a part of the project record and maintained in the project files.
 
The Division Engineer should receive a copy of all correspondence originating from the Resident Engineer's office. The State Construction Engineer and Area Construction Engineer should receive a copy of all non-routine correspondence pertaining to construction matters that originate from the Resident Engineer or Division Engineer's office.
 
Exception:
 
Copies of letters indicating the limits for the use of inmate labor, copies of Contractor submittals, letters transmitting concrete mix designs, copies of Contractor erosion control plans, routine erosion control inspections, and materials supplier lists forwarded to the Materials & Tests Unit should not be forwarded to the State Construction Engineer and Area Construction Engineer. Borrow and/or waste site reclamation plans should be forwarded to the Area Construction Engineer, but not to the State Construction Engineer.
 
The Area Construction Engineer and the Regional Bridge Construction Engineer should receive a copy of all correspondence pertaining to structure construction matters on a project. In addition, the Division Engineer, State Construction Engineer, and Area Construction Engineer should be sent a copy of all appropriate non-routine letters received by the Resident Engineer from the Contractor. These can be transmitted on an information basis only or with recommendations if appropriate.
 
All correspondence received by the Resident Engineer from the Contractor should be promptly acknowledged within seven to ten days to the Contractor, in writing, as to its receipt. This acknowledgment may either contain a reply to the Contractor's correspondence or advise him that he will receive a reply at a later date. All answers to written requests by the Contractor should be given in writing.
 
Any request from the Contractor received by the Resident Engineer should be immediately acknowledged and should be forwarded, if appropriate, to the Division Engineer along with the recommendations of the Resident Engineer. The Division Engineer should, if appropriate, forward the request and the Division's recommendations to the appropriate unit.
 
Several sections of the Specifications require the Contractor to make written requests or statements to the Department of Transportation on construction matters. These may involve extra work, requests for additional compensation, delays to his controlling operations, etc., and should not be taken by the Resident Engineer or his staff as a reflection upon them. These letters are a requirement of the Specifications and are necessary for the Contractor to receive consideration of his request.
 
Non-routine correspondence from the Contractor, such as requests for additional compensation, time extensions, etc., should be documented in the Weekly Project Report.
 
All correspondence from the Resident Engineer to the Contractor should be sent to the Contractor's main office unless otherwise requested by the Contractor. Copies may be sent to the Contractor's project manager or superintendent if deemed appropriate.
 
Any discussions with the Contractor where decisions were rendered relating to payment for work performed, method of construction, etc., should be addressed in writing to the Contractor documenting this discussion. An entry in the Weekly Project Report is not sufficient in itself because the Contractor does not have access to the Weekly Project Report until after payment of the final estimate and thus cannot take exception to the entry.
 
When writing internal correspondence within the Department, such as a letter to the Division Engineer, copies should not be sent to the Contractor or any of his agents. The Resident Engineer should have no direct correspondence with a Subcontractor or supplier. The Contractor should be advised of any information requested by or necessary for the Subcontractor and it is the Contractor’s responsibility to advise his agents as he determines necessary.

CORRESPONDENCE BY EMAIL
 
The use of email has become a growing source of communication between both the Resident Engineer and the Contractor and the Resident Engineer and other Department offices. Email is a great tool to use for communication as it does provide a written form of documentation, but it is often used to request and provide information in an expedient manner. In such cases, the information provided is often not concise and clear to the recipient, which could result in a string of emails going back and forth. This could be eliminated if the email is treated as a formal letter, making sure all appropriate information is clearly provided, instead of a “casual” exchange of information.
 
Email that is received regarding a specific project is considered correspondence and should be handled in the same manner as formal written correspondence. A hard copy should be filed in the appropriate file folder and a written response should be sent to the original sender and any other person(s) deemed appropriate. Although email is electronic correspondence it is still subject to the Public Records Act regardless or not if it is printed.
 
Keep in mind that email is electronic correspondence, it can be modified, and therefore follow-up formal letters are strongly suggested. In addition, if correspondence such as letters and spreadsheets, is being sent via email, it should be sent as a pdf file or a scanned document. Note that pdf files and scanned files cannot be modified.

TIPS FOR CORRESPONDENCE
 
General Correspondence:
 
  • All correspondence received by the Resident Engineer from the Contractor should be promptly acknowledged to the Contractor in writing as to the receipt within 7 to 10 days. The acknowledgement may contain a reply to the Contractor’s correspondence or if additional investigation is needed advise him that he will receive a reply at a later date.
  • Minutes of project construction meetings should be completed within 7 to 10 days of the meeting. The minutes should be addressed to the Contractor and copies sent to the Division Engineer and meeting attendees.
  • All answers to written requests by the Contractor should be given in writing.
  • Provide detail when referencing the Specifications. Provide detail of the specification cited in correspondence as it pertains to your response (i.e. If the Contractor’s claim is not submitted in accordance with Article 104-8, tell him specifically what is not in accordance with the specifications, such as “You failed to submit cost records within seven days of the end of your weekly period.”)
  • Catalog correspondence in Resident Engineer’s Project files. Create a list of the subjects and dates of the correspondence contained in the file folder. The list should be placed in the front of the file folder. This is helpful when reviewing a claim and researching files for specific information.
  • Make sure correspondence is sent to all parties responsible for subject information (i.e. Area Construction Engineer, Project Inspector, etc.).
  • The State Construction Engineer should receive a copy of all non-routine correspondence pertaining to construction matters that originate from the Resident Engineer’s office, specifically issues regarding claims, project progress and significant changes in project plans.
  • The Resident Engineer should document non-routine correspondence from the Contractor, such as requests for additional compensation, time extensions, etc. in the Weekly Project Report.
  • Any discussions with the Contractor where decisions were rendered relating to payment for work performed, method of construction, etc. should be addressed in writing to the Contractor documenting this discussion within a week of the discussion. 
Correspondence by Email:
 
  • You may respond to a Contractor via email, but if there are successive emails regarding the same issue, you should begin corresponding with a formal letter and reference the previous email(s).
  • All answers submitted to the Contractor via email should be followed with a formal letter or a hard copy of the email should become a part of the project file.
  • If you are going to send the contractor correspondence such as letters and spreadsheets via email, it should be sent as a pdf file or a scanned document. Note that pdf files and scanned files cannot be modified. 


Error Occurred
 ApprovedRR-04
  
CORRESPONDENCE FOR CONSTRUCTION CONFERENCES
 
 

PRECONSTRUCTION CONFERENCE
 
The Preconstruction Conference is a meeting scheduled prior to the beginning of Construction. The Division Construction Engineer or the Resident Engineer is responsible for scheduling the conference with the Contractor as soon as possible after notice of award. The date of the conference should be set such that the attendance of representatives such as municipalities, utilities and environmental agencies can be ensured.
 
After setting the date of the Preconstruction Conference the Division Construction Engineer or the Resident Engineer should send a letter of invitation to the Contractor advising him of the date, time and location of the Preconstruction Conference. The Contractor is responsible for inviting any subcontractors that he deems necessary to attend. The invitation should include an agenda to allow the attendee to be prepared for discussion of subjects relating to them. The invitation should include a request for the Contractor to submit the following items seven (7) days prior to the Preconstruction Conference for review.
 
  1. A Progress Schedule  
  2.  
  3. List of Project Personnel (i.e. Project Manager, Project Superintendent, Traffic Control Coordinator, Erosion Control Coordinator, Concrete Plant Superintendent, etc.)  
  4.  
  5. List of Material Suppliers  
  6.  
  7. List of Subcontractors  
  8.  
  9. List of Company Officials Authorized to Execute Supplemental Agreements.  
  10.  
  11. Proof of required insurance (Liability, Workers’ Compensation and Vehicle Liability) for both Prime Contractor and Subcontractors.
Attendance at the conference will vary depending upon the nature and complexity of the project. The following is a list of Department representatives and other interested parties that should be invited to the Preconstruction Conference.
 
Division Construction Engineer (If not sending the Invitation)
Resident Engineer and Staff (If not sending the Invitation)
City, Town, and County Officials
Corp of Engineers Representative
NCDEQ Representative
US Fish & Wildlife Representative
NC Wildlife Resource Commission Representative
EO Contract Compliance Specialist
 
The meeting should be chaired by either the Division Engineer, the Division Construction Engineer or the Resident Engineer. The discussions should be open with everyone being given the opportunity to express his or her views and ask questions.
 
Minutes of the conference shall be prepared by the Division Construction Engineer or the Resident Engineer and sent to the Contractor and copies to the meeting attendees within 7 to 10 days. Those receiving the minutes should be requested to promptly notify the Resident Engineer when they believe the minutes do not accurately reflect the discussions at the meeting. The minutes should be uploaded to the Construction Team Site. 
 
A list of Recommended Topics to be discussed at Preconstruction Conferences can be found below. This list should be referenced when preparing the agenda for the conference.

RECOMMENDED TOPICS FOR PRECONSTRUCTION CONFERENCE
 
Introductions
 
  • Name and Job Title
Setting the Project Up for Success
 
  • Expectations for how business is to be conducted (Division perspective)
  •  
  • Expectations for how business is to be conducted (Contractor perspective)
  •  
  • “Sense of Urgency”
  •  
  • Proactive Approach to problem solving
  •  
  • Establish Team Approach
  •  
  • Not your problem or my problem but OUR problem 
Lines of Communication
 
  • Escalation Process for problem resolution
  •  
  • Authority of Project Personnel
  •  
  • Name the Resident Engineer, Project Engineer and Project Inspector
  •  
  • Name the Project Superintendent, Traffic Control Coordinator, etc.
  •  
  • Discuss to Whom the Contractor should send Correspondence 
  • Discuss to Whom the Resident Engineer should send Correspondence
  •  
  • Phone number list for Emergency Call Back 
Right of Way
 
  • Conflicts
  •  
  • Delay of Entry
  •  
  • Condemned Property
  • R/W Agent Comments 
 
Utilities
 
  • Utility Plans and Special Provisions
  •  
  • Conflicts
  •  
  • Utility Engineer/Coordinator Comments
  •  
  • Establish monthly utility meeting (if needed) 
Safety
 
  • Safety Index Rating
  •  
  • Safety Vests
  •  
  • Traffic Control
  •  
  • OSHA Competent Person
  •  
  • Crane Safety
  •  
  • Backup Alarms
  •  
  • Trenching and Shoring
  • Fall Protection​ 
  • Respirable Crystalline Silica
  •  
  • Joint Safety Meetings
  •  
  • Staff Responsible for Safety    
Review Project Commitments (Green Sheets)
 
  • Confirm that each commitment has been upheld and achieved or will be achieved    
Erosion Control
 
  • Discuss proper management of Earthwork
  •  
  • Starting and Completing Areas
  •    
  • Benefits of reduced erodible area (reduced maintenance of measures and reduced costs)
  •  
  • BMPs
  •  
  • Permits
  •  
  • Review ALL Permit Conditions
  •  
  • Review Permit Drawings
  •  
  • Pipe Burial Depths
  •  
  • Moratoriums
  • Vegetated Buffers
  • Temporary Causeways
  •  
  • Turbidity
  •  
  • Jurisdictional Areas
  •  
  • Groundcover Timeframe
  • Environmental Agency Comments
  •  
  • Review Division’s Written Procedure to Correct ICAs and Avoid NOVs
  •  
  • Review Erosion Control Plans
  •  
  • Delegate Project Inspector to keep and update EC Plans
  •  
  • Inform Contractor of NCDOT Expectations for Timely Implementation and Maintenance of Erosion Control
  •  
  • Weekly Erosion Control Checklist
  •  
  • Waste and Borrow Reclamation Plans
  •  
  • Environmental Assessments
  •  
  • Clearing and Grubbing
  •  
  • NPDES Stormwater Program 
Schedules
 
  • Contractor’s Plan of Operation
  •  
  • Request and discuss Progress Schedule
  •  
  • Contractor to communicate how the project will be constructed to include critical milestones and “Rocks in the Road”
  •  
  • Date of Availability
  •  
  • Planned Start Date
  •  
  • Contract Completion
  •  
  • Liquidated Damages
  • Intermediate Contract Times
  •  
  • Liquidated Damages
  •  
  • Set Monthly Construction Conference Date
  •  
  • Set Estimate End Date 
Subcontracting
 
  • DBE Contract Commitments
  • Replacement of DBEs
  •  
  • Lease Agreements
  •  
  • Joint Checks
  •  
  • Identification of DBEs to meet Contract Commitments 
Submittals
 
  • Set priorities for submittals
  •  
  • Track through process (discuss status at Monthly Meetings)
  •  
  • Establish critical timeframes up front 
Supplemental Agreements
 
  • Letter of Authorized Persons to Sign Supplemental Agreements
  •  
  • Authority Levels 
  •  
  • Discuss Standard Pricing Information Form 
  • Request Certified Annual Labor Burden 
Claims Process
 
  • Work cooperatively to minimize or eliminate claims
  • Escalation Process detailed above
  •  
  • Authority Levels 
Final Inspection Process
 
  • Finish as we go
  •  
  • Establish a running list
  •  
  • Joint Responsibility to find and correct problems
  •  
  • Common Punch List Items 
  •  
  • Scheduling of Final Inspections 
Closeout Conferences
 
  • (S.D. DeWitt memorandum, dated May 8, 2000) 
Terms of Contract
 
  • Liability Insurance
  •  
  • Workers’ Compensation
  •  
  • 12 Month Guarantee
  •  
  • DBE & MBE Requirements
  •  
  • Contractor’s EEO Officer and MBE Liaison Officer
  •  
  • EEO Compliance
  •    
  • Annual EEO Report (FHWA Form 1391) 
  • ​Title VI
  •  
  • Advise Contractor of required posters
  •  
  • Material Testing
  •  
  • Retainage & Prompt Payment
  •  
  • Submission of Records (Federal Aid) 
Surveying
 
  • Locations and Surveys Unit Representative to provide project control information and electronic files
  •  
  • Permanent Control for Photogrammetry ( if needed)
  •  
  • Baseline control located and verified
  •  
  • Surveyors performing work
  •    
  • Automated Machine Guidance Requirements
Specify Method of Clearing
 
  • Specify Method of Measurement for Earthwork
  •  
  • Discuss the Paving Expectations
  •  
  • Rideability and Pre-Paving Meeting 
  •  
  • QMS Specification Changes
  •  
  • QA Supervisors Comments
  •  
  • Density Method
  • Final Surface Testing (Pavement Smoothness) 
Traffic Signal Special Provisions
 
  • Signal Inspection Checklist 
Structure Special Provisions
 
  • Area Construction Engineer’s Comments
  •  
  • Submittal Procedure  
Plans
 
  • Review 

MONTHLY CONSTRUCTION CONFERENCE
 
The Resident Engineer should schedule regular construction meetings throughout the course of the project. The frequency of this meeting should be determined by the Resident Engineer and the Division Construction Engineer, but should not exceed 30 days.

RECOMMENDED TOPICS FOR MONTHLY CONSTRUCTION CONFERENCE
 
The purpose of these meetings is to discuss and resolve any problems that may arise relating to the construction of the project. These may include:  
 
  1. Progress of the work 
     
  2. Contractor’s plan of operation 
     
  3. Coordination of stakeout and inspection with the Contract’s plan of operation 
     
  4. Coordination of Subcontractor’s work  
  5. ​Utility Conflicts/Delays ​
     
  6. Utility adjustments (by others) 
     
  7. EO Compliance – (June/July Monthly Construction Conferences) Submission of Annual EO Compliance review (FHWA Form 1391
     
  8. Plan revisions
  • New revisions
  • Status of previously identified revisions with anticipated resolution dates 
    9.  Property Owner Issues
 
  • Ingress/egress of adjacent property owners
  • Specific concerns of property owners
  • Delays of Entry
  • Noise Issues 
    10.  Maintenance of the project
 
  • Maintenance of traffic/traffic control issues (Review of Maintenance of Traffic report(s) and any traffic accidents that may have occurred)
  • Installation and maintenance of erosion and sedimentation control devices (Review of Erosion Control Report by inspection staff and/or by Roadside Environmental staff) 
   11. Outstanding Items
 
  • Submittals
  • Claims
  • Supplemental Agreements
  • Request for Information 
   12.  Estimates​​ 
  • ​Quantity Review 
  • Materials Certification Review 
  • Payment Tracking Review 

   13.  New Issues
 
   14.  Action Items
 
On those projects involving multiple construction contracts, these meetings should be used to resolve differences among the Contractors, coordinate their work, and review their progress as it relates to the construction schedule (see Article 105-7 of the Standard Specifications.)
 
Attendees at these conferences should include the Resident Engineer and the project superintendent and /or Project Engineer and any necessary subcontractors. It may also include the Division Engineer, Division Construction Engineer, representatives from the Construction, Materials and Tests, Roadside Environmental and Right of Way Units, and representatives of outside agencies such as utility companies, permitting agencies and municipalities, depending upon the nature of the business to be conducted.
 
The Resident Engineer should notify the Contractor and other interested parties in writing of the date, time, and place of the meetings. In the notifications, those individuals, other than the project superintendent, who should attend should be specified. The Resident Engineer should submit minutes of the meeting within 7 to 10 days to the Contractor with copies to the Division Engineer, Area Construction Engineer and meeting attendees and all other interested parties. Those receiving the minutes should be requested to promptly notify the Resident Engineer when they believe the minutes do not accurately reflect discussions at the meeting. The minutes should be uploaded to the Construction Team Site.

Error Occurred
 ApprovedRR-05
  
INSPECTOR'S DAILY REPORT
 
 

  
      This report should be used to give a daily detailed account of all activities occurring during the life of the project. A minimum of one report should be completed for each day, beginning with the date work begins and carried to the date that the project is completed and accepted, whether or not work is performed on the project. Additional reports should be used as necessary to report the various operations that are performed on the project, such as night operations and/or multiple shift work.

 

Steps involved in creating the report from SharePlus.

1. Open the Share Plus app and navigate to the construction project you are working on.

2. Click on Inspector's Daily Report - Restricted under lists.

 Inspector's Daily Report Step 2.png


3. Click on the + sign on the right corner to add a Daily Dairy​

Inspector's Daily Report Step 3.png


4. Fill in the fields and save to submit the report.

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See below for more information on each field.


Field Information

Please refer to the table which will help you while entering the column information in the report. Attachments – Please add any attachments like photos, pdf's by clicking + Add

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Additional Views for Inspector's Daily Report

 Inspector's Daily Report - Additional View.png

If there is more than one contractor (prime or sub) on the project site today, create a Daily Diary_Addtn'l Subs entry for each contractor after the first.

​If no work was completed on the project site today, create a Daily Diary_No Work diary to document that situation and explain why.



TIPS FOR WRITING INSPECTOR'S DAILY REPORTS
 
  • Write daily reports each day. It is difficult, to remember all of the details after the fact. With legal proceedings, diary entries made after the fact may be considered inadmissible in court.
  •  
  • Who, What, When, Where, Why.
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  • Write daily reports such that someone not familiar with the job can understand what is going on. Many times the daily reports are used to evaluate a claim years after completion of the project.
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  • Details. Use Stations, Alignment, Lane numbers, Right/Left, Structure Numbers, etc.
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  • Be careful referencing local names of businesses. Remember, that businesses change, and others reviewing a claim may not know the local businesses. You may use them as a quick reference, but follow it up with Stations and alignment information.
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  • List instructions to a Contractor, as well as whether or not they follow through with the instructions. List instructions by you or others, i.e. Resident Engineer, etc.
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  • List delays to operations, conflicts, payment disputes, etc.
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  • If the Contractor is performing work at no cost to the Department, explain why the work is “No Pay”. Be specific and thorough.
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  • Record what you measured or tested and if it was in accordance with the contract documents or not. (i.e. Densities, saw cut depth, tightening of bolts, etc.)
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  • It does not hurt to reference an operation that another inspector is inspecting if it affects the operation you are inspecting.
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  • Note the items of work that have been completed. (i.e. Completed backfill of Structure Number 152).
  • Note start and completion of ICT’s. (i.e. When ramps/roads are closed and opened).
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  • Refer to Contractor as “The Contractor” or the specific name of the Contractor. Stay away from referring to them as “They”.
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  • Don’t write personal opinions of the Contractor. It is OK to write, “I have informed the Contractor to do “XYZ” three times, but it has failed to be performed.” However, do not continue and say, “this Contractor has no character”, etc. Do not write malicious comments in your diaries.
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  • Write one diary per contractor/subcontractor.
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  • Write one diary per work shift.​
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Error Occurred
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WEEKLY PROJECT REPORT

​       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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Error Occurred
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ACCEPTANCE OF MATERIALS
 
 

GENERAL
 
Materials Received and Acceptance records for all projects are maintained in the department's Highway Construction and Materials System (HiCAMS). Materials used are assigned to each Contract Line Item using the Contract Bill of Materials function found in the Contract Maintenance module. Materials Quantities are calculated using the Contract Bid Quantity and the Conversion Factor. For more details on the Contract Bill of Materials and Conversion Factors, see the HiCAMS User Guides Review Contract BOM" and "Working with Conversion Factors."
 
The sampling and testing requirements for each Material are maintained in the Minimum Sampling Guide and are enforced by HiCAMS when calculating the Accepted Quantities. The Paid, Accepted, and Received quantities are viewed using the HiCAMS Audit Materials function found in the Contract Tracking module. For more details on working with the Audit Materials function see the HiCAMS User Guide "Audit Materials".
 
The following guidelines for numbering should be followed:
 
  1. Each sample and/or test report for each contract item should be numbered consecutively. All check samples should carry the same number as the original sample, plus an alphabetical designation, such as “34-A.”
     
  2. All materials received reports (MRRs) should be numbered consecutively in date order, beginning with the Number 1 for the first report submitted for a project. It is also possible to designate the MRRs with an R for Roadway Materials and an S for Structure Materials.
     
  3. Ticket Books should be numbered sequentially within a Line Item Number. For resurfacing projects, it may be desirable to use the map number as part of the ticket book number. For example, Ticket Books on Map 34 would be numbered 3401, 3402, 3403, etc.
In order for the Audit Materials function to be of benefit, entries must be made on a daily basis. If the system is maintained properly, it will serve as a continuous, accurate check to ensure the following:
 
  1. The minimum number of samples have been taken.
     
  2. The minimum number of tests have been performed.
     
  3. Accepted Quantities meet or exceed the Paid Quantities

FAILING TEST REPORTS AND FIELD INSPECTION REPORTS

Upon receipt of a HiCAMS notification of a failing sample test report or failing Field Inspection Report (FIR), the Resident Engineer should investigate and note the following information in the disposition section of the Sample or FIR:
 
  1. The results of any check samples taken at the same location
     
  2. Any justification and/or explanation of why the acceptance sample failed to meet the requirements of the Standard Specifications.
     
  3. Whether the material represented by the test or FIR was utilized, or removed and replaced
     
  4. If the material was utilized, whether or not there was a reduction in unit price (Price Adjustment Recommendation).
     
  5. Any other information that the Resident Engineer deems important that pertains to the test report.
Error Occurred
 ApprovedRR-09
  
MATERIALS RECEIVED REPORTING
The Materials Received Report (MRR) should be completed when any material is received on the project that is to be incorporated into the construction on a temporary or permanent basis.  The MRR should not be completed for certain items including, ABC, Ready-Mixed Concrete, Materials used in Ready-Mixed Concrete, and Asphalt.  It is not necessary to fill out materials received reports for asphalt cement and nonstrip additive since these items are accepted by certification.  See the QMS Manual for current procedures regarding asphalt cement and nonstrip additive.  This documentation is necessary to ensure that all materials are tested and meet the requirements of Division 10 of the Specifications.

            The Minimum Sampling Guide lists materials that are pretested and materials that are to get sampled by project personnel.  The Minimum Sampling Guide can be accessed through the References section of HiCAMS, or from the Materials and Tests Home page.

            The HiCAMS User Guide should be referenced for instructions on how to enter materials in HiCAMS. 

            Material Received Reports entered into SharePoint should have all certifications attached at the time of entry.​

Materials Received Report

            The Inspector or person receiving the materials should provide the following items that are included on the Materials Received Report (MRR):

 

1.        Add:  This is the location to add digital documents including scanned certification letters, invoices, shipping tickets, etc.

2.        Line Item #:  This is the line item of the contract, with which the material is associated.

3.        Report No.:  The number of the MRR numbered consecutively beginning with the Number 1.

4.        Date Received:  The date the material was received on the project.

5.        Material & Type, Grade, or Class:  List materials by name under the appropriate line item codes included in the contract.  Enter sizes, class, and type of each material.  The material should be listed in the appropriate contract payment unit if applicable.  If an item is incidental to another pay item, such as steel offset blocks are incidental to the pay item steel beam guardrail, then list the contract line code item.

6.        Unit of Measure:  Enter the unit of measure (such as linear feet (LF), each (EA), pounds (lbs.), etc.) as appropriate.

7.        Quantity:  The quantity of material received based on the unit of measure.

8.        Produce/Supplier/Manufacturer:  Enter the producer or manufacturer, not the supplier.  Examples of suppliers are Lowes, Silverman, etc.  “General Materials" is acceptable for PVC pipe.

9.        Alternate ID/Plant:  The Alternate ID is a numbering system used to identify approved plants/manufacturers that are on the Materials and Tests approved list in HiCAMS.  The Alternate ID is the first two letters and first two numbers included in the documentation submitted for the material.

10.     All Certifications Received:  Make sure you have received all appropriate certifications required per Article 106-3(E) of the Standard Specifications. Enter “Yes" once received.

11.     Other Identifying Information:  

  • If an item is pretested and stamped “Approved for Use," enter “NCDOT stamped."
  • Plastic Pipe:  State if it is Schedule 40.
  • Posts/Blocks/Poles:  State if wood, steel, or plastic.  If wood, state “AWW."
  • Reinforcing Steel:  Attach a Certified Mill Test Report and M&T Form 913.  The quantity on Form 913 must match the quantity listed on the MRR.  The heat numbers on Form 913 must match the heat numbers on the Certified Mill Test Report.
  • H-piles:  The heat numbers must be listed on the MRR.  A Certified Mill Test Report must be attached to the MRR and the heat numbers must match. 

    RC Pipe: Alternate IDs should be listed on the manufacturer's bill of laden

12.     Contractor:  The prime Contractor for the project.  The Subcontractor may also be included if all items are specific to his work. 

13.     Resident Engineer:  Name of Resident Engineer for the project

14.     Inspector Name:  The Transportation Technician's signature receiving the material

15.     Contract No.:  This is auto populated.

16.     Remarks:  Include other identifying information about the material (:  The batch, lot, tag, or heat numbers, if applicable.

17.     Title:  Should include some details of the material to make the report easier to find later.

18.     Entered in HICAMS?:  Should be selected only after the report has been entered into HICAMS.

19.     Date:  This field is auto populated.


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Error Occurred
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PROGRESS SCHEDULE
 
 

 
The following is a list of instructions from the Contract Special Provisions for every construction project let to contract for use in preparing a progress schedule:
 
  1. The Contractor shall prepare and submit for review and approval a schedule of proposed working progress. This schedule shall be submitted on forms supplied by the Engineer or in a format that is approved by the engineer. A detailed Critical Path Method (CPM) schedule shall not be submitted to replace the progress schedule details required below.  
     
  2. The project number, county, prime contractor, and the date the Progress Schedule is prepared shall be shown in their respective places at the top of the form. 
     
  3. Establish a scale for TIME (DAYS). It is suggested that a scale of 10, 20, or 30 days be used based on the length of time of the contract. The contract time in calendar days shall be noted at the end of the scale. The progress chart must begin on the availability date and the completion date will be according to the Contractor's estimate as to when he will complete the contract but shall not be extended beyond the completion date as shown in the contract. In computing the number of calendar days allowed by the contract, the date of availability and the project completion date will each be counted as a calendar day.  
     
  4. Establish a scale for TIME (PERCENT). This shall be shown at the top of the chart and shall be in 10 percent increments with the date of availability or the first workday being zero percent and the completion date or the last working day being 100 percent.  
     
  5. MAJOR WORK ACTIVITIES AND RELATIVE PERCENT OF PROJECT: Operations shown here shall be the major activities appropriate for the type of project. The dollar value of all bid items included in the particular major operation shall be added and the sum divided by the total contract amount to obtain the relative percent of project. Major work activities are defined as components comprising more than five (5) percent of the total project cost or occupying more than ten (10) percent of total contract time and shall include, at minimum if applicable, the following:
     
    Clearing and grubbing
    Grading (to include unclassified excavation and borrow excavation)
    Drainage
    Soil stabilization
              Aggregate base course
    Pavement          
    Culvert construction
    Bridge construction (including removal)
    Signals, ITS, and lighting installation
    Overhead signs
     
    If the major work activity does not represent a dollar value, make a note under that activity on the progress schedule showing the activity has no dollar value. As a check, the total of all major activities and relative percents shall equal 100 percent.           
     
  6. Clearly label any major milestones on the chart as shown on the example under the Progress Schedule Chart of this Manual. Major Milestones are derived from the project construction phasing and shall include, at minimum, the following:
     
    Date of availability
    Start of construction
    Intermediate completion dates or times
    Seasonal limitation durations
    Permit restrictions/conditions
    Traffic shifts
    Detour installation
    Road openings
    Beginning and end of each traffic control phase or work area
    Construction completion date
    Contract completion date           
     
  7. Beside each major operation, show a bar graph reflecting the time to be spent for the operation. Normally this graph will reflect a uniform rate of progress from the date the operation begins until it is completed. However, some major activities may proceed at different rates during the life of the contract or even be temporarily suspended. In the event that a major activity proceeds at different rates, the intermediate percentages of completion shall be shown at the appropriate locations on the bar graph. These points shall come wherever the rate of progress changes significantly. If the bar graph has been correctly done, the anticipated rate of progress between any two percentages will be uniform. If the major activity is temporarily suspended, the bar graph shall be stopped and later started when it is anticipated that the operation will be resumed. Intermediate percentages of completion shall be shown at the end and beginning of each segment of the interrupted bar graph.  
     
  8. Upon completion of the bar graph, the cash curve for the project shall be determined and drawn. The total progress is to be computed for as many intermediate intervals as may be necessary to establish the curve. Depending upon the length of the project, intervals of 10, 20, or 30 days may be appropriate. The total progress at any time is the sum of the weighed progress figures for each major activity. The weighed progress is the percent completion of the major activity times its relative percent. 
The Contractor is also required to submit a written narrative that explains the sequence of work, the controlling operation(s), intermediate completion dates, milestones, project phasing, anticipated work schedule, and estimated resources. In addition, the Contractor shall explain how permit requirements, submittal tracking, and coordination with subcontractors, utility companies and other entities will be performed.
 
The Contractor is required to submit the progress chart to the Division Engineer seven (7) days prior to the Preconstruction Conference.  It is the Division Engineer's responsibility to approve the initial schedule, if it appears to be acceptable, shall be uploaded into SharePoint.  Progress Schedules that are revised to account for authorized time extensions may be approved by the Division Engineer or his delegate. The State Construction Engineer is available to assist in the approval of revised progress schedules, if the Division has questions or requests an additional review. As a general rule of thumb, authorized time extensions in excess of 30 days should result in a revised progress schedule submitted by the Contractor for review and approval.  Progress schedules that are revised for reasons other than authorized time extensions shall be forwarded, along with any recommendations regarding the schedule, to the State Construction Engineer for final review and approval. Upon receipt of the approved progress schedule, the Resident Engineer shall maintain it in his project files.  Each month the Resident Engineer should plot the actual percent complete as determined by the monthly estimate on his copy of the progress schedule.  This will be maintained throughout the project as a visual reference of the Contractor's progress on the project.  See Forms and Examples in this section of the Manual.


SAMPLE NARRATIVE
 
Work schedule: ABC Contracting working hours for this contract will be Monday thru Friday from 7:00 A.M. to 4:30 P.M. This will be a ten hour shift with a half hour lunch break. No weekend work is anticipated at this time. During warm weather months and as work dictates, we may extend the shift time to a twelve hour work day with possible weekend and night work. This will be considered if the project falls behind schedule and will be reflected in our monthly updates. There will be no work impacting traffic for the Dates, Times and Holidays listed in the contract for ICT #3.
 
ABC Contracting and our subcontractors will be mobilizing all necessary equipment to adequately perform all grading and erosion control operations. We will be utilizing stone from our ABC Quarry located five miles from the project. Asphalt plant mix and all concrete will be supplied from our plants at the quarry.
 
A Utility Coordinator will be engaged with all the utility companies to ensure the conflicting utilities listed in the contract are phased as planned. Every effort will be made by ABC Contracting to expedite the work of the utility companies. The project special provisions will be adhered to and monthly meetings will be held with the utility owners. Noted in the table below, ABC Contracting will make accessible the areas necessary for the relocation of these utilities prior to the dates required by the contract to allow the owners an additional time for relocation. These dates will be reviewed with the owners.
 
We are requesting in addition to the monthly construction meeting an opportunity to meet with the NCDOT’s staff and the environmental agencies. This meeting will be to discuss the permit and environmental requirements of this contract. Our company strives to be proactive in environmental stewardship and would like feedback to ensure there will be no delays due to any environmental issues.
 
The project manager will be responsible for all submittals. This person will familiarize themselves with the contract to be aware of any submittals required and the time necessary for their review. Also, this person will coordinate with the subcontractors to ensure any submittals will be forwarded in a timely manner. We have a built in lead time necessary for the review and approval of our submittals. We ask that the NCDOT contact us immediately if a revision is required. This will enable us to make any corrections and stay on schedule.
 
The project manager will also be responsible for the coordination of all work related to this project. This person will schedule the subcontractors work and oversee the utility coordinators’ schedule. The monthly updates will give documented details of the upcoming project activities.
 
You will notice that this project has a strict time schedule. ABC Contracting is committed to being responsive to all inquiries and needs by the NCDOT, subcontractors, utility owners, and suppliers. We ask that the NCDOT’s staff involved with this project show the same initiative. With all parties involved, the terms of the contract can be successfully met. We are also committed to building a high quality product that will serve the traveling public for many years to come.
 
The following table gives details of ABC Contracting’s work as required by the contract: 
TABLE OF ABC CONTRACTING WORK REQUIRED BY CONTRACT.png 

Error Occurred
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REQUIRED POSTERS TO BE DISPLAYED BY THE CONTRACTOR
 
 Jobsite Posters for Federal Aid Projects are to be displayed by the Contractor on federally-funded projects on a bulletin board, which should be weatherproof, in a conspicuous place where it can be seen by employees and applicants for employment.
 
The Resident Engineer should provide the Contractor with copies of the posters “Notice Relating to False Statements” (Form FHWA-1022), EEO Poster (EEOC-P/E-1) and "EEO is the Law" Supplement (Supplement to EEOC P/E-1).
 
Prior to furnishing the posters to the Contractor, the Resident Engineer should insert the following information on the posters:
 
  1. On the “Notice Relating to False Statements” (Form FHWA-1022), the name of the Chief Engineer should be placed in the blank for State Highway Department. The name of the FHWA Division Administrator should be placed in the blank for Federal Highway Administration.
  2.  
  3. No information is required to be listed for the EEO Poster (Form EEOC-P/E-1) and "EEO is the Law" (Supplement to EEOC P/E-1).
 
NCDOT Poster Requirements
 
Title VI of the Civil Rights Act of 1964 directs government agencies to ensure discrimination does not occur for programs or activities receiving federal funding.  The NCDOT Title VI Policy applies the Civil Rights Act of 1964 to all contracts, both federal and state funded.  The Title VI policy requires that ALL project bulletin boards post the Contractor's EEO Policy statement and NCDOT's Notice of Nondiscrimination both in English and Spanish.  The NCDOT's Notice of Nondiscrimination can be found on the NCDOT webpage at the following link.              
 
The Resident Engineer or Contract Administrator or his delegate should check the project bulletin boards on ALL projects to confirm the required postings are displayed.  Confirmation of the postings should be performed early in the project (within 30 days of the work start date).  The findings shall be documented on the NCDOT Title VI Compliance Checklist located in SharePoint on the project team site.                      

 


Error Occurred
 ApprovedRR-12
  
TRAINING REQUIREMENT
 
 

 
Most federally-funded contract construction projects include as part of the Equal Employment Opportunity Special Provisions requirements that the Contractor provide on-the-job training for a specified number of trainees. Training and upgrading of minorities and women toward journey worker status is a primary objective of the program. Accordingly, it is expected that the Contractor will make every effort to enroll minority and women trainees to the extent that they are available within a reasonable area of recruitment. Therefore, it is expected that Contractors utilize the training program to enhance overall company goals and objectives of attaining a more complete, diverse, and competent work force. This training commitment should not be used to discriminate against any applicant for training. The On-The-Job Training (OJT) Program Unit  in the Office of Civil Rights administers  the program.  
 
All training programs must be approved by the Department. Training programs shall be approved on an annual basis. The OJT Program Manager is responsible for facilitating the approval of a Contractor’s program. There are two basic types of training programs:
 
  1. Apprenticeship Programs administered by the Department of Labor, which generally require one to four years of on-the-job training along with classroom instruction. 
     
  2. On-the-job Training Program, commonly known as the Alternate Program, is monitored by the OJT Program Manager in the Office of Civil Rights. This program is for specific journey worker job classifications and are generally of shorter duration than the apprenticeship programs.

PROGRAM ADMINISTRATION - ALTERNATE PROGRAM
 
Under the Alternate Program, Contractors receive their trainee assignments on a calendar year basis in lieu of a per project basis. Trainees enrolled through the Alternate Program may receive training on private, state and federally-funded projects. The Resident Engineer may be asked to assist the OJT Specialist to conduct trainee interviews and verify training.
 
The Contractor will maintain and furnish monthly reports documenting company compliance under these contract documents. This information shall be provided to the On-The-Job Training (OJT) Program Manager in the Office of Civil Rights.
 
It should be noted that the Department does not compensate Contractors for providing the training required by the contract documents.
 
Questions concerning the Alternate Program may be addressed to any member of the OJT Program Unit.

Error Occurred
 ApprovedRR-13
  
DISTRIBUTION OF REPORTS
          
The Distribution of Reports contains a list of some of the more routine reports prepared by the Resident Engineer or the Resident Engineer’s personnel. No attempt has been made to include every report that is necessary, but only those most prevalent in the Resident Engineer's use. The subsection titled Correspondence should also be referred to in conjunction with this list. If questions arise as to proper distribution or frequency of reports, the Division Engineer should be consulted.
 
The Resident Engineer should review all reports submitted under his signature or jurisdiction for accuracy, completeness, proper distribution, etc. If critical errors are discovered after distribution of any report, corrected reports should be sent out with the same distribution of the original report and should be indicated as a corrected report.

 
Error Occurred
 ApprovedRR-14
  
ANNUAL EEO REPORT - FHWA FORM 1391
    
FHWA 1273 require that prime contractors and subcontractors submit an Annual EEO Report (FHWA 1391) each July for the duration of the project, indicating the number of minority, women, and non-minority group employees currently engaged in each work classification required by the contract. This information is to be reported on Form FHWA-1391 for all active federal-aid construction projects. If on-the-job training is being required by special provisions, the contractor will be required to collect and report training data. Appropriate sanctions may be enforced for contractors failing to report, such as withholding of progress payments.
 
Entries made for “Job Categories” are to be confined to the listing shown on the FHWA 1391 report. Miscellaneous job classifications are to be incorporated in the most appropriate category listed on the form. All employees working on federal construction projects must be accounted for. NOTE: Surveyors are not considered construction trade and should not be reported on the form. 
 
WHO HAS TO REPORT?
 
  • All prime contractors and subcontractors (regardless of tier) with a Federal-aid contract of $10,000 or more must report on form FHWA-1391.
  • Subcontractors are required to submit their reports to the prime contractors.
PERIOD TO REPORT
 
  • The report should reflect the employment data submitted for the last full pay period worked in July.  A full pay period is seven (7) days. Reporting week(s) for all contractors must be between July 1-31.
  • If the federal contract is active during this payroll period but no work was performed, contractors must submit a 1391 report indicating “NO ACTIVITY”. Do not report any other payroll period in the month of July. 
ACTIVE PROJECTS:
 
If the prime contractor works during the month of July they must file Form 1391.
  • If the prime contractor completed work on June 30 and performed no work in July, they still are required to file Form 1391 because the final acceptance did not come before July 1 and the project is considered active.
  • If the project was accepted by NCDOT as complete in June, the prime contractor does not have to file a Form 1391 report because the project is considered complete before July 1.
  • If the work order is dated August 1, the prime contractor does not have to file a Form 1391 because the project was not active in July. 
NCDOT may request additional 1391 reports when conducting a compliance review of a contractor.
 
Completing Form 1391: Follow the instructions shown below for completing the appropriate boxes on Form 1391. These boxes coincide with the FHWA 1391 report updated in 2010. The new report can be located at: https://www.fhwa.dot.gov/eforms/fhwa1391.xls​ 
 
Box 1: Check whether you are a prime contractor or a subcontractor on this project.
 
Box 2: Indicate the complete name and address of the firm.
 
Box 3: Enter the NCDOT contract number (e.g., C300200). Do not complete this report if the project is not a federal-aid project.
 
Box 4: Prime contractors indicate the contract value of the entire project. Do not enter the bid amount. Subcontractors indicate the amount of the subcontract only. Do not consider plan changes.
 
Box 5: Indicate the county and state of the project location.
 
Box 6: Enter the FFY for date of the Form 1391.
 
Box 8: The report must be signed by the firm’s representative  (e.g., EEO Officer) certifying the reported data to be true. The prime Contractor is responsible for the accuracy of each Subcontractor's report and should sign, date, and submit the reports to the Resident Engineer.
 
Box 9: Indicate the date the report was completed.
 
Box 10: The Form 1391 must be signed by the “State Highway Official”. Prime contractors are not authorized to sign as a “State Highway Official”. NCDOT has designated their Resident Engineers as the reviewer of the reports.
 
DUE DATE: All 1391 Reports are due to the Resident Engineer on or before the August 15th.  Reports should be provided to the Office of Civil Rights via electronic submission.  Every effort should be made to submit this report before the deadline. If all reports for a project are not received by August 15, the Resident Engineer initiates action to withhold progress payments until the forms are received.
 
Questions regarding the FHWA 1391 report should be directed to the EO Compliance Section.
 
Definitions of Job Categories 

DEFINITIONS OF JOB CATEGORIES.png 


Error Occurred
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REQUESTS FOR SUBCONTRACT
 
 

 
In accordance with Article 108-6 of the Specifications, the Contractor is permitted to sublet a portion of the work when approved in writing by the Engineer. In addition, the Contractor may find it necessary to sublet work to certain types of business firms in order to meet the requirements of the contract. Federal Highway Administration requirements establish Disadvantaged Business Enterprises (DBE) program goals for federally-funded projects. Accordingly, a DBE percentage goal is established for each project that includes federal funds. The North Carolina General Statutes establish Disadvantaged Businesses program goals for state-funded projects. Further, the General Statutes establish percentage goals for two specific elements of Disadvantaged Businesses; they are Minority Businesses (MB) and Women Businesses (WB). MB and WB goals are established for each state-funded project. Simply stated, federally-funded projects are single goal projects, DBE goal only, while state-funded projects are dual goal projects, MB and WB goals only. The Resident Engineer should ensure that the goals established in the contract are met by the Contractor.

PRIME CONTRACTOR SUBLETTING CONDITIONS
 
The Specifications require that the Contractor shall perform work amounting to a minimum of 40 percent of the original contract amount with his own organization. This is commonly referred as the threshold for the project subletting. In determining the amount of work to be performed by the prime Contractor, the value of items that have been sublet to DBE, MB, or WB Subcontractors and the value of items identified in the contract as specialty items that have been sublet are to be deducted from the original contract amount prior to computing the percentages. However, the accumulative total of DBE, MB, or WB items that are deducted in the computation of percentages will in no case exceed the dollar amount of the contract DBE, MB, or WB goal. The dollar value of the DBE, MB, or WB goal equals the total original contract amount multiplied by the respective contract DBE, MB, or WB percentage goal. Any specialty item sublet to a DBE, MB, or WB firm should be counted as a specialty item and not as a DBE, MB, or WB sublet item. Items of extra work and overruns are not considered in the computation of the amount of work that a Contractor is required to perform with his own work forces. A Subcontractor may sublet any portion of the work that has been sublet to his firm. The subletting of work by a Subcontractor is called second tier subcontracting.
 
No work can be sublet by a prime Contractor or a Subcontractor without the following conditions being satisfied:
 
  1. The Contractor proposing to sublet work shall properly complete the appropriate Subcontract Approval Form (SAF) for the subcontractor and/or second tier subcontractor and submit it to the Resident Engineer for approval prior to beginning any work associated with the contract.
     
  2. Subcontract Certification portion of the SAF shall be completed on all Subcontract Approval Forms (SAF) for state and federally-funded highway construction projects.
     
  3. DBE/MBE/WBE Subcontractors should be identified on the Subcontract Approval Form for work sublet to qualified DBE, MBE, and WBE Subcontractors. If the Subcontractor or second tier Subcontractor is not a DBE, MBE, or WBE the box beside "NONE" should be marked. 
The proper procedures to follow in the subletting of work are to be discussed at the Preconstruction Conference. The Contractor should be advised that he may find an electronic version of the Subcontract Approval Forms for use in requesting approval of any subcontract on the Construction Unit’s website under ​Resources and Forms.
 
The Specifications require the Contractor to submit a certified copy of the actual subcontract agreement only when directed by the Engineer.  The Resident Engineer or Contract Administrator or his delegate shall review 10%, with a minimum of two, of the actual subcontract agreements to the satisfaction of the Resident Engineer. The agreements received would be in addition to those received under the requirements for DBE, MBE, and WBE Subcontractors.​

RESIDENT ENGINEER RESPONSIBILITIES
 
Upon receipt of a request by a Contractor to sublet work, the Resident Engineer is responsible to ensure that: (they have the proper forms found in this manual to give to Contractor.)
 
  1. The Subcontract Approval Forms and attachments have been properly completed. Instructions for proper completion are located on the Construction Unit Website under Resources and Forms.
     
  2. Work designated in the contract to be performed by specific DBE, MBE, or WBE Subcontractors is not performed by others. A listing of items of work to be performed by specific DBE, MBE, or WBE Subcontractors can be found in the contract preceding the listing of contract items.
     
  3. The percent of work remaining to be performed by the Contractor must be at least 40 percent of the original contract amount minus any specialty items and DBE, MBE, and WBE items that have been sublet. Extra work and/or overruns sublet are not to be used in any percentage computations. A Subcontractor can only sublet work that has been subcontracted to him by the Prime Contractor. There are no percentage restrictions on the amount of work which a Subcontractor may sublet. However, subletting by DBE, MBE, and WBE Subcontractors will be governed by the Special Provisions relative to DBE, MBE, or WBE participation which may be applied towards the contract goal.
     
  4. When a portion of the contract quantity is sublet, the unit price for the item of work is the same as the contract price.
     
  5. When a partial item of work is sublet, the monetary distribution reflects the work to be performed. The Resident Engineer may request a copy of the actual subcontract agreement to verify prices submitted.
     
  6. The firm to which the work is being sublet is must be a prequalified Bidder or Subcontractor. If a certified DBE, MBE or WBE firm is sublet work, then that firm must be a prequalified Bidder or Subcontractor.
The listings of prequalified Contractors, Subcontractors, and certified DBE, MBE, and WBE firms are maintained electronically and can be reviewed utilizing the Directory of Transportation Firms on the DOT website. Any firm currently listed as a prequalified Bidder or Subcontractor is acceptable to perform subcontract work on NCDOT projects. In addition, any certified DBE, MBE, or WBE must be listed as a prequalified Bidder or Subcontractor in the Directory of Transportation Firms to be acceptable to perform subcontract work on NCDOT projects.
 
A firm can be considered for inclusion in the Department's list of known Subcontractors by submitting a list of available equipment, a brief description of the company's work history, and a list of the firm's owners/principals, along with brief resumes for those individuals. The firm shall submit the information to the Resident Engineer, who will forward it to the Contractual Services Engineer.
 
After reviewing the Contractor's submitted Subcontract Approval Form, the Resident Engineer should verify the amount of work performed by the Prime Contractor is within the 40 percent threshold, determine that the submittal is in order, and sign the form for approval.  The Resident Engineer should retain all original forms in the project files.
 
In those instances where a second tier Subcontractor is working on a federally-funded project, certified payrolls are to be submitted to the Resident Engineer’s office. The payrolls shall contain the following statement: “(Name of Subcontractor), Second Tier Subcontractor for (Name of Contractor), Prime Contractor.”
 
Once a Subcontract Approval Form (SAF) has been approved, it will remain in force until a change is initiated by the prime Contractor. If a Subcontractor cannot or will not perform all the work, the prime Contractor must submit a new Subcontract Approval Form (SAF) to document the quantity of work performed by the Subcontractor. The new SAF shall be completed in its entirety and numbered in succession to the most previous SAF. The following statement shall also be included on the new SAF, “This documents the work actually performed under approved SAF Number (#) .” This new SAF must be submitted regardless of whether the remainder of the work will be performed by the prime Contractor or by another Subcontractor. Until a new SAF is submitted by the prime Contractor, the original Subcontractor is the only firm authorized to perform the indicated work. In the event no work was performed by the original Subcontractor and the identical work is to be performed by another Subcontractor, a new SAF should be submitted and numbered in succession. The following statement shall also be included on the new SAF, “This Request for Subcontract replaces all work previously sublet on SAF Number (#) .” Should additional work be sublet to a previously approved Subcontractor, a new SAF should be submitted that lists only the additional work. The SAF should be numbered in succession to the most previous SAF.
 
Every SAF shall be completed in its entirety, including the computations to be completed by the Resident Engineer. All SAF's should be numbered chronologically in the order in which they are submitted. Revised SAF's shall not be submitted. Section 107-9 of this Manual should be referenced for subcontracting of work within Railroad rights-of-way.

TITLE VI REQUIREMENTS
  
The NCDOT Title VI policy requires the FHWA 1273 "Required Contract Provisions" and / or the Title VI and Nondiscrimination language must be included in their entirety as part of the actual subcontract agreement between the Contractor and the Subcontractor and between the Subcontractor and the second tier Subcontractor.  For contracts with federal funding, both the Title VI  and Nondiscrimination language and the FHWA 1273 are required to be incorporated in subcontract agreements.   Subcontract agreements for state funded contracts require the inclusion of only the Title VI and Nondiscrimination language. The required language shall not be attached as an exhibit or appendix.
 
The Resident Engineer or the Contract Administrator is responsible for reviewing a sample of the actual certified copies of the subcontract agreements to verify the Title VI and Nondiscrimination language and the FHWA 1273 have been incorporated in their entirety, as stated above.  The Resident Engineer or Contract Administrator or his delegate shall review 10%, with a minimum of two, of the actual subcontract agreements to verify the inclusion of Title VI and Nondiscrimination language and FHWA 1273, when applicable.  The subcontract agreement of the first approved subcontract shall be reviewed and the remaining subcontract agreement(s) to be reviewed shall be randomly selected by the Resident Engineer or Contract Administrator.  At least one subcontract agreement for one DBE/MBE/WBE firm and one non DBE/MBE/WBE firm shall be reviewed.  The Resident Engineer or Contract Administrator shall notify the Contractor of the actual subcontract agreements to be submitted for review.  Documentation of the findings shall be entered on the NCDOT Title VI Compliance Checklist located in SharePoint on the project team site.
 
Contractors' Responsibilities:
 
Contractors are responsible for informing its subcontractors of their rights under Title VI and applicable Federal Regulations.
 
  • Post NCDOT's Notice of Nondiscrimination (English Version and Spanish Version) and the Contractors' own Equal Employment Opportunity (EEO) Policy on all jobsite and field office bulletin boards.
  • Physically incorporate the required Title VI and Nondiscrimination clauses into all subcontracts on federally-assisted and state-funded projects and ensure inclusion by subcontractors into all their lower-tier subcontract agreements.
  • Physically incorporate the FHWA-1273, in its entirety, into all subcontracts (at all tier levels) on Federal-aid contracts only.
  • Provide language assistance services, at no cost, to LEP employees and applicants
  
Resident Engineers' Responsibilities:

Resident Engineers are responsible for ensuring that Contractors (at all tier levels) have informed subcontractors of their rights under Title VI Nondiscrimination and FHWA 1273 contract requirements.

 

  • Review 10 percent (or a minimum of two) subcontracts to confirm that Title VI Nondiscrimination and/or FHWA 1273 language have been incorporated into subcontract agreements.
  • Confirm that Contractors post the following policy statements: 1) Contractor's EEO Policy Statement (for state and federal projects); 2) NCDOT Notice of Nondiscrimination and Accessibility Rights (for state and federal projects); and 3) Required Federal-Aid Posters for Federal-Aid Projects.
 
REQUIREMENTS FOR SUBLETTING CONTRACTS
 
The following requirements are applicable to the subletting of contracts:
  1. ​The prime Contractor must perform with his own organization work amounting to not less than 40 percent of the total original contract bid minus subcontracted specialty items unless otherwise specified by a special provision. 
  2.  
  3. The prime Contractor and first tier Subcontractors may sublet work with the approval of the Engineer.
  4.  
  5. Neither the Contractor nor any Subcontractor may enter into any written or oral equipment lease or rental agreement, materials purchase agreement, and/or labor agreement that circumvents the provisions of ​​Article 108-6 of the Specifications.
  6.  
  7. A lease or rental agreement for equipment entered into by a Contractor or Subcontractor based upon payment for a unit of work, production basis, will be considered subletting of the contract unless the lease or rental agreement is with a commercial equipment company, manufacturer, or commercial leasing agency approved by the Engineer.
  8.  
  9. An equipment lease or rental agreement that is based upon reasonable unit prices per unit of time will not be considered subletting of the contract. This type of agreement will be considered a bona fide equipment lease or rental agreement.
  10.  
  11. It is considered proper and acceptable for the following parties to enter into bona fide lease agreements for equipment: 
  12.  
    A. Prime Contractor with approved Subcontractor
     
    B. Prime Contractor with another Contractor who is not approved to perform work on that particular project
     
    C. Approved Subcontractor with another Contractor who is not approved to perform work on that particular project
     
    D. Prime Contractor with an equipment dealer
     
    E. Approved Subcontractor with an equipment dealer
     
    F. Approved Subcontractor with approved Subcontractor
     
  13. It is considered proper and acceptable for the following parties to enter into lease agreements for fully operated equipment:
  14.  
    A. Prime Contractor with approved Subcontractor
     
    B. Approved Subcontractor with approved Subcontractor
     
    C. Prime Contractor or approved Subcontractor with an independent, commercial trucking firm
     
    D. Prime Contractor or approved Subcontractor with an owner/operator of hauling equipment, such as trucks 
     
  15. Proposed lease agreements for fully operated equipment between the following parties are not considered proper and will not be approved unless special conditions are deemed necessary and are approved by the Engineer:
  16.  
    A. Prime Contractor and another Contractor who is not approved to perform work on that particular project
     
    B. Approved Subcontractor and another Contractor who is not approved to perform work on that particular project
     
    C. Prime Contractor and equipment dealer
     
    D. Approved Subcontractor and equipment dealer
     
    E. Approved DBE/MBE/WBE Subcontractor and prime Contractor
     
    F. Approved DBE/MBE/WBE Subcontractor and approved Subcontractor 
     
  17. With the exception of a bona fide lease agreement, no agreement either written or verbal can exist between the prime Contractor and an unapproved Contractor or equipment deal.
  18.  
  19. With the exception of a bona fide lease agreement, no agreement either written or verbal can exist between an approved Subcontractor and an unapproved Contractor or equipment dealer.
  20.  
  21. Work accomplished by the prime Contractor's organization has to be performed with bona fide employees of the prime Contractor and with equipment either owned or leased by the prime Contractor. Materials have to be negotiated for, purchased, and paid for by the prime Contractor unless this portion of the line item is sublet to an approved Subcontractor.
  22.  
  23. Work accomplished by an approved Subcontractor has to be performed with bona fide employees of the approved Subcontractor and with equipment either owned or leased by the approved Subcontractor. Only that item or portion of an item of work can be sublet to a Subcontractor that is going to be performed by the Subcontractor, or an approved second tier Subcontractor. The furnishing of materials necessary to accomplish the work sublet to a Subcontractor must be the responsibility of the Subcontractor unless the subcontract provides for the prime Contractor to furnish the materials. The Subcontractor must be responsible for the negotiation and payment of the materials unless otherwise approved by the Engineer. Material purchasing mechanisms deemed necessary to assist the Subcontractor in the securing of materials may be used if the particular mechanism is approved by the Engineer and there is no intent to circumvent the subcontracting procedures. The following material purchasing mechanisms are approved to assist Subcontractors in securing materials: 
  24.  
    A. Joint payment checks from the prime Contractor to the Subcontractor and a supplier
     
    B. Use of the prime Contractor's purchasing volumes discounts to secure Subcontractor's materials 
     
  25. Items or portion of an item of work sublet by the prime Contractor to a Subcontractor must be performed by that particular Subcontractor unless a change is approved by the Engineer.
  26.  
  27. To be considered bona fide employees of a Contractor: 
  28.  
    A. The employees must be under the direct management control of the Contractor, must receive their wages and appropriate fringe benefits directly from the Contractor by appropriate payroll check, and must understand and acknowledge when interviewed that they are in the employ of the Contractor, or
     
    B. The employees may be supplied to the Contractor by a labor service, agency, or pool through an agreement between the two parties. In this case, it is still the employing Contractor's responsibility to ensure compliance with all the contract labor standards clauses and contract minimum wage rates. The employing Contractor shall be responsible for providing all required payroll data and the employing Contractor shall remain responsible for executing all required payroll certifications.

Error Occurred
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DISADVANTAGED BUSINESS ENTERPRISE/MINORITY BUSINESS ENTERPRISE/WOMEN BUSINESS ENTERPRISE
General
 
It is the policy of the North Carolina Department of Transportation (NCDOT) that Disadvantaged Business Enterprises, Minority Business Enterprises and Women Business Enterprises shall have the equal opportunity to compete fairly for and to participate in the performance of Federal and State funded contracts. NCDOT has two programs, the Disadvantaged Business Enterprise (DBE) and the Minority Business Enterprise/Women Business Enterprise (MBE/WBE), that establish goals, on a contract by contract basis, for participation by the respective firms. The DBE Program is a requirement for federally funded projects and the MBE/WBE Program is a requirement for state funded projects. 
 
Projects are advertised with a goal set for DBE/MBE/WBE participation. Both Federal and State projects have a single goal.  Federal projects have a DBE Goal, whereas State Projects have a Combined MBE/WBE Goal. The approved DBE/MBE/WBE participation submitted at the time of bid by the Contractor is a requirement of the contract. Upon award, the Contractor is required to utilize the DBE/MBE/WBE firms listed in the contract to perform the committed line items that were submitted at the time of bid.  The DBE/MBE/WBE subcontractor is required to perform the contract quantities indicated for each committed line item(s). When a DBE subcontractor is awarded the entire plan quantity they are required to complete all work for this line item including overruns. The DBE shall participate in the additional work to the same extent as the DBE participated in the original contract work. Payment shall be based on the unit pricing submitted for each committed line item.
 
Letter of Intent 
 
The Contractor is required to submit a Letter of Intent to document the DBE/MBE/WBE firms that will be used to meet the contract goals. A Letter of Intent shall be submitted for each DBE/MBE/WBE firm listed in the Contractor's proposal and contain general information about DBE/MBE/WBE firm and the dollar amount of the firm's participation. The Contractor shall complete a "Letter of Intent to Perform as a Subcontractor," form and submit it to the State Contractor Utilization Engineer, of the Contractual Services Unit.
 
Payment Tracking
 
The Contractor shall provide the Engineer with an accounting of payments made to DBE/MBE/WBE firms, including material suppliers, contractors at all levels (prime, subcontractor or second tier subcontractor). This accounting shall be furnished to the Engineer for any given month by the end of the following month. Failure to submit this information accordingly may result in (1) withholding money due in the next partial pay estimate, or (2) removal of an approved contractor from the prequalified bidders list or the removal of other entities form the approved subcontractors list. 
 
The Contractor shall report the accounting of payment through the Department’s DBE Payment Tracking System, which is a web based application. While each contractor (prime, subcontractor, second tier subcontractor) is responsible for accurate accounting of payments to DBE/MBE/WBE’s, it shall be the prime contractor’s responsibility to report all monthly and final payment information in the Tracking System.
 
Joint Checks 
 
Due to potential credit issues, the Prime Contractor may assist the DBE/MBE/WBE firms with their material purchases through the use of joint checks. The Contractor can write a joint check to the material supplier with name of both the supplier and the subcontractor. Prior to writing a joint check the Contractor has to submit a completed Joint Check Notification Form​ and supporting documentation the Resident Engineer.
 
Although the use of joint checks is an acceptable practice, it is expected that DBE/MBE/WBE firms counting credit for material purchases maintain control of ordering materials and scheduling delivery.
 
Truck Monitoring
 
DBE/MBE/WBE participation can be attained through the use of trucking firms. The specifications have stipulations to determine the amount of participation for the DBE/MBE/WBE trucking firm. The Resident Engineer is responsible for the truck monitoring. The contractor shall provide a trucking plan when transportation services are used to meet contract commitments. A Truck Report form has been developed to document the use of the DBE/MBE/WBE trucking. The Truck Report form should be used along with the trucking plan provided to the Resident Engineer from the Contractor to assist in monitoring of DBE/MBE/WBE trucking. The Truck Report should be completed daily when trucking is performed on the project and included in the project diaries. An example of a trucking plan, an example Truck Report and a blank Truck Report can be found by clicking the links below.
 
Here are forms and examples for truck monitoring.
 
     
Replacement of a DBE/MBE/WBE
 
The specifications allow for a Contractor to replace and/or substitute a committed DBE/MBE/WBE subcontractor for valid reasons that would not allow the subcontractor to complete the committed work. However, the Contractor must make a good faith effort to replace the DBE/MBE/WBE firm with another certified and prequalified DBE/MBE/WBE subcontractor. When replacing a committed DBE/MBE/WBE subcontractor, the Contractor must submit, to the Engineer, a completed DBE/MBE/WBE Replacement Request Form and documentation that demonstrates reasonable good faith efforts have been made to replace the committed DBE/MBE/WBE subcontractor. The contractor is required to provide the subcontractor a minimum of 5 business days to respond to a replacement request. A sample letter that can be used by the prime contractor has been provided.
 
The Engineer will coordinate with the Construction Unit to begin the review of the request.  If replacement with another DBE/MBE/WBE is not part of the request, the Construction Unit will coordinate with the State Contractor Utilization Engineer, as appropriate, to review the good faith effort documentation. The Engineer will notify the Contractor in writing of the determination of its DBE/MBE/WBE Replacement Request Form.​
 
However, prior to starting the replacement process, the Contractor is responsible for coordinating with the DBE/MBE/WBE subcontractor to see if they are willing and able to perform the work as indicated in their contract.  If the Contractor notices a reoccurring issue with a DBE/MBE/WBE subcontractor, they are to notify the Engineer and keep them abreast of the issues. The Engineer will notify the Construction Unit to determine whether the DBE/MBE/WBE firm would benefit from supportive services provided by the Business Opportunity and Workforce Development Unit in the Office of Civil Rights. (BOWD Supportive Services Field Form)
 
NCDOT Monitoring Plan 
 
As the contract administrator, the Department has the responsibility of ensuring that the Contractor adheres to the requirements of the DBE/MBE/WBE programs. Therefore, the Department has developed a plan to monitor the DBE/MBE/WBE participation for construction projects. Monitoring the DBE/MBE/WBE participation begins during the Preconstruction Conference and continues through the project closeout. The following DBE/MBE/WBE Monitoring Plan outlines the roles and responsibilities of each position and/or unit.
 
 
DBE/MBE/WBE Monitoring Plan - Construction
  ​
Preconstruction Conference
   
Resident EngineerOutline contract committed DBE's and review the special provision requirements during the Preconstruction Conference.
 Provide copies of Replacement Form and Joint Check Form to Prime Contractor. 
 Provide copies of BOWD Supportive Services Form to Prime Contractor.
 Provide copies of contract commitments to all project staff. 
Project Construction
   
Resident EngineerReceive completed Subcontract Approval Forms from Prime Contractor. Review forms to ensure that all line items and amounts are at least equal to those committed in the back of the contract, and then enter the approved Subcontract Approval Forms in HICAMS.  The Prime Contractor must be notified in writing of any necessary changes. 
 Review Payment Tracking System at least monthly for accuracy. Sets payment Status to “Accept" or “Change Needed." Immediately notifies prime contractor in writing of any payments that require changes.
 Provide written direction to prime contractor when alerted by inspection staff of work being performed by anyone other than committed DBE subcontractor. Contractor will be directed to suspend operations on the work in question until the issue has been reviewed and appropriate action is taken. Meet immediately with the contractor to review the issues.
 Discuss work performed by subcontractors at monthly construction meetings.  Document any discussions regarding quantity discrepancies, response time, and/or delays to construction regarding subcontractors.
 Request supporting documentation (price quote from suppliers, canceled checks, etc.) when necessary for verification that DBE is meeting CUF requirements. 
Project InspectorMonitors daily project work and immediately alerts the Prime Contractor and Resident Engineer if the committed DBE subcontractors are not performing items of work listed in the contract.
 Review material invoices upon receipt on project to ensure DBE subcontractors are purchasing material when the commitment includes materials purchasing. 
Area Construction EngineerReview contract commitments, project diaries, DBE Payment Tracking during periodic site reviews to validate program compliance. Discuss findings and any necessary corrective action with Resident Engineer.
 DBE Compliance Audit will be conducted as a part of the yearly office review. 
State Construction EngineerProvide program guidance and training to field staff.
 Perform process review audits through HiCAMS and the payment tracking systems.
Office of Civil RightsConduct random project review audits at various stages for CUF and DBE participation. Provide audit results to the State Construction Engineer and applicable Division Engineer.
 Conduct DBE investigations. 
   
DBE Replacement Procedures
   
Resident EngineerReceive completed DBE/MBE/WBE Replacement Request Form and supporting documentation. Review form and supporting documentation for accuracy and notify contractor in writing if additional information is required. For involuntary removals, the prime must provide the committed DBE subcontractor five (5) business days to respond in writing to its replacement request.
 Determine if documentation supports replacement of the committed DBE firm.
 Coordinate with the Construction Unit on the replacement process.
 Provide written notification of Department's decision to contractor. Include signed form when decision is concurrence.
 Notify State Construction Engineer and State Contractor Utilization Engineer on contract replacement. 
Construction UnitConstruction Unit will ensure that the DBE Replacement Process is followed and will notify other units (e.g. BOWD@ncdot.gov, DBE@ncdot.gov, and TitleVI@ncdot.gov) as appropriate.
  ​
Joint Check Procedures
   
Resident EngineerReceive Joint Check Notification Form and supporting documentation.
 Review form and supporting documentation for accuracy and notify prime contractor in writing if additional information is required.
 Complete the form and provide written notification to prime contractor.
 Provide copies of Joint Check Notification Form to project inspection staff.
 Provide Copies of Joint Check Notification Form and any supporting documentation to State Construction Engineer and State Contractor Utilization Engineer. 
Project InspectorReview material invoices upon receipt on project to ensure DBE subcontractors are purchasing material when the commitment includes materials purchasing.
 Immediately notify Resident Engineer if invoices are in the name of someone other than DBE subcontractor. 
Office of Civil RightsState Contractor Utilization Engineer will track occurrences of joint check use by prime and subcontractor. 
   
DBE Payment Tracking
   
Resident EngineerConfirm participation and payments to committed subcontractors on a monthly basis and complete DBE/MBE/WBE Subcontract Commitment Payment Summary with submittal of final estimate.
 Submit DBE/MBE/WBE Subcontract Commitment Payment Summary and supporting documentation (Replacement Forms, Joint Check Forms, etc.) to DCE with Final Estimate Assembly.
Division Construction EngineerReview DBE/MBE/WBE Subcontract Commitment Payment Summary and supporting documentation for accuracy.
 Submit DBE/MBE/WBE Subcontract Commitment Payment Summary and supporting documentation to State Construction Engineer with Final Estimate Assembly.  On Division let contracts, the same should be submitted to the State Contractor Utilization Engineer.
State Construction EngineerReview DBE/MBE/WBE Subcontract Commitment Payment Summary, Replacement Forms and Joint Check Notification Form
 Confirm final participation amount is properly documented prior to issuance of final statement.
 Provide copies of all documentation to State Contractor Utilization Engineer. 
Office of Civil RightsProvide State Construction Engineer with a quarterly audit report of closed projects with projects highlighted that did not meet the contract goal requirement and provided no justification.
 Audit projects at 50% completion to ensure payments are being entered in a timely manner.
 Audit at least one project per Resident Engineer per year to ensure that all the appropriate DBE program documentation is present. 
   
Roles
DivisionAdminister all aspects of the contract.
 Ensure the project provisions are followed and that proper documentation is submitted by prime and subcontractors.
Construction UnitProvide recommendations on issues related to payment tracking and administering potential non-compliance issues.
 State Construction Engineer will review non-compliance issues and notify contractor of any sanctions imposed. 
Office of Civil RightsProvide recommendations on issues related to counting participation, replacements, and joint check use.
 Conduct sample project review audits at various stages of the project for CUF and DBE participation; conduct performance audits of the program; conduct monitoring of sub-recipient DBE compliance; and conduct investigations.
 Provide external training to DBE subcontractors 
 
Error Occurred
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PAYMENT FOR LEFTOVER MATERIALS
 
Article 109-6 of the Specifications provides that the Department of Transportation will reimburse the Contractor for leftover materials on a project subject to the following requirements:
 
  1. The Contractor must request reimbursement.
     
  2. The materials must have been delivered to a site designated by the Engineer​.
     
  3. The materials must meet the requirements of the contract.
     
  4. The leftover materials must have been developed due to:
  1. revisions or elimination of items by the Engineer, or 
     
  2. discrepancies in the plans or contract. 
To ensure the Department is not encumbered with expenses for materials not needed, the Resident Engineer should make every effort to provide stakeout far enough in advance to provide the Contractor with order lengths and/or quantities of work required. Particular care should be given to coordinating the stakeout with the Contractor’s placing orders of non-stock items not used by the Department.
 
The Contractor should make written request to the Resident Engineer for reimbursement for leftover materials. The request shall include original and duplicate itemized invoice from the Contractor to the Department, listing the quantity and invoice price. The invoice price shall include the purchase cost, including taxes paid when purchased, and delivery cost. The request shall also include a copy of the original purchase invoice plus a detailed breakdown of the Contractor’s handling cost.
 
Upon receipt of the request, the Resident Engineer should verify the quantity of materials, verify the accuracy of the invoice, and evaluate the Department’s need for the materials. When the materials are not needed by the Department, the Resident Engineer should request the Contractor to provide an invoice reflecting the salvage value of the material retained by him or his cost for disposal of the leftover material.
 
The Resident Engineer should submit an estimated cost for disposition of the leftover materials to the Division Engineer and recommend one of the following four methods of disposal for the leftover materials:
 
  1. The Contractor retains the materials and the Department pays the Contractor for the cost of the materials less any salvage value.
     
  2. The Contractor returns the materials to the materials supplier and the Department pays the Contractor for the cost of handling and restocking the materials.
     
  3. The Department picks up and disposes of the leftover materials.
     
  4. The Department picks up and places the materials in inventory for its use, and the Department pays the Contractor for the cost of the materials plus handling.
The Division Engineer will evaluate the Resident Engineer’s recommendation and advice as to the method for disposal of the leftover materials. The Resident Engineer enters the Line Item through the Contract Adjustments function in HiCAMS using either Review Eliminated Contract Items or Review Leftover Materials.

Error Occurred
 ApprovedRR-18
  
SUPPLEMENTAL AGREEMENTS
 
 

 
A Supplemental Agreement is an agreement between the Department and the Contractor that amends the contract as necessary to satisfactorily complete the proposed construction. The modifications to the contract may affect the work requirements (104-3), unit prices of an existing contract item (104-5), addition of new work items (extra work) (104-7), contract time(s) or other terms of the contract.
 
The information contained in the Supplemental Agreement becomes a part of the contract documents. It is important that the language and the quantities contained in that document be precise. In order to author a Supplemental Agreement that is precise, the Resident Engineer must completely understand the change and be able to explain the change to the Contractor. Such understanding and explanation permits the Resident Engineer and the Contractor to enter into the negotiation phase of the Supplemental Agreement fully understanding the scope of the work. It is important to begin investigating the need and perceived fair price of Supplemental Agreement work without delay so thoroughness is not sacrificed for urgency. There will be rare occasions where work must proceed immediately, however this is the exception, not the rule. It is important that both parties understand the fact that this will not likely be their last negotiation so preserving the relationship has advantages. The Resident Engineer should request whatever documentation is necessary to justify the cost of performing work by Supplemental Agreement. It is helpful if the Contractor submits his price with the Supplemental Agreement Standard Pricing Information form.
 
When the estimated total cost of the affected work is equal to or less than the amount specified in Subarticle 104-8(A) of the Standard Specifications and the terms for performing the work have been mutually agreed to, the Contractor may begin work before executing the Supplemental Agreement. The terms shall include agreed prices, materials to be used in the work and modification to the contract time. In all other instances, the Supplemental Agreement must be approved by the Engineer and executed by the Contractor and the Department prior to the work being performed.
 
     The Resident Engineer will negotiate all terms of the Supplemental Agreement with the Contractor's representative.  During these negotiations, the Resident Engineer will confer with the Department's representative with authority to approve the Supplemental Agreement.  Supplemental Agreements will be created in and approved through HiCAMS by appropriate Department representatives. In addition to the terms that appear on the signed Supplemental Agreement, the Resident Engineer will document, in HiCAMS, justifications for performing the work and for the terms contained in the signed Supplemental Agreement.  The electronic approval in HiCAMS is the official record of that action.   After approval of the Supplemental Agreement by the Department, the Resident Engineer should send the supplemental agreement to the Contractor, via DocuSign, for concurrence by electronic signature. Upon receipt of the Contractor's signed concurrence, the Resident Engineer should enter “Contractor Concurrence" in HiCAMS. This action will execute the Supplemental Agreement in HICAMS for the Department.  Prior to payment for the work, approval of the Supplemental Agreement by all parties  must be documented in HiCAMS.

Should the Contractor not concur with the agreement as approved and the Department is agreeable to changes requested by the Contractor, the Supplemental Agreement should be marked as “Contractor Non-concurrence” or in HiCAMS. When the status is changed to “Contractor Non-Concurrence” the Supplemental Agreement can be revised as appropriate and resubmitted for approval. After the Contractor signs the agreement, the Resident Engineer will sign and execute the agreement; upload the documents into SharePoint, and distribute copies of the agreement to the Contractor with any attachments. The Resident Engineer should note the Contractor's concurrence of the Supplemental Agreement in HiCAMS, which will then automatically create appropriate pay items and modify the contract times as specified in the agreement in HiCAMS. The Resident Engineer should promptly scan the Supplemental Agreement into the Department’s Financial Management system (BSIP or SAP).
 
Since hard copies of Supplemental Agreements will not be distributed to most parties, it is important that all requirements be included in the agreement or incorporated by reference. Electronic copies of many standard contract provisions can be obtained from the Design Services web site or from the Contract Officer. When requirements cannot be incorporated into the electronic copy of the agreement, a copy of those requirements should be attached to the original, Resident Engineer’s, and Contractor’s copies. When material requirements are not included in the electronic Supplemental Agreement, a hard copy of the agreement and material requirements should be forwarded to the State Materials Engineer.
 
Supplemental Agreement approval authority for the Department, both verbal and written, is vested in the following individuals. This authority is extended for both the approval of the negotiated prices for extra work and extension of contract time necessary to accomplish the extra work. In case of a vacancy or unavailability of one of the roles listed below, the approval can  be granted by another person with higher level of authority.  
  • Resident Engineer: - Supplemental Agreements for all Articles of the Specifications up to $100,000 and associated time up to 30 days on all projects.
  • Division Engineer/ Division Construction Engineer: - Supplemental Agreements for all Articles of the Specifications unlimited authority for compensation and time on all projects.
  • State Construction Engineer/ Assistant State Construction Engineer/ Area Construction Engineer: - Reviews Supplemental Agreements greater than $100,000 and time extensions greater than 30 days.
  • State Construction Engineer/ Assistant State Construction Engineer: - Reviews Supplemental Agreements greater than $200,000 and time extensions greater than 90 days
The Area Construction Engineer or State Construction Engineer review must be made prior to forwarding the Supplemental Agreement to the contractor for signature.

SUPPLEMENTAL AGREEMENT PREPARATION AND NEGOTIATING
 
SCOPE OF WORK
 
Definition – The work involved to satisfactorily complete an assigned project in accordance with the plans, specifications, special provisions, contract, etc. An easy way to understand the scope of work is to ask yourself this question: What is the objective of this construction project?
 
Each individual entering into a Supplemental Agreement to the contract should first, fully understand the scope of work for the contract and second fully understand the scope of work for the proposed Supplemental Agreement. You should also make sure the Supplemental Agreement is in the scope of work for that contract. To put it simply, is this contract change necessary for the satisfactory completion of the work? Once this is determined, you must begin the process of creating the Supplemental Agreement. Typically, you decide what items are needed and how they will be paid. Will there be many line items or just one? What quantities need to be estimated for the amount of work? Will this Supplemental Agreement impact the controlling operation or create potential delays? Have all the materials, labor, and equipment been thought out completely? There are many questions you need to ask yourself prior to starting a Supplemental Agreement. These questions need to be communicated to the contractor to make sure they are fully aware of the work that they will be asked to perform. Remember the more informed the contractor is the less liability they have to put into their prices. When you are satisfied with the answers to all these questions and you are ready to proceed, again ask yourself; is this Supplemental Agreement necessary for the satisfactory completion of work? If you have any doubts or unresolved questions, discuss your concerns with your Construction Engineer.
 
Once the contractor has submitted his price and breakdown for the Supplemental Agreement, the prices should be reviewed thoroughly and compared to other information (i.e. statewide bid averages, other contracts with similar items, etc.). The review should be documented and included in the file with the executed supplemental agreement. There will be times when you will not be in agreement with the contractors’ prices. Before you instruct the contractor to proceed with the work as Force Account, thoroughly review the contractors’ price and time requests. If you believe the prices are not reasonable, communicate with the contractor keeping the following items in mind:

MATERIALS
 
The materials used in the work may be unique to the operation and may not be readily available. There also may need to be additional time, beyond the time needed for construction, for material manufacturing or fabrication. In addition, keep in mind the NCDOT sampling and testing procedures and how this will affect the cost and time.

LABOR
 
Some work will require skilled laborers. It may also be work that even few skilled laborers are able to perform. This may cost the contractor more to utilize a subcontractor that has skilled labor to perform this work. This may also add to the time required to perform the work.

EQUIPMENT
 
As with labor, the equipment necessary for the work may be unique. When this is the situation, the availability and cost to buy, lease, or rent this equipment has to be considered.

TIMING
 
In addition to analyzing the materials, labor, and equipment, you should review the timing of the work. The time of the year, delays to the project and the affected operations are all items you need to consider. Most work will obviously take more time during winter months than performing the same type of work in the summer. However, you might also want to consider the Supplemental Agreement work performed could push the controlling operation into winter months. This will affect the contract time especially if the controlling operation has seasonal limitations.
 
Creating a supplemental agreement can become very complicated when you take all these items into consideration. The entire process can take some time from beginning to approval, so it is important to stay involved and keep an open line of communication with the contractor to expedite the process. Hopefully, with a good and thorough understanding of the scope of work of the supplemental agreement, this process will go smoothly.

PRICING
 
The following information is provided as guidelines or tips to be used when negotiating the prices for Supplemental Agreements. All information may not be applicable for your Supplemental Agreement.
 
  • If the Supplemental Agreement is for work covered by the Specifications, reference the specification and use the corresponding method of measurement and basis of payment.
  • Estimate quantities for the Supplemental Agreement as closely as possible.
  •  
  • Unless otherwise stated in the Supplemental Agreement, treat all work as a minor contract item and treat overruns in accordance with Article 104-5.
  •  
  • When asking the Contractor to submit prices, ask for a detailed breakdown of costs for each Contractor/subcontractor involved in the work.
  •  
  • To assist in the review of the submitted prices, the submittals should be in the form of force account records, containing personnel, materials, equipment, markups, etc.
  •  
  • The Resident Engineer should review the submitted prices for use in his approval or for use in his recommendation to the next level of approval.
  •  
  • In the review of prices, the Resident Engineer may seek assistance from other units in the Department which normally prepare cost estimates. Examples of the units are: 
― Technical Services
 
― Roadway Design
 
― Structure Design 
 
― Signing and Delineation
 
― District Office
 
  • Compare the prices to Supplemental Agreements on other projects
  • Call rental agencies to determine rates for rental equipment.
  • Some contractors have separate equipment divisions and equipment rates will be determined by these internal rental rates.
  • Compare the prices to the State Bid Averages but use them only as a guide.
  • Try to match the prices to projects, which most resemble your project. Factors to consider include geographical location, quantities, etc.
  • Lump sum prices such as LS grading, evazote joint seals, reinforced bridge approach fills, etc., are nearly impossible to compare.
  • It is important to remember that the bid averages represent prices for work performed under the most economical conditions while the work for Supplemental Agreements may not be performed under the most economical or efficient conditions. 
  •  
  • When comparing costs, many factors need to be considered. These include: 
― Are the resources available on the job to perform the work?
 
― Will resources be pulled from other work on the job, or do they have to be brought in to supplement those already on the job?
 
― How will the Supplemental Agreement work affect other work on the job?
 
― How much risk does the work involve?
 
― Do the prices of materials differ significantly from those prices being compared to? This can be important to consider when escalation for materials such as steel is occurring.
 
― Is the equipment available on the job the most efficient available to perform the work? Is it more economical to perform the work with a readily available piece of equipment which is less efficient or bring in a more efficient piece of equipment?
 
― What timeframe is available to perform the work? Can it be scheduled for the most optimum time or is there an immediate need?
 
RISK
 
When negotiating Supplemental Agreements all parties must consider the risks. A certain level of risk is inherent in contracting and neither contractors nor the Department should assume all the risk. For instance, assume a Supplemental Agreement includes adding a driveway after the project is almost complete. The driveway will probably take two weeks to complete. It is the near the end of the construction season and the contractor fears he may be caught by the weather. It would be reasonable to allow the contractor some consideration for extra time if the weather looks like it may be a problem, but not to grant the contractor an entire winter shutdown.
 
Three questions to consider when evaluating risk are:
 
  • What can go wrong?
  •  
  • How likely is it to happen?
  •  
  • What will it cost?    
Consider a contractor pricing a Supplemental Agreement for laying a pipe at a location not shown on the plans where he has no geotechnical information. What can go wrong? He could hit rock. He could dig into an area of soil contaminated by hazardous waste. He could dig up an historical artifact and be suspended for months while authorities investigate. The list of possibilities goes on, but how likely is each of these to happen?
 
If all other areas of the job have been excavated and you have only encountered sand, rock probably won’t be a problem, but if you are at the end of a presplit cut you would think differently. If you are working beside a forest of virgin timber, waste probably won’t be a concern. If a 60-year-old chemical plant once stood on the property there may be trouble.
 
Each situation is different, and the more information you can use to make a decision, the more accurately you can assess the risk. The Engineer must be familiar with all aspects of the work in order to come to a fair decision when evaluating the contractors’ price and time extensions. Bid averages should only be used as a guide. If you are not familiar with the specifics of the individual project you can not fairly evaluate the submitted prices.
 
Some factors that could affect risk are:
 
  1. Effect of added work on existing work
     
  2. Weather
     
  3. Material supply uncertainties
     
  4. Time needed for work
     
  5. Subsurface composition
     
  6. Subcontractors
     
  7. Utilities 

Consider alternatives to reduce risk. For instance, if you agree with the contractor on all aspects of the work except the time involved, you could separate this issue out. Pay for all other items of the work except the labor, and add a separate item for the crew on an hourly basis.


MARKUP
 
After a contractor figures the direct costs associated with the work he then will add the markup. Generally markup consists of labor burden, office burden and profit.
 
Labor burden is money paid by the employer in addition to salaries. This would be for items such as holidays, sick leave, vacation leave, insurance, workers compensation and other benefits. This overhead is applied to the labor costs before the total overhead is calculated. On force account work we generally allow 35%.
 
Office burden is basically the cost of doing business. A contractor must have an office, office staff, office equipment, utilities, supplies and other indirect costs associated with doing business, and these are expenses that must be paid from some source. This may be in the 5% to 25% range, depending on the size of the business.
 
Profit is what keeps co​ntractors in business and is not a dirty word. A rule of thumb the Department has sometimes followed in the past is 10% is a good percentage for profit. This may vary widely across the State and the Engineer must use good judgement when trying to determine if the contractor has supplied a good number for profit.
 
If a subcontractor is performing the work he will include markup in his price. The prime contractor can also include markup for his administration duties and any support work that may be required for that item of work.

WORDING OF DESCRIPTION, LOCATION AND JUSTIFICATION AND CONTRACT TIME
 
When completing the Supplemental Agreement  there are two sections that detail the terms of the supplemental work.  They are the Description and the Justification.  The Description should thoroughly describe the work to be performed.  The Justification should include a detailed reason for the supplemental agreement..  The Contract Time should reflect the terms of extending contract time(s) due to the work to be performed.  Refer to the following information when completing these sections.
 
DESCRIPTION:
 
The first sentence in the HICAMS description should summarize the change. (This will permit rapid retrieval of a particular Supplemental Agreement without having to review several.)
 
  • A detailed description of the exact change
  •  
  • A location of where the work is to be performed, if applicable.
           
  • This should be written so someone with no knowledge of the project fully understands the reason for the Supplemental Agreement
  •  
  • The Standard Specification that allows the modification of the work
    • This supplemental agreement is written in accordance with Article 104-3 of the 2018 Standard Specifications.
    • This supplemental agreement is written in accordance with Article 104-5 of the 2018 Standard Specifications.
    • This supplemental agreement is written in accordance with Article 104-7 of the 2018 Standard Specifications.
     
  • The Standard Specification applicable to the affected work
  •  
  • If a Standard Specification cannot be referenced, then a specification must be included which details the description, materials, construction methods, method of measurement and basis of payment.
  •  
  • Include any standard or special provision that will be amended as a part of this Supplemental Agreement, such as 104-5, Overruns and Underruns of Contract Quantities
  •  
  • Will AC or fuel price adjustment be a part of this SA? 
JUSTIFICATION:
  • A detailed justification for why the extra work, additional work, or affected work is necessary.

  • This should be written so someone with no knowledge of the project fully understands the reason for the supplemental agreement.
  • Include information regarding conversations with other units, if applicable.
  • Reference any additional documentation

EXAMPLES

Supplemental Agreement 1
 
Description
 
Force Main Sewer Line - The Utility Design Section issued a plan revision that changed the size and type of material to be used for the force main sewer line. These changes constitute an alteration of plans as defined by Article 104-3 of the 2018 Standard Specifications. The Contractor shall provide and install the materials indicated on the revised plans. Materials, construction methods, method of measurement and basis of payment shall be in accordance with the Project Special Provisions and Sections 1510 and 1520 of the 2018 Standard Specifications. Any 12-inch DI force main sewer pipe, sewer lined, not used on the project will be treated as leftover materials in accordance with Article 109-5 of the 2018 Standard Specifications.
 
Justification
 
A field investigation by the Department, contractor and the City of Light revealed the existing force main sewer line is 12 inches in diameter rather than the 16 inches as indicated on the plans and the existing water line is 16 inches in diameter rather than the 18 inches as indicated on the plans. These discrepancies necessitate the two steel encasement pipes provided for these lines be reduced in diameter from 36 inches to 24 inches for the force main sewer line and from 42 inches to 30 inches for the water line. The actual pipe size for both the existing force main sewer line and the water line are smaller than indicated on the plans, which required a plan revision.
 
Supplemental Agreement 2
 
Description
 
36-inch CSP Y-9 Detour – Compensate Contractor for installation of approximately 100 feet of temporary 36-inch corrugated steel pipe (CSP) at station 25+66 –Y9- Detour as shown on Plan Sheet 2-S. The work shall be performed in accordance with Articles 300 and 310 of the 2018 Standard Specifications for Roads and Structures. Payment for installation and removal of the pipe shall be in accordance with the Project Special Provision for Temporary Detours (page 36 of the Contract)
 
Justification
 
The pipe is shown as 36-inch CSP on the roadway plan sheet 2-S, but as a 36-inch Reinforced Concrete Pipe (RCP) on the Pipe Summary sheet 3-X. There is no Line Item in the Contract for 36-inch CSP, only 36-inch RCP. However, due to the temporary nature of the pipe; the Engineer has elected to use CSP.
 
Supplemental Agreement 3
 
Description
 
CSXT Slope Protection – This supplemental agreement is written to establish pricing for items necessary to complete the slope protection work required by CSX Transportation as described in the attached memorandum dated 03-02-2020 from CSX Transportation. The above-described work is located at bridges 1B and 2B, End Bent 1, Station 123+38.105 –L-. This work shall be completed in accordance with Sections 412 and 876 of the 2006 NCDOT Standard Specifications.
 
Justification
 
This work is required by CSX Transportation to provide slope protection adjacent to their railroad tracks. There were no provisions in the original plans or contract that described how this work needed to be constructed.

CONTRACT TIME
 
Contract Time is the section of the Supplemental Agreement that details the terms of the agreement regarding time extensions. When determining whether a time extension should be granted, it should be decided if the work clearly affects the controlling operation or has become the controlling operation. Consideration should also be given to how a time extension will affect the completion date and seasonal limitations. It is a good practice to try to resolve time while preparing the Supplemental Agreement.
 
The Supplemental Agreement generally affects the contract time by delaying the controlling operation or as a result of the dollar value of the work. If it is determined that a time extension is warranted, the Contract Time Tab should be used to indicate how the time extension will be granted.
 
However, there are circumstances when the work described in the supplemental agreement does not affect the controlling operation nor does it warrant a pro rata time extension in accordance with subarticle 108-10(B)1 of the Standard Specifications. If the Supplemental Agreement work does not extend the completion date and should not be used in calculation of Pro Rata, then no Contract Time Extension or Pro Rata Time Granted should be selected. 

FORCE ACCOUNT WORK
 
When terms for modification of the contract are not documented by a Supplemental Agreement and it is necessary to perform extra or altered work, the Resident Engineer will issue a force account notice prior to the Contractor beginning work. Force Account construction approval authority for the Department is the same as that specified above for Supplemental Agreements. Extension of the contract time for work compensated on a force account basis shall be as provided in Subarticle 108-10(B)1 or Subarticle 108-10(B)4 of the Standard Specifications.

In Progress
 ApprovedRR-19
  
FORCE ACCOUNT WORK
 
 

 
The Resident Engineer is required by Subarticle 104-8(A)2 of the Specifications to issue a force account notice to the Contractor prior to work being performed on a force account basis. See the sample Force Account Notice at the end of this subsection.
 
Once approval of the work has been granted, the force account notice has been issued and the Contractor has submitted wage rates and equipment information, the Resident Engineer may authorize the commencement of force account work.
 
On projects requiring Federal Highway Administration (FHWA) Step-by-Step method approval, the Resident Engineer should submit Force Account Documentation (Supplemental Agreement Form 880) to document the change prior to the initiation of the work. Once the force account work has been approved, the Contractor may be allowed to begin the work.

GENERAL
 
The following items represent guidelines and comments on the provision requirements for labor, materials, equipment, miscellaneous, subcontracting, bond, insurance and tax, and general:
 
  1. Labor: It is the intent of this provision that the Contractor should receive payment for hours worked, including normal rest periods and breaks, necessary standby periods, minor delays less than 1/2 day caused by weather, etc., for all laborers, operators, and first line supervisors, or foremen performing the work. No payment will be made for lunch periods, delays of more than 1/2 day caused by weather, hours worked on items other than those covered by the force account notice, or other nonproductive periods. The Resident Engineer should approve the wage rates submitted by the Contractor prior to notifying and authorizing the work. On federally-funded projects, the wage rates should be compared to previously submitted payrolls and the minimum wage rates indicated in the contract. On nonfederally-funded projects, the Resident Engineer may request the Contractor to present copies of past payrolls for comparison if the wage rates appear excessive. Only base wages are to be used in the calculation of payment. Any benefits, such as vacation, retirement, medical, etc., that may be shown on the payroll are not to be included in the records. The percentage additives will be full compensation for overhead, benefits, contingencies, and all other costs associated with labor for the specific force account work. 
     
  2. Subsistence and Travel Allowances: The Contractor will receive payment for subsistence equal to the lesser amount paid by the Contractor or the current maximum in-state rate for State employees (Travel Subsistence Rates can be found at this link State Rates). If the Contractor pays for the actual cost of subsistence, then the Contractor must separate the costs paid for meals and lodging, and then each will be compared to the in-state rate for State employees separately. There are two methods that may be used for compensation for subsistence. Method A will be used when the Contractor pays for the actual cost of meals and/or lodging. Method B will be used when the Contractor pays a daily allowance for meals and/or lodging. These two methods may be combined if the Contractor pays for both actual costs and gives a daily allowance, similar to the method in-state employees are paid for subsistence costs. 
     
  3. Materials: The Contractor will receive the actual cost of all authorized and accepted materials used in the work. In checking the Contractor’s furnished records for materials, particular attention should be given to invoices that contain discount provisions, such as “Take 2% discount off invoice if paid within 15 days.” If an invoice contains a discount provision, a canceled check or other documentation may be necessary to verify the actual cost of the material.  
     
  4. Equipment: Since the Monthly Blue Book Rental Rates for Construction Equipment (Blue Book) is systematically revised, care should be taken to ensure that the data being used is concurrent with the dates on which the work is performed. It is not uncommon that the rate for the same piece of equipment may change during the force account work. The rate adjustment factors vary for different types and pieces of equipment. Therefore, the factors must be taken from the beginning of each section used. For discontinued equipment, which is denoted with an asterisk in the Blue Book, the adjustment factor for equipment age is calculated in accordance with the procedure outlined in the instructions at the beginning of each section. The additive payment for equipment listed in the Blue Book is equal to 100 percent of the Blue Book’s Estimated Operating Cost Per Hour.
     
    The N. C. Department of Transportation uses the electronic version of the Monthly Blue Book Rental Rates for Construction Equipment (Blue Book) and it is available free to N. C. Department of Transportation employees on the NCDOT network at: https://app.equipmentwatch.com/First time users will have to create an account to access the information.  First time users should go to this link for information on how to set up an account:

    https://connect.ncdot.gov/TransportationServices/Lists/Division of Highways Chief Engineer/DispForm.aspx?ID=13

    Please note that if the electronic Blue Book is used to determine equipment rates, the documentation needed on the force account forms in lieu of “Chapter and Page” is “Electronic Blue Book.”
     
    If rental rates for the equipment are not listed in the Blue Book, the rate will be established using the prevailing rental rates being paid in the area of the project for such equipment. The Resident Engineer should verify the prevailing rental rates using sources of information available to him. If the rates appear to be excessive and the Contractor and Resident Engineer cannot reach an agreement relative to the prevailing rate, the matter will be resolved by the State Construction Engineer. The additive payment for equipment not listed in the Blue Book will be 15 percent of the prevailing rental rate.
     
    In the event equipment is rented from a commercial rental agency for the purpose of performing the work and is used for a period less than the minimum rental period, the Contractor will receive payment based on the actual invoice rate for the minimum time period that the equipment can be rented. The additive payment will be 15 percent of the calculated hourly invoice rate for all hours the equipment is in-use. No additive payment will be made for hours the equipment is not in-use.
     
    Example:
     
    If the minimum equipment rental period is one week for a certain piece of equipment and the work is performed in eight hours, the Contractor would be paid the actual invoice for a one week rental. The additive payment would be calculated as follows:
     
    The weekly invoice rate x eight hours of use x 15 percent = Total Additive Payment 40 hours/week
     
    When the minimum rental period exceeds the period of use as above, the equipment may not be used on any work other than the force account work without making an adjustment in the rental rate. The commercial rental agency cannot be the Contractor, another Contractor, an affiliate of the Contractor, or an affiliate of another Contractor.
     
    When the Engineer directs equipment to be held in ready or standby, payment will be 50 percent of the rate paid for equipment in-use. The maximum amount of time for which payment will be made for equipment held in ready is 8 hours/day minus hours in-use and 40 hours/week minus hours in-use. No additive payment will be made for equipment held in ready.
     
    No transportation costs will be allowable if the equipment is in-use in the same vicinity of the work on the project prior to beginning the force account work. The cost of moving a piece of equipment on a “low boy” tractor-trailer from one location of the project to the force account work is an eligible expense. If the equipment is used on contract item work in the same vicinity after completion of the force account work, no compensation for return transportation cost will be allowed.          
     
  5. Owner-Operated Equipment: The costs for Owner-Operated Equipment will be calculated separately from non-Owner-Operated Equipment, but will be considered as a subcontractor for the purpose of the calculation of additives.  
     
  6. Miscellaneous: General superintendence is not an eligible expense under force account. This should not be confused with the titles some Contractors use for their supervisors on contract construction work. These provisions provide payment for the actual hours the first line supervisor is actually engaged in the performance of the work. The Contractor should only be compensated for those hours the first line supervisor is engaged in the work.  
     
  7. Subcontracting: The Resident Engineer should ensure that the compensation provided in this item is applied only to work performed by approved Subcontractors. These lump sum payments and percentages will be added to the total cost of the Subcontractor's work plus additives.  
     
  8. Overhead and Profit: The Contractor will receive an additive payment of 10% of the force account total, with the exception of the portion of the work included with Materials, Owner-Operated Equipment, and Subcontracting. All subcontractors will receive an additive payment of 10% of the force account total pertaining to the work performed by their firm, with the exception of the portion of the work included with Materials and Owner-Operated Equipment. Owner-Operated Equipment is considered a subcontractor for the purpose of this additive payment.  
     
  9. Bond, Insurance, and Tax: The cost of worker's compensation insurance premiums, unemployment insurance contributions, and social security taxes are normally computed as a percentage of labor while the cost of bond premiums are normally based upon total revenues. The cost of liability and property damage insurance may be computed as a percentage of labor or by other means and the Contractor should clarify how his rate is computed. If the Contractor elects to submit an annualized composite percentage for bond, insurance and tax, he must furnish satisfactory evidence of the percentage in writing to the Engineer.   
     
  10. General: The Resident Engineer will maintain the payment records for all force account work. A copy of the records will be given to the Contractor, if requested, at the end of each day on which the work is performed. The Resident Engineer should note the effect of the addition of force account work on contract time. Any requests for time extensions relating to the force account work must be made in accordance with Article 108-10 of the Specifications.    

DOCUMENTATION OF FORCE ACCOUNT WORK
 
The Resident Engineer will maintain detailed records of all force account work. These records should be detailed on the Detailed Statement of Force Account Work forms as follows:

  1. Summary (Form 480)
  2. Material (Form 480A)
  3. Labor/Labor Overtime/Labor Summary/Labor Additives/Travel (Form 480B)
  4. Equipment/Rental Equipment/Standby or Idle Equipment/Owner-Operated Equipment (Form 480C)
  5. Force Account Tracking worksheet (labor and equipment hours)​
 
Detailed Statement of Force Account Work forms should be prepared for each partial pay estimate to document amounts paid to the Contractor. These completed forms will be retained by the Resident Engineer and submitted with the final estimate assembly. All information included on the Detailed Statement of Force Account Work forms should be in accordance with Article 109-3 of the Specifications.

DETAILED STATEMENT OF FORCE ACCOUNT WORK
 
SUMMARY - FORM 480
 
This form provides a summarization of all Contractor and Subcontractor(s) activity for each week that force account work is performed. A separate Form 480 should be utilized for each Subcontractor. A total of all work performed by Subcontractors should be included in the Contractor Summary section on Form 480. When force account work is more than one week in duration, a separate Form 480 should be utilized to provide the total amount for all weekly totals.
 
The following items should be included on Form 480.
    
  1. Authorized By Letter Dated: Include the date of the Force Account Authorization letter sent to the Contractor. 
  2.  
  3. Contract Number: The contract number for the project. 
  4.  
  5. WBS Element Number: The specific work order number on which the force account work is being performed. 
  6.  
  7. F. A. No.: The Federal Highway Administration project number.
  8.  
  9. County: The county(ies) in which the project is located. 
  10.  
  11. Contractor: The prime Contractor as included in the contract.
  12.  
  13. Subcontractor: The name of the authorized Subcontractor performing the work. A separate Form 480 should be utilized for each Subcontractor performing force account work. 
  14.  
  15. Week Ending: The date of the end of the week. This is always Saturday.
  16.  
    The following items are included on Form 480 for summation of Subcontractor force account work:
     
  17. Amount: The total dollar figure for the appropriate item of the force account work for the week from the appropriate forms, including materials, labor additives, labor, labor overtime, travel allowances, standby or idle labor, equipment, standby or idle equipment, rental equipment, if applicable.
  18.  
  19. Additive Amount: The total dollar amount of the additive calculated in accordance with the Specifications.
  20.  
  21. Transportation Costs: This item applies only to equipment and standby or idle equipment. This amount must be approved by the Resident Engineer prior to inclusion for payment.
  22.  
  23. Subtotal: Total dollar amount of each item plus the appropriate additive amount.
  24.  
  25. Remarks: Any clarifying information about the item should be included here.
  26.  
  27. Overhead and Profit: This is an additive payment equal 10 percent of the specific force account total of work performed by a subcontractor for overhead and profit. It includes the amounts for labor, labor overtime, labor additives, travel allowances, equipment, stand by or idle equipment and rental equipment.
  28.  
  29. Subcontractor Total: The sum of all subtotaled amounts for each item performed by the Subcontractor for the subject week.
  30.  
    The following items are included on Form 480 for summation of Contractor force account work:
     
  31. Amount: The total dollar figure for the appropriate item of the force account work for the week from the appropriate forms, including materials, labor additives, labor, labor overtime, travel allowances, standby, or idle labor, equipment, standby, or idle equipment, rental equipment, if applicable.
  32.  
  33. Additive Amount: The total dollar amount of the additive calculated in accordance to the Specifications.
  34.  
  35. Transportation Costs: This item applies only to equipment and standby, or idle equipment. This amount must be approved by the Resident Engineer prior to inclusion for payment.
  36.  
  37. Subtotal: Total dollar amount of each item plus the appropriate additive amount.
  38.  
  39. Remarks: Any clarifying information about the item should be included here.
  40.  
  41. Subcontracting Cost: This is the Subcontracting Administrative Cost which is computed as shown at the bottom of Form 480 Summary.
  42.  
  43. Overhead and Profit: This is an additive payment equal 10 percent of the specific force account total of work performed for overhead and profit. It includes the amounts for labor, labor overtime, labor additives, travel allowances, equipment, stand by or idle equipment, rental equipment, and the subcontractor’s total.
  44.  
  45. Force Account Total: The sum of all subtotaled amounts including work performed by the Contractor and Subcontractor costs and additives.
  46.  
    The following items are included on Form 480 for documentation and approval of the force account work:
     
  47. Resident Engineer: The Resident Engineer should review the force account work for concurrence with the Specifications and sign the certification for the force account work performed.
  48.  
  49. Division Engineer: The Division Engineer should review and sign the form for approval for the force account work prior to the submission of the final estimate assembly.               

MATERIALS (FORM 480A)
 
This form provides documentation for all materials incorporated into the accepted project.
 
The following items should be included on Form 480A.
 
  1. Authorized By Letter Dated: Include the date of the Force Account Authorization letter sent to the Contractor.
     
  2. Contract Number: The contract number for the project.
     
  3. WBS Element Number: The specific work order number on which the force account work is being performed.
     
  4. F. A. No.: The Federal Highway Administration project number.
     
  5. County: The county(ies) in which the project is located. 
     
  6. Contractor: The prime Contractor as included in the contract. 
     
  7. Subcontractor: The name of the authorized Subcontractor performing the work. A separate Form 480 should be utilized for each Subcontractor performing force account work.
     
  8. Week Ending: The date of the end of the week. This is always Saturday.
     
    The following items are included on Form 480A for documentation of materials incorporated into the force account work:        
     
  9. Material Description: Description of materials including: size, type, weight, class, grade, etc.
  10.  
  11. Unit: An appropriate pay unit as established by the Resident Engineer in accordance with the Specifications, plans, and contract, such as linear meter (linear foot), etc. It is acceptable to list categories of items, such as forming materials - lumber, plywood, nails, caulk, etc., and pay for the items by the invoice cost as a lump sum. However, if materials are not incorporated into the work or necessary for construction of the completed and accepted work, deductions of those items should be included in the Quantity column.
  12.  
  13. Cost Per Unit: Material invoice cost of each material per pay unit including sales tax, if applicable. The unit price should be reduced for applicable discounts and increased for any applicable transportation costs if not included in any other force account item(s), such as equipment, labor, etc. A copy of the actual invoice for the materials incorporated into the work should be submitted with Form 480A.
  14.  
  15. Quantity: Total approved quantity of material(s) utilized for the period in question. All materials received on the project should be documented on a Material Received Report for the appropriate line code for the force account work. Any certifications, etc., required for the materials should also be included.
  16.  
  17. Amount: The total dollar amount, Cost Per Unit x Quantity, for each material incorporated into the force account work.
  18.  
  19. Remarks: Any clarifying information about the item should be included here.
  20.  
  21. Material Subtotal: The sum of all dollar amounts of each item.
  22.  
  23. Sales Tax: Amount of sales tax paid for materials.
  24.  
  25. Transportation Cost: The amount charged to the Contractor for the delivery of materials.
  26.  
  27. Material Total: The total cost of the material, sales tax and transportation cost.
  28.  
    The following items are included on Form 480A for documentation and approval of the force account work:
     
  29. Resident Engineer: The Resident Engineer should review the force account work for concurrence with the Specifications and sign the certification for the force account work performed.
  30.  
  31. Division Engineer: The Division Engineer should review and sign the form for approval for the force account work prior to the submission of the final estimate assembly.

LABOR/LABOR-OVERTIME/LABOR ADDITIVES/TRAVEL (FORM 480B)
 
This form provides for all approved costs of labor and standby, or idle labor incurred as a result of the force account work. It also provides documentation for all direct costs associated with bonds, liability, and special insurance, workers compensation insurance, Social Security taxes, etc., incurred as a result of the force account work. A separate Form 480B should be utilized for each Subcontractor.
 
The following items should be included on Form 480B.
 
  1. Authorized By Letter Dated: Include the date of the Force Account Authorization letter sent to the Contractor.
     
  2. Contract Number: The contract number for the project.
     
  3. WBS Element Number: The specific work order number on which the force account work is being performed.
     
  4. F. A. No.: The Federal Highway Administration project number.
     
  5. County: The county(ies) in which the project is located.
     
  6. Contractor: The prime Contractor as included in the contract.
     
  7. Subcontractor: The name of the authorized Subcontractor performing the work. A separate Form 480B should be utilized for each Subcontractor performing force account work.
     
  8. Week Ending: The date of the end of the week. This is always Saturday.
     
    The following items are included on Form 480B for both Labor and Standby, or Idle Labor documentation of the force account work, and for documentation of labor overtime incurred as a result of the force account work:           
     
  9. Name: The names of all Contractor or Subcontractor personnel authorized to perform the force account work. This includes labor to be held in-ready or idle labor.
     
  10. Classification: The classification or payroll job title of each person listed under name. These should be consistent with any prior payrolls submitted by the Contractor or Subcontractor.
     
  11. Sunday through Saturday: The actual number of hours each day the personnel were utilized, in standby or idled. This is recorded to the 0.1 hour. The total hours paid is limited to 8 hours per day and 40 hours per week unless authorized by the Resident Engineer.
     
  12. Total Hours: The sum of all number of hours the personnel were utilized, including standby or idled, recorded to the 0.1 hour. The total hours paid is limited to 40 hours per week unless authorized by the Resident Engineer.
     
  13. Base Wage Rate: The approved wage rate excluding additives for the classification. These should be consistent with any prior payrolls submitted by the Contractor or Subcontractor.
     
  14. Amount: The total dollar amount, Total Hours x Base Wage Rate, for each individual.
     
  15. Labor Subtotal and Standby, or Idle labor Subtotal: The sum of all dollar amounts of labor for person.
     
    The following items are included on Form 480B for documentation of Labor Additives incurred as a result of the force account work:
     
  16. Bond, Insurance & Taxes - Item: Include any costs paid by the Contractor or Subcontractor for bonds, insurance, and taxes, including contract bond premiums; liability, general, special, or project related insurance required by the contract; worker’s compensation insurance, Social Security taxes, etc.
     
  17. Rate: The Contractor and/or Subcontractor must furnish current rates for all bonds, insurance and taxes to the Resident Engineer. A copy of the provided rates for each force account summary should be included in the final estimate assembly.
     
  18. Applicable Quantity: The quantity for each bond, insurance and tax rate, such as total revenue, number of $1,000 or $100 increments of payroll excluding additives, Subcontractor costs, etc. Since these rates and procedures vary greatly among Contractors and Subcontractors, the Resident Engineer should request detailed information if it is unclear exactly how these quantities or amounts are calculated.
     
  19. Amount: The total dollar amount, Rate x Applicable Quantity, for each item of bond, insurance and tax.
     
  20. Remarks: Any clarifying information about the item should be included here.
     
  21. Subtotal of Submitted Payroll Additives: The sum of all dollar amounts of each item.
     
    The following items are included on Form 480B for documentation of Travel and Subsistence, Method A, incurred as a result of the force account work. This method is to be used when an employee is accountable for actual expenses:           
     
  22. Employees Name & Dates of Travel: The names of all Contractor or Subcontractor personnel authorized to perform the force account work, and the dates of travel allowance for each employee.
  23.  
  24. Cost of Meals: The actual cost of meals for one day.
  25.  
  26. Lodging Cost per Day: The actual cost of lodging for one day.
  27.  
  28. Amount Submitted: The total dollar amount, of Cost of Meals + Cost per Day, for each employee.
  29.  
  30. Allowable Amount: The lesser dollar amount of the Amount Submitted and the current In-State Rate for State Employees.
  31.  
  32. Travel and Subsistence Subtotal: The sum of all Allowable Amount for each item.
  33.  
    The following items are included on Form 480B for documentation of Travel and Subsistence, Method B, incurred as a result of the force account work. This method is to be used when an employee is given a daily allowance and is not accountable for actual expenses:
     
  34. Employees Name & Dates of Travel: The names of all Contractor or Subcontractor personnel and the last 4 digits of their Social Security Number authorized to perform the force account work, and the dates of travel allowance for each employee.
  35.  
  36. Contractor Per Diem None Accountable: The amount of per diem reimbursement for the employee, as verified by the Contractor.
  37.  
  38. Length of Stay: The number of days that the employee was given a per diem reimbursement.
  39.  
  40. Amount Submitted: The total dollar amount, Contractor Per Diem None Accountable x Length of Stay, for each employee.
  41.  
  42. Allowable amount: The lesser dollar amount of the Amount Submitted and the amount allowed for current In-State Rate for State Employees.
  43.  
  44. Travel and Subsistence Subtotal: The sum of all Allowable Amount for each item.
  45.  
    The following items are included on Form 480 for documentation and approval of the force account work:
     
  46. Resident Engineer: The Resident Engineer should review the force account work for concurrence with the Specifications and sign the certification for the force account work performed.
  47.  
  48. Division Engineer: The Division Engineer should review and sign the form for approval for the force account work prior to the submission of the final estimate assembly.

EQUIPMENT/RENTAL EQUIPMENT/STANDBY OR IDLE EQUIPMENT/OWNER-OPERATED EQUIPMENT (FORM 480C)
 
This form provides for all approved costs of equipment, rental equipment, standby or idle equipment, and owner-operated equipment incurred as a result of the force account work. A separate Form 480C should be utilized for each Subcontractor. Equipment not listed in the Blue Book should be entered in the Rental Equipment section of the form.
 
The following items should be included on Form 480C.   
 
  1. Authorized By Letter Dated: Include the date of the Force Account Authorization letter sent to the Contractor.
  2.  
  3. Contract Number:The contract number for the project.
  4.  
  5. WBS Element Number: The specific work order number on which the force account work is being performed.
  6.  
  7. F. A. No.:The Federal Highway Administration project number.
  8.  
  9. County: The county(ies) in which the project is located.
  10.  
  11. Contractor: The prime Contractor as included in the contract.
  12.  
  13. Subcontractor: The name of the authorized Subcontractor performing the work. A separate Form 480C should be utilized for each Subcontractor performing force account work.
  14.  
  15. Week Ending: The date of the end of the week. This is always Saturday.
  16.  
    The following items are included on Form 480C for Equipment documentation of the force account work:
     
  17. Equipment - Description: The name, model, type, kind, and features of approved equipment for the force account work.
  18.  
  19. Model Year: The year in which the piece of equipment was manufactured. This may require the individual serial number of the piece of equipment to determine the model year.
  20.  
  21. Blue Book Chapter & Page: The actual section number and page number on which the piece of equipment is found in the Monthly Blue Book Rental Rates for Construction Equipment (Blue Book).
  22.  
  23. Base Monthly Rate: The dollar amount included for the monthly rental of the piece of equipment in the Monthly Blue Book Rental Rates for Construction Equipment.
  24.  
  25. Age Adjustment Factor: This is a multiplication factor found in the front of each section or chapter of the Monthly Blue Book Rental Rates for Construction Equipment that adjusts the rental price for the age of the equipment. These factors vary by type of equipment for each section or chapter of the Blue Book. This should be recorded to three decimal places, as provided in the Blue Book.
  26.  
  27. Regional Adjustment Factor: This is a multiplication factor found in the front of each section or chapter of the Monthly Blue Book Rental Rates for Construction Equipment that adjusts the rental price for the area of the United States where the equipment is located. This should be recorded to three decimal places as provided in the Blue Book.
  28.  
  29. Operating Costs Per Hour: The dollar amount included in the Monthly Blue Book Rental Rates for Construction Equipment for costs associated with operating the piece of equipment for one hour.
  30.  
  31. Adjustment Hourly Rate: For operating equipment, this rate equals the Base Monthly Rate, adjusted by the age and region factors, divided by 176, plus 100 percent of the Blue Book estimated operating cost per hour. This rate will be paid for all approved hours the equipment is in use.
  32.  
  33. Sunday through Saturday: The actual number of hours each day the equipment was in-use. This is recorded to the 0.1 hour. The total hours are limited to eight hours per day and 40 hours per week unless authorized by the Resident Engineer.
  34.  
  35. Total Hours: The sum of all hours the piece of equipment is in use, recorded to the 0.1 hour. The total hours are limited to 40 hours per week unless authorized by the Resident Engineer.
  36.  
  37. Amount: The total dollar amount, Adjusted Hour Rate x Total Hours, for each piece of equipment.
  38.  
  39. Remarks: Any clarifying information about the equipment should be included here.
  40.  
  41. Equipment Subtotal: The sum of all dollar amounts of each piece of equipment authorized.
  42.  
    The following items are included on Form 480C for Rental Equipment documentation of the force account work:
     
  43. Rental Equipment - Description: The name, model, type, kind, and features of approved rental equipment for the force account work.
  44.  
  45. Minimum Rental Period: The shortest period of time the piece of equipment can be rented, such as one day, three days, one week, one month, etc.
  46.  
  47. Rental Rate: The rate charged for the minimum rental period for the piece of equipment, such as $70/day, $325/week, etc. The Resident Engineer should use good judgment and consider longer equipment rental periods if it is anticipated that the equipment will be needed longer than the minimum rental period. The State Construction Engineer should be consulted if questions arise.
  48.  
  49. Actual No. of Rental Periods: The number of minimum rental periods for which the equipment is authorized, such as 2 one-week periods, 4 two-day periods, 1 one-month period, etc.
  50.  
  51. Rental Amount: The total dollar amount, Rental Rate x Actual No. of Rental Periods, for each piece of equipment authorized.
  52.  
  53. Rental Equipment Subtotal: The sum of all dollar amounts of each piece of rental equipment authorized.
  54.  
  55. Sunday through Saturday: The actual number of hours each day the equipment was in-use. This is recorded to the 0.1 hour. The total hours are limited to 8 hours per day and 40 hours per week unless authorized by the Resident Engineer.
  56.  
  57. Total Hours: The sum of all hours the piece of rental equipment is in use recorded to the 0.1 hour. The total hours are limited to 40 hours per week unless authorized by the Resident Engineer.
  58.  
  59. Rental Additive Amount: The additive rate is equal to 15 percent of the product of the Rental Rate for the Minimum Rental Period divided by the appropriate number of hours, such as eight hours/day, 40 hours/week, or 176 hours/month, times the Total Hours the equipment was operating. No additive payment is made for rental equipment that is in standby or idled.
  60.  
  61. Remarks: Any clarifying information about the equipment should be included here.
  62.  
  63. Rental Equipment Additive Subtotal: The sum of all rental additive dollar amounts for each piece of rental equipment authorized.
  64.  
    The following items are included on Form 480C for Standby or Idle Equipment documentation of the force account work:
     
  65. Standby or Idle Equipment - Description: The name, model, type, kind, and features of approved rental equipment for the force account work.
  66.  
  67. Model Year: The year in which the piece of equipment was manufactured. This may require the individual serial number of the piece of equipment to determine the model year.
  68.  
  69. Blue Book Chapter & Page: The actual section number and page number on which the piece of equipment is found in the Monthly Blue Book Rental Rates for Construction Equipment (Blue Book).
  70.  
  71. Base Monthly Rate: The dollar amount included for the monthly rental of the piece of equipment in the Monthly Blue Book Rental Rates for Construction Equipment.
  72.  
  73. Age Adjustment Factor: This is a multiplication factor found in the front of each section or chapter of the Monthly Blue Book Rental Rates for Construction Equipment that adjusts the rental price for the age of the equipment. These factors vary by type of equipment for each section or chapter of the Blue Book. This should be recorded to three decimal places, as provided in the Blue Book.
  74.  
  75. Regional Adjustment Factor: This is a multiplication factor found in the front of each section or chapter of the Monthly Blue Book Rental Rates for Construction Equipment that adjusts the rental price for the area of the United States where the equipment is located. This should be recorded to three decimal places as provided in the Blue Book.
  76.  
  77. Adjustment Hourly Rate: For operating equipment, this rate equals the Base Monthly Rate, adjusted by the age and region factors, divided by 176, times 50 percent. This rate will be paid for all approved hours the equipment is in use.
  78.  
  79. Sunday through Saturday: The actual number of hours each day the equipment was on standby or was idle. This is recorded to the 0.1 hour. The total hours are limited to eight hours per day less hours in use and 40 hours per week less hours in use unless authorized by the Resident Engineer.
  80.  
  81. Total Hours: The sum of all hours the piece of equipment was on standby or idle less hours in use, recorded to the 0.1 hour. The total hours are limited to 40 hours per week less hours in use unless authorized by the Resident Engineer.
  82.  
  83. Amount: The total dollar amount, Adjusted Hourly Rate x Total Hours, for each piece of equipment.
  84.  
  85. Remarks: Any clarifying information about the equipment should be included here.
  86.  
  87. Standby or Idle Equipment Subtotal: The sum of all dollar amounts of each piece of equipment authorized.
  88.  
    The following items are included on Form 480C for Owner/Operated Equipment documentation of the force account work:
     
  89. Owner/Operated Rental Equipment Description: The name, model, type, kind, and features of approved rental equipment for the force account work.
  90.  
  91. Minimum Rental Period: The shortest period of time the piece of equipment can be rented, such as one day, three days, one week, one month, etc.
  92.  
  93. Rental Rate: The rate charged for the minimum rental period for the piece of equipment, such as $70/day, $325/week, etc. The Resident Engineer should use good judgment and consider longer equipment rental periods if it is anticipated that the equipment will be needed longer than the minimum rental period. The State Construction Engineer should be consulted if questions arise.
  94.  
  95. Actual No. of Rental Periods: The number of minimum rental periods for which the equipment is authorized, such as 2 one-week periods, 4 two-day periods, 1 one-month period, etc.
  96.  
  97. Rental Amount: The total dollar amount, Rental Rate x Actual No. of Rental Periods, for each piece of equipment authorized.
  98.  
  99. Rental Equipment Subtotal: The sum of all dollar amounts of each piece of rental equipment authorized.
  100.  
  101. Sunday through Saturday: The actual number of hours each day the equipment was in-use. This is recorded to the 0.1 hour. The total hours are limited to 8 hours per day and 40 hours per week unless authorized by the Resident Engineer.
  102.  
  103. Total Hours: The sum of all hours the piece of rental equipment is in use recorded to the 0.1 hour. The total hours are limited to 40 hours per week unless authorized by the Resident Engineer.
  104.  
  105. Remarks: Any clarifying information about the equipment should be included here.
  106.  
    NOTE: No additive is provided for Owner-Operated Equipment.
     
    The following items are included on Form 480C for Fully Maintained Owner/Operated Equipment documentation of the force account work:
     
  107. Fully Maintained Owner/Operated Rental Equipment Description: The name, model, type, kind, and features of approved rental equipment for the force account work.
  108.  
  109. Minimum Rental Period: The shortest period of time the piece of equipment can be rented, such as one day, three days, one week, one month, etc.
  110.  
  111. Rental Rate: The rate charged for the minimum rental period for the piece of equipment, such as $70/day, $325/week, etc. The Resident Engineer should use good judgment and consider longer equipment rental periods if it is anticipated that the equipment will be needed longer than the minimum rental period. The State Construction Engineer should be consulted if questions arise.
  112.  
  113. Actual No. of Rental Periods: The number of minimum rental periods for which the equipment is authorized, such as 2 one-week periods, 4 two-day periods, 1 one-month period, etc.
  114.  
  115. Rental Amount: The total dollar amount, Rental Rate x Actual No. of Rental Periods, for each piece of equipment authorized.
  116.  
  117. Rental Equipment Subtotal: The sum of all dollar amounts of each piece of rental equipment authorized.
  118.  
  119. Sunday through Saturday: The actual number of hours each day the equipment was in-use. This is recorded to the 0.1 hour. The total hours are limited to 8 hours per day and 40 hours per week unless authorized by the Resident Engineer.
  120.  
  121. Total Hours: The sum of all hours the piece of rental equipment is in use recorded to the 0.1 hour. The total hours are limited to 40 hours per week unless authorized by the Resident Engineer.
  122.  
  123. Remarks: Any clarifying information about the equipment should be included here.
  124.  
    NOTE: No additive is provided for Fully Maintained Owner-Operated Equipment.
     
    The following items are included on Form 480 for documentation and approval of the force account work:
     
  125. Resident Engineer: The Resident Engineer should review the force account work for concurrence with the Specifications and sign the certification for the force account work performed.
  126.  
  127. Division Engineer: The Division Engineer should review and sign the form for approval for the force account work prior to the submission of the final estimate assembly. 

In Progress
 ApprovedRR-20
  
FORCE ACCOUNT CONSTRUCTION METHOD ON FEDERAL AID PROJECT
 
The term “force account construction method” refers to construction work the Department performs on a federal aid project using its own forces. Specifically it means the direct performance of highway construction work by the Department using labor, equipment, material, and supplies furnished by the Department. This method of constructions is only intended to be used in special circumstances with the required construction is the result of an “emergency” situation or when force account construction is more practical and more cost effective than competitive bidding practices. 
 
All Force Account Construction work shall be performed in accordance with FHWA Order No. 5060.1 titled FHWA Policy on Agency Force Account Use.  
 
Before performing work using the force account construction method the contract administrator requesting this method of construction and the final approval authority should review the above referenced order and consider and verify the following: 
 
The Department has the experience, resources, and demonstrated ability to complete the work with as the same level of quality as that expected if the work was performed through the competitively bid construction process. 
 
Performance of the work with Department forces is more cost effective than the cost at competitively bid prices. 
 
Performance of the work with Department forces will not compromise the attainment of the approved Disadvantaged Business Enterprise (DBE) goal. 
 
Approval must be obtained from the Division Engineer prior to commencement of Force Account Construction work. This contract administrator should submit Form (881-FAC) “Request to Perform Force Account Construction on Federal Aid Project” to the Division Engineer.  
 
A cost comparison estimate that shows the comparison between the force account construction method and competitively bid construction must be included with the request (see the example at the end of this section.) Also include documentation where prior attempts to bid the work were unsuccessful due to high bids or a lack of bids. The Division Engineer’s authority level for approving this method of construction is $50,000 on Delegated Authority projects only. All requests over $50,000 must be approved by the Chief Engineer. The use of Force Account Construction method on Full Oversight projects (Step-by-Step) must be approved by FHWA. Once approval has been obtained, work may commerce with charges being posted to the original project WBS element. 
 
Once all work has been completed, a verification estimate should be performed to compare the actual cost to the estimate to validate the used of this method of construction for future reference. 
Example Force Account Construction Method Cost Analysis.png 
 

In Progress
 ApprovedRR-21
  
CONSTRUCTION PROCEDURE FOR CLAIMS
 
 

ACTIVE CLAIMS
 
The following is the current procedures for processing Active Claims:
 
  • Resident Engineer approval authority is $100,000 and 30 days for active claims under all Articles of the Specifications. Resident Engineer can not deny any active claim.
  •  
  • Division Engineer or his / her delegate approval and denial authority for active claims is unlimited under all Articles of the specifications.
  •  
  • Area Construction Engineer reviews all active claims over $100,000 or 30 days.
  •  
  • State Construction Engineer reviews all active claims over $200,000 or 90 days.
  •  
  • Area Construction Engineer and State Construction Engineer active claim review must be made prior to notifying the contractor of the Department’s decision. Any approval of claims outside of those allowed by the Specifications must be forwarded to the State Construction Engineer for approval.
  •  
  • If the dollar value or time on a specific claim exceeds the thresholds listed above then the entire claim should be forwarded for review. (Do not breakout issues and forward parts of the claim)    
All individuals that approve, deny, or make recommendations on an active claim should use the appropriate Claims Resolution Form (CRF) for documentation. The current form can be found on the Construction Unit’s Web Site.
 
When notifying the contractor about a decision on an active claim the Engineer should not send a copy of the Claims Resolution Form. A letter should be written that tells the contractor whether the claim has been granted or denied, and an explanation should be given explaining the Department’s position. Once a final decision has been made on an active claim, the contractor cannot resubmit it again until the project closeout conference. At the project closeout conference, the claim can be re-evaluated if the contractor has additional information available that could change the original decision.
 
The following is the current turnaround times for processing Active Claims:
 
Claims up to $100,000 or 30 days
 
  • Contractor submits claim
  •  
  • Resident Engineer review and approves within 10 days (if claim is to be denied see below)
  •  
  • If Resident Engineer recommends denial of claim then the request should be forwarded to the Division Engi neer within 10 days
  • Division Engineer or his / her delegate reviews Resident Engineer’s recommendation of denial and approves or denies the claim within 10 days
  •  
  • TOTAL PROCESS COMPLETE WITHIN ONE MONTH 
Claims between $100,000 and $200,000 or up to 90 days
 
  • Contractor submits claim
  •  
  • Resident Engineer reviews and sends recommendation for Area Construction Engineer review within 20 days
  •  
  • Area Construction Engineer reviews and forwards to Division Engineer with comments within 5 days
  •  
  • Division Engineer or his / her delegate  review and decision within 5 days
  •  
  • PROCESS COMPLETE WITHIN SIX WEEKS 
Claims over $200,000 or over 90 days
 
  • Contractor submits claim
  •  
  • Resident Engineer review and send recommendation for Area Construction Engineer review within 30 days
  •  
  • Area Construction Engineer (State Construction Engineer) reviews and forwards to Division Engineer with comments within 10 days
  •  
  • Division Engineer or his / her delegate review and decision within 10 days
  •  
  • PROCESS COMPLETE WITHIN 2 ½ MONTHS 

FINAL CLAIMS
 
Central Let Projects
       
All final claims should be submitted from the Contractor directly to the State Construction Engineer. An active claim becomes a final claim once it has gone through the active claim process and project closeout process, and the Contractor still believes he is due additional compensation and/or an extension in the contract completion date. These final claims will be reviewed and responded to by the State Construction Engineer as part of the final estimate process.
     
Division Let Projects
       All final claims are submitted directly to the Division Engineer for review. The Division Engineer will forward a recommendation to the Area Construction Engineer for all final claims greater than $100,000 or 30 days. For final claims exceeding $200,000 or 90 days the Division Engineer will forward a recommendation to the State Construction Engineer. Once all parties have reviewed and provided their recommendations, the Division Engineer will respond to the Contractor as part of the final estimate processing. 

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VALUE ENGINEERING PROPOSALS

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



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FINAL INSPECTION
 

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. 

The Deck and Rail Acceptance form shall also be completed for bridges undergoing preservation/rehab work so that the Structures Management Unit can update their records accordingly.  



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: 


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PROJECT CLOSEOUT CONFERENCE
 
After the Final Estimate has been prepared by the Resident Engineer, checked by the Division and the Notification of Final Quantities has been sent to the Contractor, a Project Closeout Conference should be held with the Contractor to discuss any outstanding issues on the project.  These issues would include quantity discrepancies and claims for additional compensation and / or extension of contract times. This conference can also be used to discuss any positive or negative aspects of the project.  
 
On projects that are $10 million or less the Project Closeout Conference should be held within 60 days of final acceptance.  On projects that are over $10 million the Project Closeout Conference should be held within 90 days of final acceptance. These time frames give the Contractor 30 days to review the quantities before a Project Closeout Conference is held.
 
The Resident Engineer in conjunction with the Contractor should determine the issues to be discussed at the Project Closeout Conference. The Contractor needs to send the Resident Engineer all of his information that pertains to any of the outstanding issues prior to the conference.  This is particularly important for the claim issues because it will give the Department time to investigate these issues, and can thoroughly explain our position to the Contractor.  The Resident Engineer should request the Contractor bring the documents that are required for processing the final estimate as stated in Article 109-10 of the Standard Specifications. The Resident Engineer should also prepare a written agenda and distribute it to all the involved parties prior to the meeting.  All Project Closeout Conferences should include the following agenda items:
 
  • Final Quantity Review
  • Outstanding Claims
  • Current Final Estimate Amount
  • Breakdown of Liquidated Damages withheld
  • Final Documents needed to close out project
  • DBE/MB/WB Reported Payments
  • Review of Final Claims Process    
The attendees of the Project Closeout Conference should be the Division Engineer and/or Division Construction Engineer, Resident Engineer, Assistant Resident Engineer, appropriate Construction Unit Staff, Prime Contractor, and appropriate Subcontractors. It is the Prime Contractor's responsibility to invite the Subcontractors.
 
While all issues may not be resolved at the Project Closeout Conference, it does allow open discussion of the outstanding issues by all the involved parties.  The Division Engineer has the authority to approve or deny all claims for additional compensation and extensions of contract times under all Articles of the Specifications.  The Construction Unit should be consulted for review of all claims that exceed $100,000. This will allow many claim issues to be resolved at the Project Closeout Conference.
 
If ALL issues are resolved during the closeout conference, the Engineer should promptly make the necessary corrections to the final estimate assembly and document any claim issues in HiCAMS using the appropriate Project Closeout Conference Form. The Construction Unit representative will provide the Closeout Conference Form.  The form must be signed by the Contractor and the Construction Unit representative.  The Contractor's signature on the form signifies that he agrees with all of the final quantities and there are no further claims on the project and will suffice as his Statement of Final Claims as required under Article 109-10.  The Division Engineer should then notify the Contractor of the results of the approved changes in the final estimate and any adjustments in compensation or extensions contract time.  The final estimate assembly and final documents (Consent of Surety and Affidavit) should then be submitted to the State Construction Engineer.
 
If at the completion of the Project Closeout Conference there are still unresolved claim issues, the Project Closeout Conference Form should not be used to document the resolved issues.   In this case, any claim issues that are resolved at the conference should be documented as Active Claims in HiCAMS, using the appropriate Claims Resolution Form that is used for Active Claims.  
 
The Contractor should be advised to submit all unresolved issues, from the Closeout Conference, as part of his final claim letter, which should be sent directly to the State Construction Engineer. These final claims will be reviewed and responded to by the State Construction Engineer as part of the final estimate process.​

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PROCEDURES FOR RECORDING INFORMATION RELATING TO PAYMENTS FOR A CONTRACT
 
These procedures are to be applied to those records that are used to form the basis of payment for contract pay items. Project workbooks that pertain to the engineering control of a project will be kept in accordance with the Engineering Control Division of this Manual. In reviewing these procedures and attachments, you will note that the term “source document” is used. This term is defined as the original entry or record that establishes payment for a contract item. There will be a source document for each pay item included in the contract. All entries pertaining to pay items should be originally entered in a bound book (pay record, level, or field), ticket book, on a specified form, or via electronic pay record. These entries are to be made when final measurements are taken or estimated quantities are determined for payment and not copied from scratch notes to a bound book at a later date.

Effective January 2021, Electronic pay records in SharePoint should be used to document pay records for all newly awarded contracts.  All pay record entries should be made by project inspection staff on SharePoint.  These entries shall include final measurements with mathematical computations performed by SharePoint.   Diagrams, notations regarding the construction of line code items, and any other information should be included in the electronic pay record entry.  

It is not the intent that a separate bound book be used for each item. Different items can and in most instances should be recorded in the same book. In some instances entries for the same item will be shown in several different books.
 
All books used to form the basis of payment should be labeled, Pay Record Book, (PRB) and should be consecutively numbered as they are put into use. The first book used to record items for any project should be Pay Record Book Number 1.
 
All books used to document estimated quantities for items should be labeled Estimate Work Book (EWB) and should be consecutively numbered as they are put into use.
 
There are many items that are measured and paid for based upon the surface area but are constructed according to a specific depth or thickness. Examples of these items would be concrete paved ditch, concrete driveways, and concrete sidewalk. If an item of this nature is measured for pay purposes by the Technician while the work is being performed, a statement should be placed in the book containing the measurements indicating that the material has been constructed according to the specified depth or thickness. This statement should be made for each day that an entry is made. Measurements not made for pay purposes should be recorded by the Technician in the Inspector’s Daily Report.
 
The following procedures do not contain all items that are included in a contract but only examples of the general type of items. If there is an item contained in a contract that does not specifically fall into any of the described categories, you must adjust the procedures to fit the individual item. You should follow the Specific Instructions Pertaining to All Entries Made in Pay Record Books and Estimate Work Books explained in the following section.

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SPECIFIC INSTRUCTIONS PERTAINING TO ALL ENTRIES MADE IN PAY RECORD BOOKS AND ESTIMATE WORK BOOKS
 
 

 
All entries made in Electronic Pay Records, Physical Pay Record and Estimate Work Books that relate to pay items are to conform to the instructions listed below:
 
  1. All entries and computations made in Electronic and Physical Pay Record and Estimate Work Books are to include sufficient detail so they can be identified, checked, and verified by others. All entries made in Pay Record and Estimate Work Books should be neat and kept in such a manner that they can be easily read by others. 
     
  2. There should be no erasures in any Physical Pay Record or Estimate Work Book. Entries that are in error should be struck through with a single line and the initials of the individual voiding the entry noted. Corrected entries should be placed immediately above the voided entry. 
     
  3. Physical Pay Record and Estimate Work Books used by project personnel will be the bound pay record, level, and field books that are issued by the Department. Loose-leaf notebooks are not to be used for project records. 
     
  4. The date and initials of the individual making an entry in Electronic and Physical Pay Record and Estimate Work Books should be shown for each entry or at the top or bottom of the page when all entries on a page have been made by a single individual. 
     
  5. All Physical Pay Record and Estimate Work Books are to contain a current index and all pages will be numbered. 
     
  6. No Physical Pay Record Book is to be copied prior to submission with the final estimate. The original Pay Record Books containing the information recorded initially, regardless of condition, will be submitted with the final estimate. 
     
  7. Any computations made in the Electronic and Physical Pay Record Book will be checked and the initials of the individual checking the computations will be shown.  
     
  8. No records or notes pertaining to a project will be kept on scratch paper. All notes and records should be entered into either Electronic and Physical Pay Record or Estimate Work Books. 
     
  9. All Physical Pay Record and Estimate Work Books used on a project should be consecutively numbered as they are put into use. A separate set of numbers should be used for Pay Record and Estimate Work Books. A record should be kept in the Resident Engineer's office showing the number of books that have been assigned to any project at any time. The numbers assigned to the books should be consecutively numbered, starting with number one for the first book used on each project. The number of an individual book should be clearly marked on the outside cover of the book when it is put into use. 
     
  10. A list of the names and initials of each individual who enters information or initials entries in the pay record book should be placed in the front of each physical book. Individuals who perform entries and approvals in SharePoint will be documented by the system.
     
  11. In a section entitled “General Notes” include information helpful in the checking of the final estimate. Also include information that may help an individual to readily understand the entries in the pay record book in the future. 
     
  12. The Remarks column should be used to aid an individual reviewing an item at a future date. Also include information that may help an individual to readily understand a specific entry in the pay record book in the future. 
     
  13. All measurements are to conform to instructions contained elsewhere in this section. 
     
  14. Each pay record book should have individual page totals for each item entered. However, at the Resident Engineer’s discretion, an estimate total (a HiCAMS entry for each line item paid on an estimate) may be used in lieu of individual page totals. If an estimate total is used, then your total may span more than one page, as some line items may have many pages of entries between estimates (i.e., Seeding and Mulching or Borrow by truck count) and some line items have only one or two entries during the entire project (i.e., Mobilization or Fine Grading). 
     
  15. When a contract item listed in a Pay Record Book has not been utilized and no payment will be made, the Engineer should make a statement in the physical Pay Record Book to this effect. The statement should be initialed by the Engineer. 

ROADWAY ITEMS
 
LUMP SUM ITEMS
 
Items included in the contract that do not have measurements associated with them are considered lump sum items, such as clearing and grubbing, building removal, demolition items, mobilization, contract surveying, software, etc.
 
Normally there is no direct measurement to document that this type of work has been completed although it is obvious the work has been completed by the subsequent phases of construction. To provide a uniform means of showing that lump sum items have been completed, the Engineer will make a statement in a pay record book that the item has been completed. This entry should be made either when the item of work is completed or when the item has been totally paid for in accordance with the contract requirements. The statement should be initialed by either the Technician responsible for the work, or the Engineer.
 
When projects contain more than one work order, the distribution of lump sum items charged to each work order that is computed by HiCAMS should be recorded in the pay record book. Other lump sum items of work that are performed at a specific site are applicable to the work order where the work is performed.

PER EACH ITEMS
 
Per each items are items that are bid on a per each basis, including masonry drainage structures, adjustment of manholes and valve boxes, right-of-way markers, traffic signal controllers, landscaping items, etc., that are not a component part of another item.
 
Entries made in a pay record book will constitute the basis of payment for the item or items involved. As the item is counted in the field, the quantity should be entered into the pay record book. After the item of work has been completed, the quantities of the item involved will be totaled in the book. The pay record books in which the entries are made will be submitted with the final estimate. All right-of-way markers and drainage structures including catch basins, drop inlets, manholes, spring boxes, endwalls, open-end pipe, etc., should be numbered on the plans and correspondingly in the pay record books as a cross-reference. 
 Per Each Items.png
CUBIC MEASUREMENT ITEMS
 
There are three ways used to compute volumetric quantities. Each method requires its own general form of record keeping and each will be discussed separately.
 
  1. Materials That Are Computed By The Average End Area Method or Digital Terrain Modeling: Examples of these materials include unclassified excavation, borrow excavation, undercut excavation, soil-type base course, and drainage ditch excavation.
     
    The notes that are taken in the field will be recorded in the manner specified in the Engineering Control section of this Manual and in compliance with the specific instructions herein.
     
     
  2. Materials Computed By Length-Depth-Width (XYZ) Measurements: Examples of these items include concrete items, brick masonry items, unclassified excavation, undercut excavation, drainage ditch excavation, and subdrain excavation.
     
    There are many items paid for according to cubic yardage measurements that are constructed according to a standard that has the volume computed for various dimensions. If an item of this nature is involved, the variable dimensions should be measured and recorded in the book with the non-variable dimensions shown as being standard. The computed volume from the standard should, where applicable, be used. The standard number used should be placed in the pay record book for each drainage structure so that anyone checking computations can determine what standard was utilized.
     
    Items without a standard should be measured and the measurements and sketches placed in a pay record book. Where possible, the necessary computations will be done in the pay record book. Pay record book(s) will be submitted with the final estimate.                  
     
  3. Quantities Determined By Truck Measurements: Examples of these items include borrow excavation and select granular material. When material that is paid for by truck measurement is brought onto the project, entries should be made in the pay record book for that particular item. These quantities are based upon a master list of truck measurements that should be entered into the pay record book. The Technician should ensure that the truck has been filled to the same limits as those made for the measurements of each individual truck. Ticket books are no longer required. If ticket books are used, the Engineer’s signature on each book is not required if the Technician has signed the tickets to document that the material was incorporated into the work. Pay record book(s) will be submitted with the final estimate.

LINEAR MEASUREMENT ITEMS
 
Items that are measured and paid for based on length (foot) include curb, curb and gutter, guardrail, pipe, fence, etc. As an item is measured, the measurement should be placed directly into a pay record book, along with any remarks, diagrams, or sketches necessary. The entries made in the pay record book should contain the basic information shown below and be in compliance with the specific instructions herein. The information shown could be entered into the pay record book for the item of curb and gutter as follows.  Linear Measurement Items.png

SQUARE MEASUREMENT ITEMS
 
Items that are measured and paid for on a square unit basis (square foot, square yard, etc.), would include items such as asphalt surface treatment (AST), paved islands, Portland cement concrete pavement.
 
As the item is measured, the measurements taken should be placed in a pay record book with any necessary remarks, sketches, or diagrams necessary. All entries should be in compliance with the specific instructions herein. Entries made in the books should contain the following information:
 
Square Measurement Items.png           
If the item cannot be computed directly in the book, all computations and areas should be shown in the final estimate assembly. Where applicable, the total amount of the item will be shown in the pay record book.
 
The pay record books in which the measurements were placed should be submitted with the final estimate.

WEIGHT ITEMS
 
Items that are measured and paid for on a weight basis include aggregate materials and asphalt plant mixtures.
 
The applicable provisions of this section of the Manual should be followed for any item that is paid for on a weight basis. See Weight Tickets as Basis of Payment in this section of the Manual.
 
When placing an asphalt plant mix the Asphalt Roadway Technician should check that the approved job mix formula that is shown on the ticket matches the type of mix that is required by the plan typical section. The weight tickets shall be the source documentation for all asphalt binder that is paid for on the project.

PIPE - OTHER THAN SUBDRAIN
 
Prior to beginning work on a project, a pay record book for pipe should be set up as in Examples in this section of the Manual.
 
The following is one suggested method of setting up a pay record book for pipe. The Engineer should decide, based on his individual circumstances, the method that should be used to best eliminate errors of omission, duplications, etc.
 
Example:
 
Where possible, the pay record book for pipe should be set up before pipe operations begin. In setting up this book, sufficient space should be allowed between planned pipe lines to accommodate additions, modifications, installing portions of the pipe line on different dates, etc. The pay record book should be divided into sections with each section containing only one size and type of pipe. Many Engineers prefer to place each planned pipe line on a separate page in the pay record book. The Technician inspecting the pipe will maintain the pay record book and make appropriate entries as each line of pipe is installed.

PROOF ROLLING
 
The procedures outlined in Proof Rolling Documentation in this section of the Manual should be followed.

FERTILIZER OR FERTILIZER TOPDRESSING
 
If the analysis of the fertilizer differs from the specified analysis, the application rate and the pay quantity must be converted to an equivalent quantity of fertilizer of the specified analysis. Examples of these conversions are included in Section 16 of this Manual.
 
If the material is shipped to the project in bulk form, it should be handled in the same manner as minor amounts of material in accordance with procedures set forth elsewhere in this Manual.
 
If the material is shipped to the project in bags, the number of bags used should be counted and the count placed in the pay record book.
 
If the material is in liquid state, it should be converted to its equivalent dry weight. The Roadside Environmental Unit should be consulted for the conversion factor for the specified fertilizer. This conversion calculation should be shown in the pay record book that is submitted with the final estimate assembly.

PRIME COAT AND ASPHALT CURING SEAL
 
On all projects where a prime coat or an asphalt curing seal is required, a shot record should be maintained in the pay record book. See Prime Coat and Asphalt Curing Seal Applications in this section of the Manual.

INDIVIDUAL ITEMS THAT HAVE DIFFERENT UNITS OF MEASUREMENT
 
In addition to the previously listed items, there are many individual items that are considered as being an integral part of an assembly that have different units of measurement. In listing these items they will be shown in the same pay record book that is used for the major item of the assembly. These examples are not inclusive of all items that would fall under this category. However, they are intended to serve only as illustrative examples.
 
  1. Guardrail: This item is paid for on a linear foot basis but the terminal section and anchor unit, which are integral parts of this item, are paid for on a per each basis. In this instance, the guardrail and terminal sections or anchor units would be shown in the same book since the measurement for guardrail elements and the count of the terminal sections are made at the same time. 
     
  2. Subdrain and Related Items: The subdrain pipe itself is measured and paid for on a linear foot basis. However, the excavation and aggregate backfill is paid for on a cubic yard basis. These items would also be grouped together. Wyes, tees, and elbows used in connection with subdrain are paid for on a per each basis but are included with the other subdrain items. 
     
  3. Pipe End Sections for Pipe Culverts: The number of pipe end sections that are placed on a pipe line should be included in the pipe pay record book, but should be shown separately from the pipe line since the pipe end sections may be placed at a later date. 
     
  4. Fence: The fence material is paid for on a linear foot basis but the posts and gates are paid for separately on a per each basis. These units of measurement should be shown separately in the same pay record book. 
     
  5. Grates, Frames, etc., That Are An Integral Part of Minor Drainage Structures: The grates, frames, etc., are paid on a per each basis and should be shown separately in the same pay record book that is used for the minor structures.  
     
  6. Signing Items: Signing items carry a variety of units of measurements. These should be recorded based on payment units.
As a general rule, when various pay items are utilized and incorporated into the project simultaneously, the measurements and documentation for payment should be recorded separately but the items should not be shown in separate pay record books.

STRUCTURE ITEMS
 
SUPERSTRUCTURE ITEMS
 
Superstructures that are constructed without any plan changes contain many items that are computed and paid for according to plan quantities. Examples of these items are reinforcing steel, reinforced concrete deck slab, structural steel, concrete, prestressed concrete members, and structural timber. Where the plans have not been changed, the structure Inspector should perform the following to document that the superstructure has been constructed according to the plans:
 
1. As an item or any part, where applicable, is incorporated into a superstructure, the Inspector should make a statement to this effect in the structure pay record book. This entry should be placed in the portion of the book that pertains to the structure involved.
 
Example:
 
“Reinforcing Steel, Span A, completed according to plans this date - 8/3/98.
HET.”
 
2. In those instances where the plan dimensions are changed, appropriate diagrams, sketches, computations, and explanation of the changes should be shown in its appropriate location in the structure pay record book. These entries should be in conformance with the specific instructions listed in this section of the Manual.

SUBSTRUCTURE ITEMS
 
Items composing the substructure are generally subject to more change than a superstructure. If the substructure items have not been changed over that shown in the plans, they will be supported for payment in the same manner as superstructure items. Where these items have been changed, appropriate diagrams, sketches, measurements, and computations should be shown in the structure pay record book.

LUMP SUM ITEMS - NOT CONSIDERED A COMPONENT OF ANY ONE STRUCTURE PAY ITEM
 
Examples of these items include: mobilization, construction, maintenance and removal of temporary crossings, removal of existing structure; maintenance and removal of existing structure, etc.
 
Items of this type will be handled in the same manner as lump sum roadway items.

BEARING PILES
 
Piles are paid for on a linear meter (linear foot) basis. The Construction Technician inspecting the structure should maintain a pile record for all piles driven. This record should be kept separately for each structure that contains piles and should be kept in the structure pay record book for the specific structure involved.

SHEET PILES
 
The length of the wall specified on the plans may be revised by the State Construction Engineer as necessary for adequate protection of the area involved. Payment in such cases will be at the unit bid price.
 
Any variation in the height of the wall or length of sheet piles called for in the plans will be documented by a Supplemental Agreement. If variations requiring a Supplemental Agreement occur, the Resident Engineer will add the following information in the structure pay record book:
 
  1. Diagram showing location in wall of pile or piles involved.
  2.  
  3. Table showing length driven, cut-off splice or build-up, and length in place.

The quantity of sheet piles to be paid will be computed using the length of the sheet piles times the nominal width of the sheet piles.

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EXCAVATION - CUBIC METER (CUBIC YARD)
 
The cross-sections for the original and final cross-sections should be recorded in the structure pay record book. If original readings are computed from the theoretical roadway cross-section, they should be included in the structure pay record book and noted as “Computed from Theoretical Roadway Section.” Cross-sections should be plotted on supplemental cross-section sheets to be included in the As-Constructed Plans or other approved methods utilized to compute the volume. The volumetric computations should be on earthwork computation sheets.
 
Where there have been no changes authorized in writing by the Resident Engineer for the bottom of footing elevation shown on the original plans, payment for excavation will be to the bottom of footing elevation called for on the original plans with no allowance for irregularities. Cross-sections will show the actual As-Constructed condition and the area below plan elevation will be titled “Nonpay Area.”
 
Where the Resident Engineer authorized either the lowering or raising of a footing, payment will be made for all material excavated within the horizontal limitations shown in the Specifications and authorization will be noted under the General Notes section of the structure pay record book along with the date authorization was given.

CULVERT EXCAVATION
 
The Engineering Control section of this Manual includes information on the method used for estimating box culvert excavation. Attention is called to the fact that it is considered the Contractor's responsibility to view the culvert site before bidding and to satisfy himself as to whether the plan quantity is a reasonable estimate. Payment will be in accordance with the Specifications for this item.
 
Conditioning RCBC Foundations
 
Use the procedure for Aggregate Base Course for documentation and record the station or location where the stone is placed on cover of ticket book(s). See Weight Tickets as Basis of Payment in this section of the Manual.

SPECIAL ITEMS
 
There are other items that on occasion are included as a part of a structure. These items may be either by separate bid items or the cost included in other items of work. Examples of these items include: hangers for utility installations, special facing materials, etc. Any of these items will generally fall into one of the above categories from the standpoint of documentation of installation and/or payment and should be shown in the structure pay record book in the manner that is applicable.

CLASS A CONCRETE
 
Where there have been no changes authorized in writing by the Resident Engineer for the bottom of footing elevation shown on the original plans, payment for Class A concrete will be to the bottom of footing elevation called for on the original plans with no allowance for irregularities. Cross-sections will show the actual As-Constructed condition and the area below plan elevation will be titled “Nonpay Area.”
 
Where the Resident Engineer authorizes either the lowering or raising of a footing, payment will be made for all the concrete placed within the horizontal limits specified on the plans. Authorization will be noted under the General Notes section of the structure pay record book along with the date the authorization was given.

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SOURCE DOCUMENTS, MEASUREMENTS AND SIGNIFICANT FIGURES
 
The Highway Construction and Materials System (HiCAMS) allows entry of up to five digits to the right of the decimal. This does not mean that those five digits must all be greater than zero.
 
Unless the Standard Specifications indicate a Method of Measurement (see examples below), Pay Items should be measured to the nearest reasonable digit and entered in HiCAMS up to five places. It is important to be consistent in the computations for each entry for a single line item. If the first entries for a line item are rounded to two places, all subsequent entries for that line item should be rounded to two places.
 
If the computed numbers must be rounded so that the number of digits does not exceed the five places allowed in HiCAMS, the following rules of rounding off should be used:
 
  1. When the digits to be rounded are 0, 1, 2, 3, or 4, the preceding digit should not be changed and the trailing digit should be dropped.
     
  2. When the digits to be rounded are 5, 6, 7, 8, or 9, the preceding digit should be increased by one and the trailing digit should be dropped.
     
  3. For example, 24.3964 could be rounded to 24.396, 24.40, 24.4, or 24, depending on what was being measured. The measurement 24.8938 would be rounded to 24.894, 24.89, 24.9, or 25.       
Any quantity taken from tables included in the Roadway Standard Drawings or Roadway Design Manual should be entered in the pay record book or source document rounded to five places.
 
Examples of Method of Measurement instructions (CAUTION: this list is not all-inclusive!)
 
260-4     Proof Rolling will be measured and paid for as the actual number of hours, measured to the nearest 0.1 hour. If proof rolling occurred for 2 hours and 20 minutes, the Pay Record entry in HiCAMS would be 2.30000 HR
 
310-6     Measurement of pipe is made by counting the number of joints used and multiplying by the length of the joint to obtain number of linear feet of pipe installed and accepted. Measurements of partial joints are made along the longest length of the partial joint to the nearest 0.1 of a foot. If the contractor laid 3 joints at 8 feet per joint, and one section of 15 inches long, the Pay Record entry in HiCAMS would 25.30000 LF
 
320-4     Corrugated Steel Structural Plate Pipe or Pipe Arch will be measured and paid for as the actual number of linear feet of pipe or pipe arch, measured to the nearest foot. If the pipe arch measured 109' 2", the HiCAMS entry would be 109.00000 LF. If the pipe arch measured 109' 8", the HiCAMS entry would be 110.00000 LF.
 
340-4     Pipe Removal will be measured and paid for as the actual number of linear feet of pipe and flared end sections, measured to the nearest 0.1 foot. If the contractor removed 55" of pipe, the HiCAMS entry would be 4.60000 LF. (To calculate this, divide 55 inches of pipe by 12 inches per foot = 55/12 = 4.58333.)
 
816-4     Shoulder Drain will be measured and paid as the number of linear feet of shoulder drain which has been completed and accepted, measured to the nearest foot. If the contractor lays 48' 6" of shoulder drain pipe, the HiCAMS entry would be 49.00000 LF
 
840-4      Masonry Drainage Structure exceeding a height of 5.0 feet to be measured and paid for in linear feet for the portion of the drainage structure exceeding a height of 5.0 feet. The height will be measured vertically to the nearest tenth of a foot from the top of the bottom slab to the top of the wall. If the box measured 7' 8", the HiCAMS entry would be 7.70000 LF.
 
901-4     Sign fabrication will be measured and paid for as the actual number of square feet of sign areas that have been acceptably fabricated. In measuring this quantity, the sign face areas will be calculated to the nearest 1/100 of a square foot using the dimensions shown in the contract. If the sign measurement is 1' 4" by 7' 0'', the HiCAMS entry would be 9.33 SF.
 
In the event a contract contains more than one work order number, the partial pay estimate quantity and the final contract quantity should be computed first by carrying the computations for each work order to one more decimal place than the Pay To figure. The quantity for each work order for partial pay estimates should then be added together and placed on the partial pay estimate. The quantity for each work order for the final contract quantity should then be added together and rounded off to the Pay To figure. Once you have arrived at the final contract quantity, individual work order quantities should be adjusted (rounded off) so that the sum of the individual work orders equals the final contract Pay To quantity.
 
Example:
 
Quantities for a contract containing more than one project: 
RR - Source Doc Table - Quantities.png   
See Article 109-1 of the Specifications and this Manual for procedures for the measurement of pay quantities. 

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WEIGHT TICKETS AS A BASIS OF PAYMENTS
 
 

GENERAL
 
The following procedures should be used for the receipt of and documentation for payment of materials when weight tickets are the basis of payment. Reference should also be made to Article 106-7 of the Specifications and this Manual.

TICKETS ISSUED FOR PAYMENT BY WEIGHT
 
When material is to be paid for on a weight basis, the Contractor is required to furnish platform scales or other weighing devices certified by the North Carolina Department of Agriculture. The scales must be operated by a North Carolina public weighmaster, and a certified weight certificate must be issued in the form of a ticket. This ticket can be physical or electronic.​
 
All platform scales should be of sufficient length to permit weighing of the hauling equipment in such a manner that when weighing trucks with trailers, the entire hauling unit can be weighed as a unit. If the platform scale is not of sufficient length, the truck and trailer should be detached and weighed separately.
 
Upon delivery of materials paid for by weight, the Contractor should immediately give the weight ticket to the construction technician performing the inspection.
 
Upon receipt, the construction technician should make sure the ticket is legible and the following information has been listed on the ticket:
 
  1. The Department Contract Number/WBS Number.
     
  2. The date the ticket is issued.
     
  3. The time the ticket is issued if the material is asphalt plant mix or plant mixed cement treated base course.
     
  4. The type of material represented by the weight ticket.
     
  5. The gross weight of the vehicle. (platform scales)
     
  6. The tare weight of the vehicle. (platform scales)
     
  7. The net weight of the material.
     
  8. The location of the quarry or plant where the material came from.
     
  9. The number of the truck transporting the material.
     
  10. The name of the prime Contractor for the project.
     
  11. The stamp or number of the public weighmaster weighing the material.
     
  12. The appropriate Job Mix Formula (JMF) number for the asphalt plant mix.
When trucks with the same identification number are being used by the Contractor, care should be taken to ensure that sufficient additional information is noted such that the trucks can be distinguished from one another.
 
Upon determining that all required information has been furnished on the weight certificate, the Inspector should then list the following information on the ticket:
 
  1. Contract Number/WBS Element Number if not shown on the ticket.
     
  2. WBS Element Number if different from that shown on the ticket.
     
  3. Contract item number by which material will be paid.
     
  4. Location where the material was placed.
     
  5. Date the material was placed if it is different from the date the ticket was issued, such as erosion control stone stockpiled on a previous date anticipating inclement weather.
     
  6. Construction Technician’s signature on the first ticket for the day and initials on subsequent tickets.
     
  7. Quantity reduction for unused portion of material and reason should be shown clearly on the ticket.
     
  8. The time the ticket is received for asphalt plant mix or plant mixed cement treated base course.
Tickets for each day should be bound separately with the total for the day shown on the front cover.
 
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PROOF ROLLING DAILY REPORT
 
The Proof Rolling Daily Report (M&T Form 507) documents proof rolling operations and serves as a pay record that supports final payment for proof rolling. Since the form serves as a source document for payment, proof rolling need not be recorded in a pay record book. M&T Form 507 is located in SharePoint for the contract the work is being performed on in the Reports section. For training on how to fill out the Proof Rolling Report please go to the SharePoint Help Guide for Proof Rolling​.
 
The report should be completed daily for each proof rolling operation.  It should be Approved by the Resident Engineer or Assistant Resident Engineer after being reviewed to indicate concurrence with the contents and to signify acceptance of the report as a source document for payment purposes.  The Inspector should not Approve the report in lieu of the Resident Engineer reviewing and Approving the report.
 
The Proof Rolling Daily Report should contain the following information:
 
  1. PRR Date: The date the Proof Rolling work is performed. A separate report must be completed for each crew, each day, and/or each work order. 
     
  2. PRR Report No.: The number of the report. Each WBS Number should have its own sequentially numbered set of reports. 
     
  3. Reroll?: Click on if this is a reroll section.
     
  4. Roller Make: The make of roller used for proof rolling, including the model number. 
     
  5. Tire Size and No. Plies: The size of the tires and the number of plies the tires have, such as 20 x 28 (36 ply). All tires should be the same manufacturer and size. 
     
  6. Weight (Tons Gross): This should be the gross weight of the proof roller in tons. 
     
  7. Air Pressure (Checked on a daily basis): This is the air pressure of each tire, checked on a daily basis. Incorrect tire air pressure can cause the weight of the proof roller to be unequally distributed during the proof rolling process. This may prevent the proof roller from detecting unstable areas. The recommended tire pressure is 68-72 psi
     
  8. Start Time: The Inspector should record the time the contractor started work per a 24-hour clock format therefor 6:00am would be entered as 06:00 or 0600 (likewise 2:30pm would be entered as 14:30 or 1430). The Contractor is paid for all initial proof rolling.  In the event of failure due to the Contractor's negligence or weather, the Contractor is required to perform corrective measures and proof roll the failed area at no cost to the Department.  Proof rolling hours for which payment is not to be made as provided by Section 260 ​of the Specifications will be kept separate from proof rolling hours for which payment is to be made (see Failures below).​

  9. Stop Time: The Inspector should record the time Proof Rolling Stopped and should be entered per a 24-hour clock format (16:00 or 1600).
     
  10. Roll From: Inspector should record the station where the Proof Rolling started in Station Format (12+50). Areas that have passed proof rolling requirements of the contract should be recorded by specific station number in this section of the form along with the number of coverages performed.  Proof rolling is typically performed on all areas of a project. Special emphasis should be placed on grade points, undercuts, or other questionable areas. ​ ​

  11. Roll To: Inspector should record the station where the Proof Rolling Stopped in Station Format (17+85).
     
  12. # Failures: The number of areas that failed proof rolling should be recorded by specific station number in this section of the form. Each failure should be noted by identifiable asterisks. Sufficient information to document the failure should be provided as listed below:  ​

  13. Failure Location: areas that failed proof rolling should be recorded by specific station number in this section of the form.  Each failure should be noted by identifiable asterisks.
     
  14. Failure Cause: Document the reason the subgrade failed the proof rolling and any conditions at the specific location. 
     
  15. Correction Details: Document what corrective measures were performed by the Contractor to correct the section. Do not allow the Contractor to wait several days and proof roll again without performing corrective measures. A second coverage on a previous failure area should be noted as such. A definition of coverage is shown at the bottom of the form. 
     
  16. Inspector's Comments: Any remarks regarding payment for work and the Contractor’s performance should be recorded in this section of the report for each area. 
     
  17. Title:   Optional title for this report (the default is Proof Roll). An example title might be “ PR Report #141 – Section 2 (Y9)"
Each report should be  saved and approved in Share Point for all Department staff to be able to review as a source document...          ​
 
Proof rolling reports should be numbered consecutively, except when failures occur. If a section that has been proof rolled fails, the next report that covers that section should have a letter designation that continues progressively with each report until it passes. For example, if a section on report 1 fails, that area should be shown on report 1A the next time it is rolled. If it does not pass on that report, it will next be shown on report 1B. This will better enable project personnel to ensure all failing areas are re-rolled.
 
The correct proof rolling procedure is accomplished by operating the proof roller in the following manner:
 

Proof Rolling.png  


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PRIME COAT AND ASPHALT CURING SEAL APPLICATIONS
 
 

GENERAL
 
The following procedures should be used to determine and record pay quantities for prime coat and asphalt curing seal items. Prime coats are used to treat non-asphalt base courses while asphalt curing seals are typically used in conjunction with lime treated soil, cement treated base course, and soil cement base.

MEASUREMENT
 
The quantity of prime coat and asphalt curing seal to be paid for will be measured at the directed application temperature in gallons. The liquid asphalt should be free of air bubbles and foam at the time of measurement. Recorded measurements in gallons should be made before and after the liquid asphalt material is applied. The directed and actual application rates of gallons/square yard must also be recorded.

DEDUCTION
 
Articles 543-5 provides for a deduction in the measured quantity of seal material if the Contractor exceeds a directed application rate by more than 0.02 gallons / square yard.:
 
If the actual application rate, gallons/square yard is greater than the directed application rate plus the allowable tolerance, then a deduction in the measured gallons must be made. The following example shows how this deduction would be determined.
 
Example: 
 
​675 gallons of asphalt curing seal are applied to 3533.3 square yards of lime treated soil. This represents an actual application rate of 0.191 gallons/square yard. The directed rate was 0.150 gallons/square yard. Since the actual rate (0.191) is greater than the directed rate plus 0.02 (0.150 + 0.02 = 0.170), a deduction must be made:
 
(Actual Rate - (Directed Rate + Tolerance)) x square yards = gallons to be deducted
(0.191 - (0.150 + 0.02)) x 3533.3 = 74.2 gallons to be deducted
 
This quantity should be recorded with a minus sign in the appropriate pay record book. Calculations to determine deductions should be placed directly in the pay record book adjacent to the original measurements and computations for each application of asphalt curing seal.

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DOCUMENTATION OF PARTIAL PAY ESTIMATES
 
 

GENERAL
 
Partial payments to the Contractor are based on estimates that are prepared by the Resident Engineer’s office at least once each month provided sufficient work has been performed. These partial payments are approximate only and will be subject to correction on the final estimate payment. However, the Resident Engineer should make certain that adequate measurements are being made to ensure that pay estimate quantities are substantially correct. The Contractor should always receive full compensation for all satisfactory work completed during each partial payment period. The Resident Engineer should also make sure that all quantities in each estimate period are completely supported in terms of documentation along with appropriate explanations whenever the quantities are estimated.

SOURCE DOCUMENTS FOR PAYMENT
 
Pay quantities should be supported by weight tickets, physical or electronic pay records​, force account records, computer printouts for earthwork, and temporarily by entries in Estimate Work Books. Items of work that are conducive to final measurements as the work is performed should be entered directly into the appropriate pay record book. It is desirable to record items directly in the appropriate pay record book, if possible, instead of in an Estimate Work Book.

ESTIMATE WORK BOOKS
 
Estimate Work Books should be maintained in the same manner as a pay record book except that the quantities in the Estimate Work Book are estimated and an explanation is included for each quantity to support its derivation and payment. All estimated quantities paid on a partial pay estimate should be appropriately entered and supported in an Estimate Work Book. Whenever the final measurements are made and a quantity is determined, it should be entered as usual in a pay record book and the estimated quantity voided from the Estimate Work Book. These books should be retained by the Resident Engineer’s office until the Division and Resident Engineer’s project files are merged after completion of the project. At this time, the Estimate Work Books should be destroyed.
 
Items that may be included in an Estimate Work Book are earthwork, fence, curb and gutter, paved ditch, slope protection, incomplete structure components, etc.
 
Example:
 
An area on a project is undercut for several hundred feet, which requires the survey party to take original and final cross-sections. The necessary sections are taken prior to backfill. However, the sections cannot be plotted and computed to the exact quantity prior to submission of the partial pay estimate. It is appropriate in such an instance for the Resident Engineer’s office to estimate the undercut quantity by the XYZ average end area method, or even by the box method. This estimated quantity and explanation should be entered in an Estimate Work Book until the cross-sections are plotted and computed and an exact quantity is known. The estimated quantity would then be marked void, but should remain legible for possible future reference.

ESTIMATED EARTHWORK QUANTITIES
 
All estimated earthwork quantities should be determined by acceptable methods and maintained in an Estimate Work Book with a clear explanation as to the method used for determining the quantities. Acceptable methods for estimating earthwork quantities are cross-sectioning, balance point computations, photogrammetry, and the XYZ average end area method. The Contractor’s load counts alone are not to be used to estimate earthwork quantities. However, they can be used as a check for earthwork quantities estimated by acceptable methods.

DOCUMENTATION PROCEDURES
 
Notation should be made on the original source documentation to indicate quantities have been included for payment. This procedure should lessen the possibility of duplicate payment of quantities on subsequent estimates. An example of such notation would be a line drawn across the page with the estimate number and quantity shown below the line or a notation in the comments section including the estimate number, quantity paid, and initials.
 
Subtotals which represent paid quantities should not be shown in the quantity column of documentation to avoid the possibility of including that quantity when calculating the page total. Using a different color pencil (any color except blue or red) to make paid quantity notations would also help to avoid this possibility.

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